Title 80 Ill. Adm. Code — Public Officials and Employees

Chapter I Civil Service Commission

Part 1 Civil Service Commission

80 Ill. Adm. Code 1.10 Meetings of the Commission

a) The Illinois Civil Service Commission (Commission) shall hold an open and public meeting each month. The meetings shall be held in Chicago and/or Springfield.

b) A schedule of meeting dates shall be made at the beginning of each calendar year stating the dates, times and places of the monthly meetings.

c) Changes in regular meeting dates and the holding of special meetings shall be made in compliance with the Illinois Open Meetings Act [5 ILCS 120] and the Illinois Personnel Code [20 ILCS 415].

d) Meetings may be held by telephone conference call or by video conferencing if done in compliance with all applicable laws.

e) Unless he or she is an interested party in a contested case subject to Section 1.260, any person shall have the opportunity to comment at a public meeting pursuant to the Open Meetings Act so long as the comment is reasonable in duration and is limited to a subject on that meeting's agenda. Any such comment shall be made at a time designated on the meeting's agenda and the Commission shall have the ability to cut off a comment if it is irrelevant, repetitious or disruptive.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.40 Procedures Before the Commission (repealed)

History

• Source: Repealed at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.45 Classification Plan

The Commission will review the class specifications requiring Commission approval under the Classification Plan and will approve those that meet the requirements of the Personnel Code and Personnel Rules and conform to the following accepted principles of position classification:

a) The specifications are descriptive of the work being done or that will be done;

b) Identifiable differentials are set forth among classes that are sufficiently significant to permit the assignment of individual positions to the appropriate class;

c) Reasonable career promotional opportunities are provided;

d) The specifications provide a reasonable and valid basis for selection screening by merit examinations;

e) All requirements of the positions are consistent with classes similar in difficulty, complexity and nature of work; and

f) The relation of the class specification to any applicable collective bargaining agreement.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.50 Ex Parte Communications

a) Except in the disposition of matters they are authorized by law to entertain or dispose of on an ex parte basis, commission members, employees and Administrative Law Judges shall not, after notice of hearing in a contested case, communicate, directly or indirectly, in connection with any issue of fact, with any person or party, or in connection with any other issue with any party or the party's representative, except upon notice and opportunity for all parties to participate.

b) Communications regarding procedure, including, but not limited to, format of pleadings, number of copies required, manner of service, status of proceedings, and continuances are not considered to be ex parte communications.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.80 Declaratory Rulings

a) Upon petition from an interested or affected person or agency, the Commission may make declaratory rulings as to material questions involving the applicability and interpretation of the Personnel Code, the Personnel Rules (80 Ill. Adm. Code 301, 302, 303, 304 and 305) or any order or final decision of the Commission.

b) The Commission may refuse to issue such rulings if the question is in issue in a contested case before the Commission, if the ruling would not resolve a substantial issue of law, if the request presents an issue already determined by the Commission or court of competent jurisdiction, or if the issue is pending in another court or administrative body.

c) Declaratory rulings shall not be appealable but are only advisory.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.90 Allocation Appeals Procedure

a) An employee shall, within 15 days after receipt of the Director of the Department of Central Management Services' decision on reconsideration, serve notice upon the Commission of his or her intent to appeal the reconsideration decision of the Director. The employee shall simultaneously serve a copy of the notice of intent upon the Director of the Department of Central Management Services. The notice shall state the name of the employee, the employee's appointing agency, a description of the disputed classification issue, and the class for which the employee is appealing.

b) Upon receipt of a notice of intent to appeal, the Director of the Department of Central Management Services shall file with the Commission within 30 days a submission setting forth the facts and reasons for the reconsideration decision. A copy shall be served upon the employee. In the submission there shall be a clear and brief recitation of all relevant facts and documentary evidence submitted in exhibit form.

c) Within 30 days after receipt of the Director's submission, the employee shall file with the Commission an answer setting forth all relevant facts and documentary evidence in exhibit form. A copy of the answer shall be served upon the Director of the Department of Central Management Services. The employee shall point out with particularity his or her disagreement with the submission of the Department of Central Management Services.

d) Within 30 days after receipt by the Commission of the submissions of the parties, notification will be served by the Commission of the date of the hearing that will be held for the purpose of presenting argument and/or accepting evidence on material and substantial issues of fact. By agreement of the parties and the Commission, the hearing may be waived.

e) Parties may represent themselves or be represented by counsel or by other representatives as they may elect.

f) After the completion of the hearing, a proposal for decision by the Administrative Law Judge shall be served upon the parties. The parties shall have 10 days after service to file written comments and arguments before the Commission renders its final decision. The filing of the parties' responses shall be in accordance with Section 1.302.

g) Employees who are subject to collective bargaining agreements that permit an appeal to the Commission of class study reclassifications not resolvable under the applicable contract shall use the procedure set forth in this Section if they appeal to the Commission.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.100 Appeal of Layoff

a) An appeal of layoff shall be filed with the Commission by the affected employee within 15 calendar days following the effective date of layoff. The effective date of layoff is the date designated by the Director of Central Management Services in the approved notice of layoff served on the employee.

b) The appeal shall set forth with particularity a statement of facts and a designation of the applicable provisions of the Personnel Code or the Personnel Rules alleged to have been violated or not complied with.

c) An investigation shall be conducted by the Commission and the proposal for decision shall be served upon all parties to the dispute. The parties shall then have 10 days to file in the office of the Commission a response to the proposal for decision and a request for hearing if either party so desires.

d) If, in the judgment of the Administrative Law Judge or the Commission, a substantial issue of fact or law exists that cannot be resolved by investigation, the parties will be notified of a date of hearing. The notice will set forth a short statement of the issue of fact and/or law. If it is determined that no material issue of fact or law exists, the Commission will issue its decision based upon the findings of the investigation and the parties' responses to the proposal for decision.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.110 Allegations of Personnel Code and Rule Violations

a) An allegation of a violation of the Personnel Code or Personnel Rules shall set forth with particularity a statement of facts and a designation of the applicable provisions of the Code or Rules that have been violated or not complied with. The appeal must be filed within 180 days after the date on which the affected person knew, received written notice of, or, through the use of reasonable diligence, should have known of the alleged violation or noncompliance.

b) An investigation shall be conducted by the Commission and the proposal for decision shall be served upon all parties to the dispute. The parties shall then have 10 days to file in the office of the Commission a response to the proposal for decision in accordance with Section 1.302 of this Part and a request for hearing if either party so desires.

c) If, in the judgment of the Administrative Law Judge or the Commission, a substantial issue of fact or law exists, the parties will be notified of a hearing date. The notice will set forth a short statement of the issue of fact and/or law. If it is determined that no material issue of fact or law exists, the Commission will issue its decision based upon the findings of the investigation and the parties' responses to the proposal for decision.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.120 Appeal of Geographical Transfers

a) An appeal of geographical transfer shall be filed with the Commission by the affected employee within 15 days following the effective date of the transfer. The effective date of the transfer is the date the employee is required to report to the new location. In appeals to the Commission from permanent transfers from one geographical area in the State to another, the employee shall have the burden of introducing sufficient, competent and credible evidence showing that the transfer was unreasonable, unjust or capricious and was not a bona fide attempt to serve the best interests of the operating agency. Geographical area is presumed to be the county in which the position is located unless the employee or the operating agency can establish that a different standard is utilized for the employee's position.

b) Under normal circumstances, a transfer of an employee for a period in excess of 60 days will be considered a permanent transfer.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.130 Appeals of Disciplinary Action or Demotion

a) A certified employee who has been served with written charges approved by the Director of Central Management Services for removal, discharge, demotion or suspension for a period of more than 30 days within a 12-month period may appeal to the Commission. The appeal shall be in writing and filed with the Commission within 15 days after receipt of the approved written charges.

b) In disciplinary appeals and demotion appeals, the agency has the burden of proof and as such is designated the Petitioner; the employee is designated the Respondent.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.140 Response to Proposed Decisions (renumbered)

History

• Source: Section 1.140 renumbered to Section 1.302 at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.141 Collective Bargaining Agreements

a) The Commission shall give full recognition and effect to provisions of collective bargaining agreements relating to wages, hours and conditions of employment reached under the provisions of the Illinois Public Labor Relations Act [5 ILCS 315]. Provisions of collective bargaining agreements supersede contrary provisions of the Personnel Code, Personnel Rules and Rules of the Civil Service Commission (see 5 ILCS 315/15).

b) Employees whose positions are subject to collective bargaining agreements may appeal disciplinary actions, demotions, layoffs, geographical transfers or rule violations either through the procedure set forth in the agreement or through the Commission, but not both.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010___

80 Ill. Adm. Code 1.142 Jurisdiction B Exemptions

a) The Civil Service Commission shall exercise its judgment when determining whether a position qualifies for exemption from Jurisdiction B under Section 4d(3) of the Personnel Code. The Commission will consider any or all of the following factors inherent in the position and any other factors deemed relevant to the request for exemption:

1. The amount and scope of principal policy making authority;

2. The amount and scope of principal policy administering authority;

3. The amount of independent authority to represent the agency, board or commission to individuals, legislators, organizations or other agencies relative to programmatic responsibilities;

4. The capability to bind the agency, board or commission to a course of action;

5. The nature of the program for which the position has principal policy responsibility;

6. The placement of the position on the organizational chart of the agency, board or commission;

7. The mission, size and geographical scope of the organizational entity or program within the agency, board or commission to which the position is allocated or detailed.

b) The Commission may, upon its own action after 30 days notice to the Director of Central Management Services or upon the recommendation of the Director of the Department of Central Management Services, rescind the exemption of any position that no longer meets the requirements for exemption set forth in subsection (a). However, rescission of an exemption shall be approved after the Commission has determined that an adequate level of managerial control exists in exempt status that will insure responsive and accountable administrative control of the programs of the agency, board or commission.

c) For all positions currently exempt by action of the Commission, the Director of Central Management Services shall inform the Commission promptly in writing of all changes in essential functions, reporting structure, working title, work location, position title, position number or specialized knowledge, skills, abilities, licensure or certification.

d) Prior to granting an exemption from Jurisdiction B under Section 4d(3) of the Personnel Code, the Commission will notify the incumbent of the position, if any, of its proposed action. The incumbent may appear at the Commission meeting at which action is to be taken and present objections to the exemption request.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.143 Orders of Compliance

a) The Commission may, from time to time, review and investigate personnel policies, actions, or activities and administrative practices to insure that they are in compliance with the Personnel Code. Such review and investigation will be utilized by the staff in rendering reports to the Commission.

b) Findings by the Commission of probable discrepancies with respect to the Personnel Code or Rules, when communicated in writing to the Director of Central Management Services and the appropriate agency head, are considered as an order to the Director either to correct the probable discrepancy or to furnish an explanation to support a conclusion that a probable discrepancy does not exist. If, within 30 days after receipt of such order, neither appropriate corrective action has been initiated nor a satisfactory explanation has been submitted by the Director, the Commission may record such violations in the minutes of its meeting and take such other action as is appropriate to correct such violations.

History

• Source: Section 1.143 renumbered from Section 1.350 at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.145 Appearances - Representation

Parties may choose to represent themselves, be represented by an appropriate association, or be represented by an attorney licensed to practice law in the State of Illinois. An attorney representing a party shall file a written notice of appearance with the Commission identifying the attorney by name, address, telephone, facsimile number, email address and attorney registration number.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.146 Service of Pleadings

a) Manner of Service. When copies of documents filed with the Commission are required to be served on the opposing party, these copies shall be served personally, by first class mail, or in a manner agreed to by the parties and approved by the Administrative Law Judge pursuant to Section 1.150.

b) Proof of Service. Proof that copies were served on the opposing party must be filed with the papers required to be filed with the Commission. Proof of service shall consist of the statement of the individual making service specifying the manner and date of the service.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.147 Appeal Hearing File

After an appeal to the Commission has been filed, the Commission will establish an appeal file containing all documents pertinent to the appeal. Either party to the appeal may inspect the file during regular business hours in the office of the Commission. Members of the public may inspect or request a copy of the appeal file in accordance with the Freedom of Information Act [5 ILCS 140], except for those records exempt from inspection and copying by that Act or subject to protective order.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.150 Filing Procedure - Computation of Time

a) Filing and Form of Papers

1. The original copy of a complaint, appeal, pleading, written motion, notice or other paper must be filed in the Springfield office of the Commission. If the last day for filing falls upon a weekend or legal holiday, the last date for filing will be the first business day subsequent to the weekend or legal holiday.

2. Papers shall be signed by the party filing the paper or by the party's representative and shall contain the address of the party or, if represented, the name, business address and telephone number of the representative. Copies of all filed papers shall be served on all parties to the proceedings, and notice of service shall be given to the Commission.

3. Each document shall show on the first page the caption and case number assigned by the Commission, and shall identify the party on whose behalf the document is filed. The final page of each filed document shall contain the name, address and telephone number of the attorney, or of the party if the party is self-represented.

4. In accordance with the Identity Protection Act [5 ILCS 179], no person's Social Security Number shall be filed or submitted to the Commission in a pleading, exhibit or any other document related to a case unless the Social Security Number is essential to the matter before the Commission.

b) Notice

Notice to a designated representative is notice to the client or member represented. Notice to an employee who is not represented shall be served at the address specified in the employee's appeal or, if an address was not specified, to the last address shown in the employee's personnel record.

c) Computation of Time

Whenever a time period commences upon a person's receipt of service by mail, receipt shall be presumed to have occurred on the fourth day after mailing. The presumption may be rebutted by proper proof.

d) Filing by Facsimile and/or Electronic Mail

1. Filing may be by facsimile if done in accordance with this Section.

2. Filings may be by electronic mail (email) if agreed to by all of the parties. A party serving a document by email must successfully transmit the document to the recipients' primary email address or any of the recipients' secondary email addresses.

3. If any computer malfunction precludes the email service of a document, the party must promptly serve the document by paper in accordance with this Section.

4. The Commission may serve notices of hearing, orders, final decisions, and other documents by email, in lieu of serving paper documents, if the recipients have consented to email service in the proceeding and have not revoked the consent.

e) Electronic Filing System

Filings may be completed electronically with the Commission through its electronic filing system.

History

• Source: Amended at 49 Ill. Reg. 6894, effective May 1, 2025

80 Ill. Adm. Code 1.154 Notice, Time and Place of Hearing

Disciplinary hearings shall be scheduled within 30 days after the request for hearing is filed with the Commission. At least 10 days notice of the time and date of the first hearing shall be given to all parties. This may, however, be waived in an emergency. Ordinarily, appeals will be heard in the Commission's Chicago or Springfield office, but the Administrative Law Judge may conduct proceedings in other geographic locations for the convenience of witnesses and/or the parties.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.158 Public Hearing - Recording - Confidentiality

a) All hearings shall be open to the public, except as otherwise provided in subsection (b).

b) Upon motion of either party, the hearing may be closed to the public when testimony or exhibits would refer to and reveal matters that constitute an exception to public disclosure under Section 7(1)(c) of the Illinois Freedom of Information Act [5 ILCS 140/7(1)(c)] or if the Administrative Law Judge finds it necessary to close the hearing in instances in which personal safety is of concern or when confidential testimony/exhibits/matters are to be referenced or revealed.

c) Recording of hearings by devices used by individuals other than the officially designated court reporter or Administrative Law Judge is not allowed.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.160 Disciplinary Charges and Amendments

a) Charges must be specific enough to apprise the employee of the nature and substance of the cause alleged for discharge. Written charges approved by the Director of Central Management Services seeking an employee's discharge, demotion or suspension totaling more than 30 days in any 12-month period shall contain a specific statement of facts that allege the cause for the proposed action sought against the employee. If a breach of a statutory duty or a rule of the agency is alleged, the specific statute or rule shall be cited in connection with the charge.

b) Charges shall be set forth in separate paragraphs and contain the dates, names of persons, places and information reasonably calculated to apprise the employee of the allegations that are the basis of the discipline.

c) At any time prior to commencement of hearing or prior to the close of hearing, the Administrative Law Judge may, upon motion of a party, permit amendment of charges if no undue surprise results that would prejudice the opposing party's right to a prompt hearing or impose an injustice on either side.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.170 Level of Discipline

In determining the appropriate level of discipline, the Commission shall consider the nature of the offense, the employee's performance record, including disciplinary history, the employee's length of continuous service, and other relevant factors. Cause for discharge shall be determined in accordance with 80 Ill. Adm. Code 302.700.

History

• Source: Amended at 49 Ill. Reg. 6894, effective May 1, 2025

80 Ill. Adm. Code 1.180 Conduct of Hearings (repealed)

History

• Source: Repealed at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.190 Subpoena - Fees and Mileage of Witnesses

a) Upon written request by a party to a contested case, the Commission will issue a subpoena for attendance of a witness or production of books, papers, documents or other tangible things at a hearing or deposition if the party shows good cause as to why the testimony and/or books, papers, documents or other tangible things cannot otherwise be obtained and states the reasons why the testimony and/or books, papers, documents or other tangible things are necessary and relevant.

b) Subpoena forms may be obtained upon written request to the Administrative Law Judge in the Commission's Springfield office.

c) Witness and Mileage Fees − The cost of service and witness and mileage fees shall be borne by the person requesting the subpoena. Witness and mileage fees shall be the same as are paid witnesses in the circuit courts of the State of Illinois.

d) Service and Contents − The person requesting a subpoena shall be responsible for its service. The subpoena shall state the telephone number and address of the person initiating its issuance and shall identify the person or evidence subpoenaed and the person to whom, and the place, date and the time at which, it is returnable.

e) Petition to Quash or Modify − Within five days after service of a subpoena on any person, that person may file a petition to quash or modify the subpoena, stating reasons in support of the relief. A copy of the petition shall be served at the same time on the person serving the subpoena. Whenever a petition to quash a subpoena is properly filed under this Section, the petitioner shall not be required to respond to the subpoena until the petition has been ruled upon.

f) Any witness subpoenaed for a deposition may be required to attend only in the county in which he or she resides or maintains an office address, or in any other place ordered by the Administrative Law Judge.

g) Enforcement − Whenever any person knowingly fails or refuses to comply with a subpoena, the party serving the subpoena or the Commission shall petition the appropriate circuit court pursuant to the Personnel Code for an order enforcing the subpoena.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.200 Authority of Administrative Law Judge

The Administrative Law Judge has the authority to conduct a hearing, take all necessary action to avoid delay, maintain order, and insure the development of a clear and complete record. The Administrative Law Judge shall have all powers necessary to conduct a hearing, including the power to:

a) Administer oaths and affirmations;

b) Regulate the course of hearings, set the time and place for continued hearings, fix times for filing of documents, provide for the taking of testimony by deposition if necessary, and generally conduct the proceedings according to generally recognized administrative law and this Part;

c) Examine witnesses and direct witnesses to testify. If a witness refuses to answer a question after being directed to do so, the Administrative Law Judge may make such orders with regard to the refusal as are just and appropriate, including but not limited to excluding the testimony of a witness, admitting certain facts for purposes of the proceedings, or dismissing the appeal if the witness is under control of a party;

d) Limit the number of times any witness may testify, limit repetitious or cumulative testimony and set reasonable limits on the amount of time each witness may testify and be cross-examined;

e) Rule upon offers of proof and receive relevant evidence;

f) Direct parties to appear and confer for the settlement or simplification of issues, and to otherwise conduct prehearing conferences;

g) Dispose of procedural requests or similar matters;

h) Render findings of fact, conclusions of law and proposals for decision for an order or finding and decision of the Commission;

i) Reprimand or exclude from the hearing any person for disruptive or improper conduct committed in the presence of the Administrative Law Judge;

j) Take official notice of information from the employee's personnel record, United States Postal Service tracking information, generally recognized facts, administrative rules and regulations, and statutes;

k) Enter a protective order to ensure the protection of any confidential or proprietary information, information specifically prohibited from disclosure by federal or State law or rules or regulations adopted under Federal or State law, or information that, if disclosed, would constitute a clearly unwarranted invasion of personal privacy;

l) When a potential witness is available and appears to have information relevant to the case that would not be merely cumulative, and when the witness' relationship with one of the parties is such that the witness would ordinarily be expected to favor that party, if the party does not produce testimony, the inference arises that it would have been unfavorable and the Commission may draw a negative inference from the failure to testify;

m) Conduct any activity, including hearings and prehearing conferences, by video, telephone or other electronic means;

n) Enter any order that further carries out the purpose of this Part.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.205 Motions

a) Unless made orally on the record during a hearing, all motions shall be in writing and shall briefly state the order or relief requested and the specific grounds upon which relief is sought. Motions based on a matter that does not appear on record shall be supported by affidavit.

b) A written motion shall be served at the same time upon all parties and filed with the Commission's Springfield office.

c) Written motions and responses to motions shall set forth the arguments and authorities relied upon to permit the Administrative Law Judge to make a decision without oral argument on the motion. Parties may request a hearing that will be granted or denied based on the Administrative Law Judge's determination of need.

d) Within seven days after service of a motion, a participant or party may file a response to the motion. If no response is filed, the participant or party shall be presumed to have waived objection to the granting of the motion, but the waiver of objection does not bind the Administrative Law Judge in the decision on the motion. Unless undue delay or material prejudice would result, the Administrative Law Judge will not grant any motion before expiration of the seven-day response period. The moving person shall not have the right to reply, except as permitted by the Administrative Law Judge.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.210 Extensions of Time - Continuances of Hearing - Waivers of Compensation for Continuances

a) The Commission, or an Administrative Law Judge appointed by it to conduct a hearing, may, for good cause shown on timely motion after notice to the opposite party, extend the time for filing any pleading or may continue the date of a scheduled hearing for a limited period.

b) Granting or denying a continuance of a scheduled hearing is within the discretion of the Commission or the Administrative Law Judge.

c) Motions for extensions or continuances are not timely unless asserted at least 48 hours prior to the time scheduled for filing or hearing, except for emergencies, including but not limited to serious illness, family death or family emergency relating to the party or the representative for the party.

d) The granting of a request for continuance by the employee in a discharge appeal will, under normal circumstances, constitute a voluntary waiver of any claim to compensation for the period of the continuance if the employee is ordered retained in his or her position.

e) Requests for continuances must be preceded by contacting the opposing party, either orally or in writing, and asking for agreement to the continuance.

f) An employee's request for the first continuance in the case of a demotion or disciplinary appeal must be made in writing.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.212 Consolidation

Two or more appeals may be consolidated on motion of either party or the Administrative Law Judge when the cases involve common issues of law or fact, consolidation would not prejudice the rights of the parties, and consolidation would result in the efficient and expeditious resolution of appeals.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.216 Qualification of Administrative Law Judge

An Administrative Law Judge shall possess a license to practice law in the State of Illinois.

History

• Source: Added at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.218 Disqualification of Administrative Law Judge

a) An Administrative Law Judge assigned to a proceeding may, upon written request to and approval of the Executive Director, recuse himself or herself therefrom.

b) Whenever any party believes an Administrative Law Judge for any reason should be disqualified from conducting, or continuing to conduct, a proceeding assigned to him or her, such party may file a motion to disqualify the Administrative Law Judge, setting forth by affidavit the alleged grounds for disqualification. The Administrative Law Judge shall have seven (7) days after filing of the motion within which to enter a written ruling thereon. A copy of such ruling shall be served upon all parties. The Commission may, on its own motion, review rulings denying or granting a motion for disqualification.

History

• Source: Added at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.220 Discovery

The Commission does not facilitate the exchange of discovery information between or among the parties. Discovery is a process primarily conducted between or among the parties. Discovery shall be attained through the following methods:

a) Bill of Particulars − An employee who is the subject of disciplinary charges may request additional information regarding the charges. Written demands for relevant information concerning the charges shall be answered within 10 days after service unless objected to.

b) Written Interrogatories − A party may direct written interrogatories to any other party. The interrogatories shall be restricted to the subject matter of the complaint or defense and shall avoid placing undue detail, excessive burden, or expense on the answering party. Within 10 days after service, the answering party shall serve on the propounding party an answer, under oath or affirmation, or an objection to each interrogatory. When appropriate, a document may be served in answer to an interrogatory. Supplemental interrogatories shall not be allowed except on leave of the Administrative Law Judge for good cause shown.

c) Production, Inspection, Copying or Photographing of Documents and Tangible Things − A party, by written request served upon the other parties, may require production for inspection, copying or photographing any document, object or tangible thing that is relevant to the subject matter of the complaint or defense. The party upon whom the request is served shall respond to the request within 10 days, stating with respect to each item or category that inspection and related activities will be permitted as required, unless the request is objected to, stating the reasons for objection.

d) List of Witnesses and Documents − Upon timely request prior to a hearing on the merits, each party to the proceeding shall serve on the other party:

1. A list of names and home or work addresses of the witnesses the party proposes to call in its case in chief.

2. All documents the party proposes to offer in its case in chief.

3. All written or recorded statements of the party's witnesses that may be used by an adverse party for the purpose of cross-examination.

e) Deposition − A party may take discovery depositions either for good cause shown or by agreement. A discovery deposition, taken for good cause or by agreement, may be taken only upon leave of the Administrative Law Judge. No party shall serve a notice of deposition without leave of the Administrative Law Judge.

f) Admission of Fact or of Genuineness of Documents − A party may serve on any other party a written request for the admission by the latter of the truth of any specified relevant fact set forth in the request or for the admission of genuineness of any relevant documents described in the request. Copies of the documents shall be served with the request unless copies have already been furnished.

g) Privileges − All matters that are privileged against disclosure in civil cases in the courts of the State of Illinois shall be privileged against disclosure through any discovery procedure.

h) Limitation of Discovery − At any time the Administrative Law Judge may, on his/her own motion or on motion of any party or witness, make protective orders as justice and fairness may require, denying, limiting, conditioning or regulating discovery to prevent unreasonable annoyance, expense, embarrassment, disadvantage or oppression.

i) Unless specifically requested by the Administrative Law Judge, the parties shall not file discovery with the Commission.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.222 Evidence Depositions

Upon order of the Administrative Law Judge, a deposition of any witness may be taken for use as evidence in a Commission proceeding. The depositions may be taken in the manner provided by law for depositions in civil actions in the courts of this State.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.224 Prehearing Conference

a) Upon written notice by the Administrative Law Judge in any proceeding, parties or their representatives may be directed to appear in person or by telephone or other electronic means at a specified time and place for a conference, prior to or during the course of hearing for the purposes of:

1. Scheduling;

2. Simplifying the issues;

3. Amending the pleadings for clarifications, amplification or limitation;

4. Making admissions of facts or stipulating to the admissibility of any matters to expedite the hearing;

5. Limiting the number of witnesses;

6. Exchanging prepared testimony and exhibits; and

7. Aiding in the simplification of the evidence and disposition of the proceeding.

b) After a prehearing conference, the Administrative Law Judge may provide all parties with a statement that recites:

1. Any ruling on motions or other actions taken by the Administrative Law Judge;

2. Any agreements made by the parties as to any of the matters considered; and

3. Those issues remaining for hearing.

c) A court reporter may be present to transcribe the proceedings at a prehearing conference. All costs related to the court reporter's services shall be borne by the party requesting the service. The written record of the prehearing conference shall be filed with the Commission within 10 days after receipt of the transcript.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.226 Stipulations

The parties to any proceeding may, by stipulation in writing filed with the Commission or entered orally in the record, agree upon the facts or any part of the facts involved in the proceeding. It is the policy of the Commission to encourage stipulations of fact whenever practicable.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.230 Default

Failure of a party to appear on the date set for hearing, or failure to file materials or submissions required by this Part or by order of the Administrative Law Judge or Commission, shall constitute a default. The Administrative Law Judge may, upon motion of the party who has appeared or upon his or her own motion, dismiss the appeal subject to approval of the Commission.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.232 Burden of Proof

a) The proponent of any matter asserted shall have the burden of proof to establish by a preponderance of evidence that the matter asserted is more probably true than not true.

b) When a party has the burden of proof and establishes the matter asserted by the required quantity of evidence, the party has made a prima facie case, and the burden of disproving the matter asserted goes to the opposing party by the same quantity of evidence.

History

• Source: Added at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.233 Evidence

a) Irrelevant, immaterial or unduly repetitious evidence shall be excluded. The rules of evidence and privilege as applied in civil cases in the circuit courts of Illinois shall be followed. However, evidence not admissible under those rules of evidence may be admitted (unless precluded by statute) if it is of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs.

b) Objections to evidentiary offers may be made and shall be noted in the record.

c) Any party who has had evidence excluded may make an offer of proof.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.234 Hostile Witness

If the Administrative Law Judge determines that a witness is hostile or unwilling, examination of the witness by the calling party may be conducted as if under cross-examination. The party calling an occurrence witness may, upon showing the witness was called in good faith but the calling party is surprised by the testimony, impeach the witness by proof of prior inconsistent statements.

History

• Source: Old Section 1.234 repealed and Section 1.237 renumbered to Section 1.234 and amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.235 Exhibits

a) Marking − All exhibits shall be marked by a court reporter designated to record the hearing in numerical order with a party designation.

b) Designation of Part of Document as Evidence − When relevant material matter offered into evidence is included in a book, paper or document containing other material not relevant, the person offering the material must plainly designate the matter offered.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.236 Order of Hearing

a) The Administrative Law Judge shall open the hearing by explaining the procedure to be followed in the hearing. Upon motion of either party or at the discretion of the Administrative Law Judge, any or all witnesses may be sequestered.

b) Preliminary matters such as objection to charges, disputes involving discovery, stipulation of facts and documents, and scheduling of witnesses may be resolved.

c) Each party shall be given the opportunity to make a brief opening statement identifying the issues and indicating what is to be proven.

d) All witnesses shall testify under oath or affirmation.

e) Each party may conduct such cross-examination as required for a full and true disclosure of the facts. The Administrative Law Judge may also examine witnesses.

f) Before closing the proceedings, the Administrative Law Judge may allow both parties the opportunity to make brief oral and/or written closing statements.

g) Witnesses may be required to testify via telephone and/or video conference by order of the Administrative Law Judge.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.237 Hostile Witness (renumbered)

History

• Source: Section 1.237 renumbered to Section 1.234 at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.240 Interlocutory Appeal

When in the course of a hearing the Administrative Law Judge finds a question of law, fact or policy that if resolved by the Commission will materially advance the resolution of the dispute, the Administrative Law Judge, on his or her own motion or the motion of one of the parties, may refer the issue to the Commission for resolution.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.250 Past Work Record (repealed)

History

• Source: Repealed at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.260 Oral Argument Before the Commission

Oral argument in contested cases will not be allowed before the Commission unless novel and precedent setting questions of law or policy are at issue. Argument by interested parties shall be requested by motion to the Commission with notice to the opposing party made at least five days before the Commission's public meeting in which the matter will be considered. The issues that will be the subject of argument shall be set forth with particularity in the motion.

History

• Source: Amended at 34 Ill. Reg. 3485, effective March 3, 2010

80 Ill. Adm. Code 1.270 Authority of Commission Regarding Orders and Proposals for Decision of the Administrative Law Judge

a) The Commission shall have the authority to affirm, reverse or modify the proposal for decision of the Administrative Law Judge, or remand the matter to the Administrative Law Judge for the purposes set forth in Section 1.290.

b) If the Commission reverses or modifies a proposal for decision, it shall set forth in its written decision those findings of fact, conclusions of law, or other portions of the proposal for decision that it is reversing or modifying. All portions of the proposal for decision not set forth in the Commission's written decision are presumed to be affirmed.

c) A decision or action of the Commission shall become final at the time it is made in writing and announced at an open and public meeting of the Commission and cannot be further reviewed by or appealed to the Commission.

d) The Commission's final administrative decision shall be served on the parties or their legal representatives in accordance with Section 1.150 or in a manner agreed to by the party receiving the decision.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.280 Record of Proceedings

a) Whenever a hearing is held under the Personnel Code or this Part, it shall be recorded by a court reporter or other means that adequately preserves the record. The Administrative Law Judge or Commission may order that any recording be transcribed. The agency that is a party to the hearing shall bear all costs related to the production of the transcript of the proceedings, including but not limited to the costs of the court reporter and original transcript. Parties who order copies of the transcript are responsible for the cost of the copies. The transcript provided to the Commission shall be transcribed in full page format with a word index. A party who has requested a protective order (request that certain information remain confidential during and after the hearing) shall be responsible for redacting the protected information from the transcript.

b) The written record of the proceeding shall be filed with the Commission within 10 days after receipt of the transcript of the final hearing by either the agency or its representative. Upon agreement of the parties, the written transcript may be filed directly with the Commission by the court reporter. Written notice of filing shall be served on all parties to the proceedings.

c) Any record will be available for examination by the public at reasonable times in the Springfield office of the Commission. Upon written request made at least 48 hours (exclusive of Saturdays, Sundays and official State holidays) in advance, the Commission will make any record available for examination at its Chicago office.

d) The transcript of proceedings on any matter before the Commission is complete upon the filing of the court reporter's transcript of the final day of hearing or the last filed written closing statement, whichever is later.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.290 Remandment

Until the decision in a case is final, the Commission may remand it to the Administrative Law Judge for the purpose of taking additional evidence or soliciting additional argument or for any other reason that will assist the Commission in rendering its finding and decision.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.300 Administrative Review

All final decisions of the Commission shall be subject to appeal by the parties to the proceedings under the Administrative Review Law [735 ILCS 5/Art. III] by the filing of a complaint and the issuance of summons within 35 days from the date that a copy of the Commission decision was served upon the party affected. A decision is deemed to have been served when personally delivered or when deposited in the United States mail in a sealed envelope or package, with postage prepaid, addressed to the party affected at the party's last known residence or place of business, or served by facsimile or electronic mail in accordance with Section 1.150.

History

• Source: Amended at 42 Ill. Reg. 16395, effective September 1, 2018

80 Ill. Adm. Code 1.310 Personnel Rules

The Commission has power to disapprove new rules or amendments to existing rules submitted by the Director of Central Management Services. Such proposed new rules or amendments of existing rules submitted to the Commission shall be accompanied by a report of proceedings attending the prior public hearing required by law with respect to them. If the Commission does not disapprove new rules or any amendment to existing rules within 30 days following the receipt from the Director of Central Management Services, the new rules or amendments have the force and effect of law after filing by the Director with the Secretary of State.

80 Ill. Adm. Code 1.320 Classification Plan (renumbered)

History

• Source: Section 1.320 renumbered to Section 1.45 at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.330 Collective Bargaining Agreements (renumbered)

History

• Source: Section 1.330 renumbered to Section 1.141 at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.340 Jurisdiction B Exemptions (renumbered)

History

• Source: Section 1.340 renumbered to Section 1.142 at 19 Ill. Reg. 12451, effective August 21, 1995

80 Ill. Adm. Code 1.350 Orders of Compliance (renumbered)

History

• Source: Section 1.350 renumbered to Section 1.143 at 19 Ill. Reg. 12451, effective August 21, 1995

Chapter II Secretary of State Merit Commission

Part 50 Merit Commission

80 Ill. Adm. Code 50.10 Meetings of the Merit Commission

a) Notice of the date, time, and place of any meetings of the Merit Commission--regular, special, or otherwise – called by the Chairman of the Commission shall be in writing and a copy thereof delivered to each member, the Secretary of State, and the Director of Personnel ("Director") by the Chairman of the Commission at least three calendar days in advance of the meeting. Notice shall also be delivered to the General Law Division of the Attorney General's Office and to others, including organizations representing a substantial number of State employees, provided that a written request for notification has been filed with the Commission. Request for notification shall be annually filed in July.

b) Regular meetings will convene alternately, when practicable, between Chicago, and Springfield, Illinois.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.20 Classification Plan

a) The Commission will review the class specifications requiring Commission approval under the Classification Plan and will approve those which meet the requirements of the Secretary of State Merit Employment Code ("Code") (Ill. Rev. Stat., ch. 124, par. 101, et seq) and Personnel Rules (80 Ill. Adm. Code 410 and 420), including the Classification Plan, and which conform to the following currently acceptable principles of position classification in the merit system:

1. Definitive description of duties, including a clear statement of distinguishing features and illustrative duties;

2. Identifiable differentiation between classes and levels of classes;

3. Progression between classes;

4. Provision for reasonable and valid basis of merit selection through examination;

5. Consistency of requirements for, and duties of, a given class;

6. Consistency within classes regarding difficulty, complexity and nature of work;

7. Consistency with other classes similar in difficulty, complexity, and nature of work.

b) In the event that it can be reasonably anticipated that employee layoffs will result by virtue of class specification revisions, the Director will supply to the Commission, prior to review, full detailed information respecting such prospective layoffs.

History

• Source: Amended at 11 Ill. Reg. 6285, effective April 15, 1987

80 Ill. Adm. Code 50.30 Personnel Rules

a) The Commission will review new rules or amendments to existing rules submitted by the Director. Such proposed new rules or amendments of existing rules submitted to the Commission shall be accompanied by any comments received by the Director with respect to them.

b) In conducting such review, the Commission will consider:

1. Whether the Director has the authority to promulgate the rule;

2. Whether the rule will accomplish its intended purpose;

3. Whether it conflicts with existing rules or collective bargaining agreements;

4. Whether the rule is clear and unambiguous;

5. Whether the rule will limit an employee's vested rights;

6. Whether the rule conflicts with any public policy as declared by the Governor, the Legislature, the Courts, or the opinions of the Attorney General.

c) If the Commission does not disapprove new rules or any amendments to existing rules within 30 calendar days following the receipt from the Director, the new rules or amendments may be submitted to the Joint Committee on Administrative Rules.

History

• Source: Amended at 11 Ill. Reg. 6285, effective April 15, 1987

80 Ill. Adm. Code 50.40 Jurisdiction B Exemptions

a) The Commission, upon written recommendation of the Director, shall exempt from Jurisdiction B positions which, in the judgement of the Commission, involve either principal administrative responsibility for the determination of policy or principal administrative responsibility for the way in which policies are carried out and/or are highly confidential positions, except positions which have the powers of a law enforcement officer may not be exempted.

b) The Commission may review such exempt positions and, where they no longer comply with Section 50.40 (a) shall rescind exempt status.

c) For all positions currently exempt by action of the Commission, the Director shall inform the Commission in writing of all changes in duties, responsibilities, organization, location, allocation or identity within 10 calendar days of any such change.

d) At least 10 calendar days prior to granting an exemption from Jurisdiction B, the Commission will notify the incumbent of the position, if any, of its proposed action, whereupon the incumbent and/or his representative may appear at the Commission meeting at which action is to be taken and present objections to such exemptions.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.50 Orders of Compliance

a) The Commission may, from time to time, review and investigate personnel policies, actions, or activities and administrative practices to insure that they are in compliance with the Code. Such review and investigation will be utilized by the staff in rendering reports to the Commission.

b) Findings by the Commission of probable discrepancies with respect to the Code or Rules, when communicated in writing to the Director and the appropriate Department or Division head, are considered as an order to the Director either to correct the probable discrepancy or to furnish an explanation to support a conclusion that a probable discrepancy does not exist. If, within 30 calendar days after receipt of such order, neither appropriate corrective action has been initiated nor a satisfactory explanation has been submitted by the Director, the Commission shall record such violations in the Minutes of its meeting and take such other action as is appropriate to correct such violations.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.60 Disciplinary Hearings and Demotions

a) A certified employee who has been served with written charges approved by the Director for removal, discharge, demotion, or suspension for a period of more than 30 calendar days within a twelve month period may appeal to the Merit Commission provided such appeal is made in writing and received by the Commission within 15 calendar days after service of such approved charges.

b) Charges

1. Written charges approved by the Director seeking an employee's discharge, demotion, or suspension totaling more than 30 calendar days in any twelve month period shall contain a specific statement of facts which allege the cause for the proposed action sought against the employee. If a breach of a statutory duty or a rule of the agency is alleged, the statute or rule shall be cited in connection with the charge.

2. Charges shall be set forth in separately numbered paragraphs and contain the dates, names of persons, places, and facts necessary to properly allege cause. Charges must be specific enough to apprise the employee of the nature and substance of the cause alleged for the disciplinary action.

c) Procedure

1. The burden of proof in all disciplinary hearings shall be upon the employing department.

2. Section 50.110 shall apply to all disciplinary hearings.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.70 Geographical Transfers

a) Filing Requirements

1. A certified employee who has been served with an approved order for geographical transfer, may appeal to the Merit Commission provided such appeal is made in writing and received by the Commission within 15 calendar days after the date the employee is required to report to the new location.

2. Under normal circumstances, a temporary transfer of an employee for a period in excess of 60 calendar days will be considered a permanent transfer, enabling the employee to then appeal such transfer without regard to Section 50.70 (a)(1) herein.

b) Procedure

1. In appeals to the Commission from permanent transfers from one geographical area in the State to another, the employee shall have the burden of introducing sufficient, competent, and credible evidence showing that the transfer was unreasonable, unjust, capricious, or not a bona fide attempt to serve the best interest of the operating agency.

2. Unless inconsistent with this Section, the procedures of Section 50.110 shall apply to geographical transfer hearings.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.80 Allocation Appeals

a) Any employee affected by the allocation of a position to a class may appeal to the Commission, provided that the employee has requested and received a reconsideration decision from the Director, and that the appeal to the Commission is received within 15 calendar days after service of the Director's reconsideration decision. A copy of the notice of appeal must be served upon the Director. Such notice should state the name of the employee, his Department or Division, and a description of the classification dispute.

b) Upon the receipt of a notice of appeal, the Director, shall file with the Commission within 20 calendar days a submission setting forth in full a clear and brief recitation of all relevent facts, argumentative facts, and documentary evidence submitted in exhibit form to substantiate the reconsidered decision. If said submission, as a matter of law, does not set forth facts and reasons from which it could be reasonably concluded that the employee is properly classified, summary judgement may be granted. A copy of the submission shall be served upon the employee.

c) Within 20 calendar days of the receipt of the Director's submission, the employee must file with the Commission an answer setting forth all relevant facts, argumentative facts, and documentary evidence in exhibit form. A copy of such answer must be served upon the Director. The employee shall point out with particularity the employee's disagreement with the submission of the Director.

d) If upon reviewing the material submitted by the Director the employee desires an oral conference, he/she should so state at the beginning of his/her answer. If upon reviewing the employee's answer, the Director desires an oral conference, he/she should so indicate within five calendar days of the receipt of the employee's answer. An informal conference will be convened if requested by either of the parties, and at least 10 calendar days notice will be given the parties of the time and date of such hearing.

e) Parties may be heard either in person, by counsel, or by other representatives as they may respectively elect.

f) The Commission may make its decision on the pleadings, i.e., the submission and answer, if sufficient non-controverted facts exist or it may order formal hearings held on disputed issues of fact or law at the request of either party or upon its own motion.

g) Upon failure to comply with this Section, the Commission may make its decision on the facts before it if sufficient facts exist, or it may default the non-complying party. Such a decision shall be deemed to be a decision on the merits of the appeal. In making such decision an adverse inference shall be drawn against any party failing to comply with this Section.

h) Unless inconsistent with this Section, the procedures of Section 50.110 shall apply to formal allocation hearings.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.90 Layoff Appeals

a)

1. A certified employee who has been laid off may appeal to the Merit Commission, provided said appeal is made in writing within 15 calendar days after the effective date of layoff.

2. The appeal shall set forth both the provisions of the Merit Employment Code and/or Personnel Rules which are alleged to have been violated and a brief recitation of the facts of said violation.

b) An investigation shall be conducted by the Commission and the proposed findings shall be served upon all parties to the dispute. The parties shall then have 21 calendar days to file in the office of the Commission a response to the proposed findings and a request for hearing if either party so desires.

c) If in the judgement of the Commission a material issue of fact or law exists, the parties will be notified of a date of hearing. The notice will set forth a short statement of the issue of fact and/or law. If the Commission determines that no material issue of fact or law exists, it will issue its decision based upon the findings of the investigation and the parties' responses thereto.

d)

1. The burden of proof in all layoff hearings shall be upon the employee to show that a violation of the Merit Employment Code or Personnel Rules has occurred.

2. Unless inconsistent with this Section, the procedures of Section 50.110 shall apply to layoffs.

History

• Source: Added at 8 Ill. Reg. 1988, effective February 10, 1984

80 Ill. Adm. Code 50.100 Personnel Code and Personnel Rule Violations

a) A certified employee who believes that a personnel transaction has been falsely labeled in an attempt to deprive the Commission of its lawful jurisdiction, or who believes that a personnel transaction adversely affecting him violates either the Code or the Personnel Rules, may within a period of 15 calendar days after receiving actual notice of such violation or falsely labeled transaction appeal in writing to the Commission.

b) The appeal must allege specific facts which if proven would establish a prima facie case that the personnel transaction named was a falsely labeled transaction, or that the Code or a Personnel Rule was violated in an attempt to deprive the employee of his/her rights under the Code or Rules. Any appeal which fails to allege sufficient and specific facts to support the allegation may be summarily dismissed by the Commission.

c) The Commission may make its decision on the appeal after an investigation of the allegations if sufficient non-controverted facts exist, or it may order a hearing on any disputed issue of fact or law. In any hearing called under the provisions of this Section to resolve a dispute of fact, the employee has the burden of establishing by the introduction of competent evidence a prima facie case proving that the alleged violation took place.

d) Nothing in this Section shall be construed to preclude employees from timely asserting any other rights given to them under the provisions of the Code or Personnel Rules.

e) Unless inconsistent with this Section, the procedures of Section 50.110 shall apply to this Section.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.110 Record of Hearings and General Procedural Rules

a) Filing and Form of Papers

1. The original copy of any complaint, appeal, pleading, written motion, notice or other documents shall be on 8½ x 11 paper and shall be filed in the Office of the Commission. Documents shall be signed in ink by the party filing them or by his representative and contain the address and telephone number of the party, or, if represented, the name, business address and telephone number of such representative.

2. Copies of all filed documents shall be served on all known parties to proceedings, and notice of such service shall be given to the Commission.

3. For the purpose of determining the timeliness of filing only, "receipt" is herein defined to mean either personal delivery or date of postmark when deposited in the U.S. mail, in a sealed envelope, with postage prepaid, and properly addressed. If the last date for filing falls upon a weekend or legal holiday, the last date for filing is the first business day following such weekend or legal holiday.

b) Notice

Notice to a designated representative is notice to his/her client. Notice to an employee who is not represented shall be served at the address specified in the employee's appeal or, in the absence of such specification, to the last address shown in the employee's personal file. Notice shall be served at the General Law Division of the Attorney General's Office with a copy sent to the Division or Department Head, and to the Director of Personnel.

c) Time of Hearing

The Commission shall grant the parties a hearing within 45 calendar days following actual, in hand receipt of a written request for hearing, except for cases involving position allocation, geographical transfer, and violation appeals. Geographical transfer, violation, and allocation appeal hearings shall be granted within 60 calendar days after receipt of a request for hearings.

d) Conduct of Hearings

All disciplinary hearings shall be public, but individuals displaying disruptive behavior may be barred. Each party may call witnesses to testify in his/her own behalf and to have the aid of counsel at his/her own expense. The respective parties may cross-examine opposing witnesses and present documentary and demonstrative evidence. The hearing need not be conducted according to the technical rules relating to evidence and witnesses. (See Section 10-40 of the Illinois Administrative Procedure Act [5 ILCS 100/10-40].)

e) Motions

1. If any party objects to the written charges, or other matters, the Commission favors the practice of submitting motions outlining such objections prior to the date of the hearing.

2. The motion shall point out specifically the defects complained of, and shall ask for appropriate relief, such as: that the action be dismissed, or that a charge be made more definite and certain in a specified particular, or that designated immaterial matter be stricken, and so forth. The Hearing Officer shall rule and enter an appropriate order either to permit or require pleading over or amending or terminating the matter in the whole or in part.

f) Continuances and Extensions

1. The Commission or a Hearing Officer appointed by it to conduct a hearing may, at its discretion, for good cause shown, on timely motion, after notice to the opposite party, extend the time for filing any pleading or documents or may continue the date of a scheduled hearing for a limited period.

2. Motions for extensions or continuances are not timely unless asserted at least 48 hours prior to the time scheduled for filing or hearing except for emergencies.

3. The granting of a request for continuance by the employee in a discharge appeal will constitute a voluntary waiver by him/her of any claim to compensation for the period of such continuance if he/she is ordered retained in his/her position.

g) Request for List of Witnesses

Upon timely request made, either party must furnish to the other party a list of the names and addresses of prospective witnesses.

h) Right to Inspect and Interview

Any party or their representative shall have the right, upon timely motion, to inspect any relevant documents in the possession of or under the control of any other party and to interview employees having knowledge of relevant facts. Interviews of employees and inspection of documents shall be at times and places reasonable for the employee and for the employer.

i) Appearances of Witnesses

1. The Commission Chairman and Commissioners are authorized to issue subpoenas for those witnesses or documents as may be required by any party. Subpoenas duces tecum shall specify the books, papers, and accounts or documents desired to be produced. The appearance of a party or agent and/or employee of a party, may be secured by merely serving the party with written notice designating the persons required to appear. For good cause shown the Hearing Officer on motion may quash or modify any subpoena or notice.

2. The Code provides that any person who shall fail to appear in response to a subpoena or to answer any question or produce any books or papers pertinent to any such investigation or hearing or who shall knowingly give false testimony in relation to any investigation or hearing under the Code shall be guilty of a misdemeanor. (Section 15 of the Code)

j) Pre-Hearing Conference

1. In any action, the Hearing Officer may hold a pre-hearing conference. At the conference, the parties, or their representatives, shall appear as the Hearing Officer directs to consider:

A) The simplification of the issue;

B) Amendment to the charges;

C) The possibility of obtaining admissions and stipulations of fact and of documents to avoid unnecessary proof;

D) The limitation of the number of expert witnesses;

E) Any other matters that may aid in the disposition of the action.

2. The Hearing Officer shall make an order reciting any action taken, any agreement made by the parties as to any of the matters considered, and the issues to be heard.

k) Written Interrogatories

1. Any party may direct written interrogatories to any other party. Interrogatories shall be restricted to the subject matter of the particular case.

2. Within a reasonable time period after the service of the interrogatories an answer or objection shall be made to each interrogatory. If an answer may be obtained from a document in the possession or control of a party, it shall be sufficient to specify that document as an answer.

3. Answers to interrogatories may be used in the same manner in Commission proceedings as depositions.

l) Depositions

Upon order of the Hearing Officer, the Commission, its Hearing Officer, or any party may cause a deposition of any witness to be taken for use in a Commission proceeding as evidence. The deposition shall be taken in the manner provided by law for depositions in civil actions in the courts of this state.

m) Written Admissions

A party may serve on any other party a written request for the admission by the latter of the truth of any specified relevant fact set forth in the request, or for the admission of genuineness of any relevant documents described in the request. Copies of the documents shall be served with the request unless copies have already been furnished. Failure to answer such request within a reasonable time shall be deemed as an admission of all items contained in the request.

n) Opening and Closing Statements

Upon the opening of the hearing, the Hearing Officer may allow the Petitioner and the Respondent to make opening statements. Upon the close of the hearing, each side may make a closing statement orally and/or by written brief incorporating arguments of fact and law. The form of the closing statement shall be at the discretion of the Hearing Officer.

o) Examination of Adverse Party or Agent

In the hearing of any case, any party or his agent may be called and examined as if under cross-examination at the instance of any adverse party. The party calling for the examination is not concluded thereby, but may rebut the testimony thus given and may impeach the witness by proof of prior inconsistent statement.

p) Hostile Witness

If the Hearing Officer determines that a witness is hostile or unwilling, the witness may be examined by the party calling him/her as if under cross-examination. The party calling an occurrence witness may, upon showing that he/she called the witness in good faith but is surprised by his/her testimony, impeach the witness by proof of prior inconsistent statements.

q) Failure to Comply with Orders or Rules

If a party, or any person at the instance of or in collusion with a party, unreasonably refuses or fails to comply with this Part, or with any order of the Merit Commission or its Hearing Officer, the hearing authority may enter such adverse finding, order, or decision as may be necessary to insure just disposition of the matter.

r) Record of Proceedings

In all hearings, other than informal allocation conferences, held before the Commission or a Hearing Officer duly appointed by the Commission to conduct those hearings, the Department or Division that is a party thereto shall arrange for a record of the proceedings to be made, transcribed, and filed in the Office of the Commission.

s) Proposed Decision and Responses

1. In every contested case, the Hearing Officer shall prepare a proposal for decision that shall be forwarded to the parties at least 10 calendar days prior to the Commission meeting to allow the filing of written exceptions and legal arguments prior to the Commission rendering a final decision.

2. Five copies of any such response must be received by the Commission at least 72 hours prior to the meeting at which a decision is scheduled to be rendered. For purposes of this subsection only "receipt" is defined as "actual, in-hand receipt".

History

• Source: Amended at 39 Ill. Reg. 436, effective December 18, 2014

80 Ill. Adm. Code 50.120 Authority of the Hearing Officer

The Hearing Officer appointed by the Commission shall have the authority to conduct hearings in accordance with generally recognized administrative law precepts, and in connection therewith to hold pre-hearing conferences, to administer oaths, to examine witnesses, to make rulings on motions, and to issue orders subject to Commission review. He/she shall also have authority to rule on any substantive or procedural matter not covered within this Part, such rulings to be subject to the final review of the Commission.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.130 Authority of Commission Over Hearing Officer

a) Until the decision in a case is final, if the Commission determines, by majority vote, that an error made by the hearing officer necessitates obtaining additional evidence in order to correct the error, the Commission shall remand it to the Hearing Officer.

b) The Commission shall have the authority to affirm, reverse, modify or set aside in whole or in part the rulings, orders, decisions, or recommendations of the Hearing Officer. In the exercise of this authority, the Commission shall abide by its own Rules set forth in this Part and the public policy of the State of Illinois as defined in Section 50.30b6 herein.

c) A decision shall become final on the date such decision is executed in writing with the concurrence of at least two members at a public meeting.

c) Motions made after the proposal for decision has been forwarded to the parties shall be ruled upon by the Commission prior to the rendering of the final decision, provided said motion is filed in accordance with Section 50.110 (s)(2).

History

• Source: Amended at 11 Ill. Reg. 6285, effective April 15, 1987

80 Ill. Adm. Code 50.140 Administrative Review

When the Commission renders a final decision any party affected thereby is entitled to have such decision reviewed by the Circuit Court under the "Code of Civil Procedure" (Ill. Rev. Stat. 1981, ch. 110, par. 3-101 et seq.) by filing a complaint and causing the issuance of summons on the administrative agency and on each of the other defendants within 35 calendar days from the date that a copy of such decision sought to be reviewed was served upon him/her.

History

• Source: Amended at 7 Ill. Reg. 17496, effective January 1, 1984

80 Ill. Adm. Code 50.150 Extension of Hearing Dates

Pursuant to the powers vested in him by Public Act 101-640, the Secretary of State hereby extends for the duration of the disaster proclaimed by the Governor in Gubernatorial Proclamation number 2020-038 issued on March 9, 2020, as extended by subsequent disaster proclamations, and for a period of 90 days thereafter, the date for all hearings conducted pursuant to Section 9 of the Secretary of State Merit Employment Code. This extension period may be rescinded by the Secretary of State through the adoption of an emergency rulemaking.

History

• Source: Added at 44 Ill. Reg. 17710, effective October 21, 2020

Chapter III State Comptroller

Part 100 Merit Commission Rules

80 Ill. Adm. Code 100.5 Definitions

Allocation: Proper assignment of any position to a class.

Certified Employee: An employee who has successfully completed an appointment and a required probationary period (80 Ill. Adm. Code 500.10).

Chair: Chair of the Merit Commission, appointed by the Comptroller for a 2-year term.

Classification Plan: A position classification plan for all positions subject to the Comptroller Merit Employment Code, based upon similarity of duties performed, responsibilities assigned, and conditions of employment.

Code: The Comptroller Merit Employment Code [15 ILCS 410].

Commission: The Merit Commission, created by the Comptroller Merit Employment Code, composed of 3 members appointed by the Comptroller, by and with the advice and consent of the Senate. No more than 2 members may be affiliated with the same political party. [15 ILCS 400/8]

Department: An organizational entity directly subordinate to the Comptroller or Deputy Comptroller.

Director: Director of the Comptroller's Department of Personnel.

Geographic Transfer: Transfer from one geographical location in the State to another.

Hearings Officer: A qualified person designated by the Merit Commission to preside over hearings.

Incumbent: The person currently holding a position.

Jurisdiction B: That portion of the Comptroller Merit Employment Code that requires that certain employees must be employed on the basis of merit and fitness.

Office of the Commission: 325 West Adams Street, Springfield, Illinois 62704.

Prima facie case: A case which has produced evidence sufficient to support a finding in favor of the person producing the evidence, unless evidence to the contrary is produced.

History

• Source: Added at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.10 Meetings of the Commission

a) The Merit Commission (Commission) shall meet monthly in accordance with a written schedule established by the Chair beginning each calendar year and posted at the Office of the Commission. At the discretion of the Chair, any monthly meeting may be canceled upon written notice to each Member, State Comptroller and the Director. Grounds for cancellation include, but are not limited to, lack of availability of a sufficient number of Commission Members to constitute a quorum; weather emergencies; lack of sufficient pending business warranting the Commission's attention. Any other meetings shall be called by the Chair upon a 3-day written notice of the date, time and place to each Member, State Comptroller and the Director.

b) Regular meetings will convene at Springfield or Chicago, Illinois.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.20 Classification Plan

a) The Commission will review the class specifications requiring Commission approval under the Classification Plan and will approve those which meet the requirements of the State Comptroller Merit Employment Code (Code) [15 ILCS 410] and personnel rules (80 Ill. Adm. Code 500), including the Classification Plan, and which conform to currently acceptable principles of position classification in the merit system.

b) In the event that it can be reasonably anticipated that employee layoffs will result by virtue of class specification revisions, the Director will supply to the Commission, prior to review, full detailed information respecting such prospective layoffs.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.30 Personnel Rules

The Director may recommend changes to the personnel rules of the Office of the Comptroller, but any rulemaking affecting those rules shall be submitted to the Commission for approval before being proposed by filing with the Secretary of State. Unless the Commission disapproves the recommended changes within 30 days following receipt of the rulemaking proposal from the Director, the Director may file the changes with the Secretary of State as a proposed rulemaking. If the proposed rulemaking is modified in any way other than modifications limited to spelling, typing, punctuation or grammar, pursuant to comment from the public or the Joint Committee on Administrative Rules, as authorized by the Illinois Administrative Procedure Act (IAPA), the modified rulemaking shall be again submitted to the Commission, along with a report from the Director on options the Commission can take with respect to those modifications. Unless the Commission disapproves the modified version of the rulemaking within 30 days following its receipt from the Director, the rulemaking may be adopted by filing with the Secretary of State in accordance with the IAPA.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.40 Jurisdiction B Exemptions

a) The Commission, upon written recommendation of the Director, may exempt from Jurisdiction B positions which, in the judgment of the Commission, involve either principal administrative responsibility for determination of policy, principal administrative responsibility for the way in which policies are carried out, or are highly confidential.

b) The Commission may review such exempt positions and, if the conditions of subsection (a) above no longer exist, shall rescind the exempt status.

c) For all positions currently exempt by action of the Commission, the Director shall inform the Commission promptly in writing of all changes in duties, responsibilities, organization, location, allocation or identity.

d) Prior to granting an exemption from Jurisdiction B, the Commission will notify the incumbent of the position, if any, of its proposed action, whereupon the incumbent and/or the incumbent's representative may appear at the Commission meeting at which the action is to be taken and present objections to the exemption.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.50 Orders of Compliance

a) The Commission may, from time to time, review and investigate personnel policies, actions or activities and administrative practices to insure that they are in compliance with the Code.

b) Findings by the Commission of probable discrepancies with respect to the Code or rules, when communicated in writing to the Director and the appropriate Department Head, are considered as an order to the Director either to correct the probable discrepancy or to furnish an explanation to support a conclusion that a probable discrepancy does not exist. If, within 30 days after receipt of the order, neither appropriate corrective action has been initiated nor a satisfactory explanation has been submitted by the Director, the Commission may record the violations in the Minutes of its meetings and take other action as is appropriate to correct the violations.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.55 Collective Bargaining Agreements

The Commission shall give full recognition and effect to provisions of collective bargaining agreements relating to wages, hours and conditions of employment reached under the provisions of the Illinois Public Labor Relations Act [5 ILCS 315].

History

• Source: Added at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.60 Appeals, Filing Requirements and Hearings

a) Filing Requirements

1. A certified employee who has been served with written charges approved by the Director for removal, discharge, demotion or suspension for a period of more than 30 days within a 12-month period, or any certified employee or any employee exempt from Jurisdiction B served with an approved order for geographical transfer, may appeal to the Merit Commission, provided the appeal is made in writing and received by the Commission within 15 days after service of the approved charges, or in the case of geographical transfer, within 15 days of the date the employee is required to report to the new location.

2. Any employee affected by the allocation of a position to a class may appeal to the Commission, provided that the employee has requested and received a reconsideration decision from the Director, and that the appeal to the Commission is received within 15 days after service of the Director's reconsideration decision.

3. For the purpose of determining the timeliness of filing only, "receipt" is defined to mean either personal delivery or date of postmark when deposited in the U. S. mail, in a sealed envelope, with postage prepaid, and properly addressed. Holidays, Saturdays and Sundays will be excluded from computing filing dates if the last day for filing falls upon a weekend or legal holiday, in which event the last date for filing would be the first business day following the weekend or legal holiday.

b) Time of Hearing

Within 30 days following actual receipt of a written request for hearing, except in position allocation and geographical transfer appeals, the Commission shall grant the parties a hearing. Hearings concerning geographical transfer and allocation appeals shall be granted as soon as practicable after receipt of a request for hearing.

c) Appeal Hearing File

After a charge has been filed with the Commission, a hearing file shall be established which shall contain all documents pertinent to the charge. Either party to the hearing may inspect the file during regular business hours in the Office of the Commission.

d) Conduct of Hearing

All disciplinary hearings shall be public. Parties may call witnesses to testify in their behalf and have the aid of counsel or other representation at their expense. Parties may cross-examine opposing witnesses and present documentary and demonstrative evidence. Hearings shall be conducted in accordance with the contested case provisions of the Illinois Administrative Procedure Act.

e) Filing Procedure - Computation of Time

1. Filing and Form of Papers

A) The original complaint, appeal, pleading, written motion, notice or other papers, except for responses to proposed decisions which is governed by Section 100.110(b), must be filed in the Office of the Commission.

B) Papers shall be signed in ink by the party filing the papers or by the party's representative and contain the address of the party, or if represented, the name, business address and telephone number of the representative. The party filing papers shall be responsible for service of the papers on all parties to the proceedings, and notice of service shall be given to the Commission.

C) Each document shall show on the first page the caption and case number assigned by the Commission and shall identify the party on whose behalf the document is filed. The final page of each filed document shall contain the name, address and telephone number of counsel, other representative or the party if the party is self-represented.

2. Computation of Time

Whenever a time period commences upon a person's receipt of service or notice and service is by mail, receipt shall be deemed to have occurred on the 4th day after mailing.

3. Filing by Facsimile

Filings may be by facsimile if done in accordance with all other rules in this Part, provided that within 5 days after the day of filing by facsimile, the original document is filed at the Office of the Commission.

f) Notice

Notice to a designated representative is notice to the client. Notice to an employee who is not represented shall be served at the address specified in the employee's filing or, in the absence of such specification, to the last address shown in the employee's personnel file. A copy of the notice shall be sent to the Department Head, except in cases of allocation appeals notice shall be sent to the Director.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.70 Disciplinary Hearings

a) Charges

1. Written charges approved by the Director seeking an employee's discharge, demotion or suspension totaling more than 30 days in any 12-month period shall contain a specific statement of facts which allege the cause for the proposed action sought against the employee. If a breach of a statutory duty or a rule of the agency is alleged, the statute or rule shall be cited in connection with the charge.

2. Charges shall be set forth in separately numbered paragraphs and contain the dates, names of persons, places and facts necessary to properly allege cause. Charges must be specific enough to apprise the employee of the nature and substance of the cause alleged for the disciplinary action.

b) Motion Objecting to Charges

1. If any party objects to the written charges, motions outlining the objections shall be submitted at least 10 days prior to the date of hearing.

2. The motion specifically shall point out any defects and ask for appropriate relief, such as: that the action be dismissed, or that a charge be made more definite and certain in a specified particular, or that designated immaterial matter be stricken. After ruling on the motion, the Hearings Officer may enter an appropriate order either to permit or require pleading over or amending or terminating the matter in whole or in part.

c) Continuances

1. The Commission, or a Hearings Officer appointed by it to conduct a hearing, may, for good cause shown on timely motion, after notice to the opposite party, extend the time for filing any pleading or papers or may continue the date of a scheduled hearing for a limited period.

2. Motions for extensions or continuances are not timely unless asserted at least 48 hours prior to the time scheduled for filing or hearing except for emergencies.

3. Granting a request for continuance by the employee in a discharge appeal will constitute a voluntary waiver of any claim to compensation for the period of the continuance if the employee is ordered retained or reinstated, except where the complainant files a timely request for continuance and the request for continuance is a result of failure by the respondent to respond in a timely manner prior to the hearing date.

d) Request for List of Witnesses

Upon timely request, either party must furnish to the other party a list of names and addresses of prospective witnesses.

e) Right to Inspect and Interview

Any party or the party's representative shall have the right, upon timely motion, to inspect any relevant documents in the possession of or under the control of any other party and to interview employees having knowledge of relevant facts. Interviews of employees and inspection of documents shall be at times and places reasonable for the employee and for the appointing power.

f) Appearance of Witnesses and Issuance of Subpoenas

1. Upon written request by a party to a contested case, the Commission will issue a subpoena for attendance of a witness or production of books, papers, documents or other tangible objects at a hearing or deposition. Subpoena forms may be obtained by applying to the Office of the Commission.

2. The cost of service and witness and mileage fees shall be borne by the person requesting the subpoena. Witness and mileage fees shall be the same as are paid witnesses in the circuit courts of the State of Illinois.

3. The person requesting a subpoena shall be responsible for its service. A subpoena shall be served reasonably in advance of its return date. The subpoena shall state the telephone number and address of the person initiating its issuance and shall identify the person or evidence subpoenaed and the person to whom and the place, date and time at which it is returnable.

4. Within 5 days after service of a subpoena on any person, the person may file a petition to quash or modify the subpoena, stating reasons in support of such relief. A copy of the petition shall be served at the same time on the person serving the subpoena. Whenever a petition to quash a subpoena is properly filed under this Section, the petitioner shall not be required to respond to the subpoena until the petition has been ruled upon.

5. Any witness subpoenaed for a deposition may be required to attend only in the county in which he or she resides or is employed or transacts business in person or, in the case of a petitioner, in the county in which the action is pending or, for good cause shown, in any other place ordered by the Hearings Officer.

6. Whenever any person shall knowingly fail or refuse to comply with a subpoena served in accordance with this Section, the party serving the subpoena or the Commission shall petition the circuit court pursuant to the Code for an order enforcing the subpoena.

The Code provides that any person who shall fail to appear in response to a subpoena or to answer any question or produce any books or papers pertinent to any investigation or hearing or who shall knowingly give false testimony shall be guilty of a misdemeanor.

7. The appearance of a party or agent or employee of a party may be secured by merely serving the party with written notice designating the persons required to appear.

g) Pre-Hearing Conference

1. In any action, the Hearings Officer may hold a pre-hearing conference. At the conference, the parties, or their representative, shall appear as the Hearings Officer directs to consider:

A) Simplification of the issues;

B) Amendments to the charges;

C) Possibility of obtaining admissions and stipulations of fact and of documents which will avoid unnecessary proof;

D) Limitation of the number of expert witnesses;

E) Pending motions; or

F) Other matters which may aid in the disposition of the action.

2. The Hearings Officer shall make an order which recites the action taken, any agreement made by the parties as to the matters considered and issues to be heard.

h) Written Interrogatories

1. Any party may direct written interrogatories to any other party, provided that the interrogatories are served 14 days prior to the scheduled hearing date or any continued hearing date. Interrogatories shall be restricted to the subject matter of the particular case.

2. Within 14 days after the service of the interrogatories, an answer or objection shall be made to each interrogatory. If any answer may be obtained from a document in the possession or control of a party, it shall be sufficient to specify that document as an answer.

3. Answers to interrogatories may be used in the same manner in Commission proceedings as depositions.

i) Depositions

Upon order of the Hearings Officer, a deposition of any witness may be taken for use in a Commission proceeding. The deposition may be taken in the manner provided by law for depositions in civil actions in the courts of this State.

j) Written Admissions

A party may serve on any other party a written request for the admission by the latter of the truth of any specified relevant fact set forth in the request, or for the admission of genuineness of any relevant documents described in the request, provided that the request is served 14 days prior to the scheduled hearing date or any continued hearing date. Copies of the documents shall be served with the request unless copies have already been furnished. Failure to answer the request within a 14-day period or any extensions granted shall be deemed as an admission of all items contained in the request.

k) Opening and Closing Statements

Upon the opening of the hearing, the Hearings Officer may allow the petitioner and the respondent to make opening statements. Upon the close of the hearing, each side may make a closing statement orally and/or by written brief at the discretion of the Hearings Officer, incorporating arguments of fact and law.

l) Examination of Adverse Party or Agent

In the hearing of any case, any party or the party's agent may be called and examined as if under cross-examination at the instance of any adverse party. The party calling for the examination may rebut the testimony thus given and may impeach the witness by proof of prior inconsistent statements.

m) Hostile Witnesses

If the Hearings Officer determines that a witness is hostile or unwilling, the witness may be examined by the party calling the witness as if under cross-examination. The party calling an occurrence witness may, upon showing that the witness was called in good faith but that the party is surprised by the witness' testimony, impeach the witness by proof of prior inconsistent statements.

n) Failure to Comply with Orders or Rules

If a party, or any person at the instance of or in collusion with a party, unreasonably refuses to comply with these rules, the Hearings Officer may enter such adverse finding, order or decision as may be necessary to insure just disposition of the matter.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.80 Geographical Transfers

a) In appeals to the Commission from permanent transfers from one geographical area in the State to another, the employee shall have the burden of introducing sufficient, competent and credible evidence showing that the transfer was unreasonable, unjust, capricious or not a bona fide attempt to serve the best interest of the Office of the Comptroller.

b) Under normal circumstances, a temporary transfer of an employee for a period in excess of 30 days will be considered a permanent transfer, enabling the employee to then appeal the transfer without regard to Section 100.60(a).

c) Unless inconsistent with this Section, the procedures governing Section 100.70 shall apply to geographical transfer hearings.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.90 Allocation Appeals

a) If an employee wants to appeal the allocation of a position to a class, the employee must, within 15 days after the day of receipt of the Director's decision on reconsideration, file the appeal at the Office of the Commission and serve a copy of the appeal upon the Director. The appeal shall include the name of the employee, the employee's department and a description of the factual basis for the classification dispute.

b) Upon the receipt of the appeal, the Director shall file with the Commission, within 20 days, a submission setting forth in full a clear and brief recitation of all relevant facts, arguments and documentary evidence submitted in exhibit form to substantiate the reconsidered decision. If the submission, as a matter of law, does not set forth facts and reasons from which it could be reasonably concluded that the employee is properly classified, summary judgment may be granted. A copy of the submission shall be served upon the employee.

c) Within 20 days after the day of receipt of the Director's submission, the employee must file with the Commission an answer setting forth all relevant facts, arguments and documentary evidence in exhibit form. A copy of the answer must be served upon the Director. The employee shall point out with particularity disagreement with the submission of the Director.

d) If an employee or the Director desires an informal oral conference with the opposing party, a request for the conference shall be filed not later than 5 days after the employee's answer is due pursuant to subsection (c) above. An informal oral conference will be convened if requested by either of the parties and due notice will be given the parties of the time and date of the conference which will be conducted in the presence of either the Chair or a Hearings Officer.

e) Parties may be heard either in person, by counsel or by other representatives as they may elect.

f) Upon written request of either side, the Commission may issue subpoenas to compel the production of documents or persons having relevance to the issues of the dispute.

g) The Commission may make its decision on the pleadings, or it may order formal hearings held on disputed issues of fact or law at the request of either party or upon its own motion.

h) Upon failure to comply with these rules, the Commission may make its decision on the facts before it, if sufficient facts exist, or it may default the noncomplying party. Such action shall be a decision on the merits of the appeal. An adverse inference may be drawn against any party failing to comply with these rules.

i) Unless inconsistent with this Section, the procedures governing Section 100.70 shall apply to formal allocation hearings.

History

• Source: Amended at 20 Ill. Reg. 746, effective December 26, 1995

80 Ill. Adm. Code 100.100 Merit Employment Code and Personnel Rule Violations

a) A certified employee who believes that a personnel transaction has been falsely labeled in an attempt to deprive the Commission of jurisdiction under Section 9 of the Code and/or the procedures set forth in Sections 100.70, 100.80 and 100.90 of this Part, or who believes that a personnel transaction adversely affecting the employee violates either the Code or the personnel rules (80 Ill. Adm. Code 500), may within a period of 15 days after receiving actual notice of the violation appeal in writing to the Commission.

b) The appeal must allege specific facts which if proven would establish a prima facie case that the personnel transaction named was a false transaction, or that the Code and/or a personnel rule was violated in an attempt to deprive the employee of rights under the Code or rules. Any appeal which fails to allege sufficient and specific facts to support the allegation may be summarily dismissed by the Commission.

c) The Commission may make its decision on the appeal after an investigation of the allegations or it may order a hearing on any disputed issue of fact or law. In any hearing called under the provisions of this Section to resolve a dispute of fact, the employee has the burden of establishing by the introduction of competent evidence a prima facie case proving that the alleged violation took place.

d) Nothing in this Section shall be construed to preclude employees from timely asserting any other rights given to them under the provisions of the Code or Personnel Rules.

e) Unless inconsistent with this Section, the procedures governing Section 100.70 shall apply to this Section.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.110 Qualification and Authority of the Hearings Officer

a) Qualification of Hearings Officer

A Hearings Officer shall possess a license to practice law in the State of Illinois.

b) Authority of Hearings Officer

The Hearings Officer has the authority to conduct hearings and pre-hearing conferences, to take all necessary action to avoid delay, to maintain order, and to insure the development of a clear and complete record. The Hearings Officer shall have all powers necessary to conduct a hearing, including the power to:

1. Administer oaths and affirmations;

2. Regulate the course of hearings, set the time and place for continued hearings, fix times for filing of documents, provide for the taking of testimony by deposition if necessary, rule on motions and generally conduct the proceedings according to this Part, Article 10 of the IAPA and principles of administrative law as applied by the courts and this subsection;

3. Examine witnesses and direct witnesses to testify;

4. Limit the number of times any witness may testify, limit repetitious or cumulative testimony and set reasonable limits on the amount of time each witness may testify or be cross-examined;

5. Rule upon offers of proof and receive relevant evidence;

6. Direct parties to appear and confer for the settlement or simplification of issues and otherwise conduct pre-hearing conferences;

7. Dispose of procedural requests or similar matters;

8. Render findings of fact, opinions and recommendations for an order of the Commission;

9. Reprimand or exclude from the hearing any person for indecorous or improper conduct committed in the presence of the Hearings Officer;

10. Take official notice of generally recognized facts, administrative rules and regulations, and statutes;

11. Prepare, in every contested case, a proposal for decision in accordance with Section 10-45 of the Illinois Administrative Procedure Act, which shall be forwarded to the parties in sufficient time to allow the filing of written exceptions and legal arguments prior to the Commission rendering a final decision;

12. Rule on any substantive or procedural matters not covered within this Part, such rulings to be subject to the final review of the Commission; and

13. Enter any order that further carries out the purpose of this Part.

c) Disqualification of Hearings Officer

1. A Hearings Officer assigned to a proceeding may, upon written request to and approval of the Merit Commission, recuse himself or herself.

2. Whenever any party believes a Hearings Officer for any reason should be disqualified from conducting, or continuing to conduct, a proceeding assigned to him or her, such party may file a motion to disqualify the Hearings Officer, setting forth by affidavit the alleged grounds for disqualification. The Hearings Officer shall have 7 days after filing of the motion within which to enter a written ruling. A copy of the ruling shall be served upon all parties. The Commission may, on its own motion, review rulings denying or granting a motion for disqualification.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.115 Ex Parte Consultations

a) Except in the disposition of matters which they are authorized by law to entertain or dispose of on an ex parte basis, neither Commission Members, employees, nor Hearings Officers shall, after the filing of a case, communicate, directly or indirectly, in connection with any issue of fact, with any person or party or in connection with any other issue with any party or the party's representative, except upon notice and opportunity for all parties to participate. However, a Commission Member may communicate with other Members of the Commission, and a Commission Member or Hearings Officer may have the aid and advice of one or more personal assistants.

b) Communications regarding procedure, such as format of pleadings, number of copies required, manner of service, status of proceedings and continuances, are not considered to be ex parte communications. However, requests for continuances shall not be granted until the opposing party is notified either orally or in writing that a request is going to be made and is given an opportunity to respond.

History

• Source: Added at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.117 Response to Proposed Decision

a) In a contested case where the Members of the Commission have not heard the case or read the record, the findings and decision of the Hearings Officer appointed by the Commission to conduct the hearing or the results of the investigation shall be mailed to the parties prior to the Commission rendering a final decision.

b) An original and 4 copies of the response shall be filed in the Office of the Commission. The responses shall be accompanied by proof that a copy of the response was served upon the opposing party.

History

• Source: Added at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.120 Record of Proceedings

In all hearings, other than informal allocation conferences, held before the Commission or a Hearings Officer duly appointed by the Commission to conduct hearings, the department which is a party shall arrange for a record of the proceedings to be made stenographically or by other means as to adequately insure the preservation of the proceeding. Transcription shall be made on the request of any party if not ordered by the Commission or its Hearings Officer. Any such record will be available for examination by the public at reasonable times in the Springfield Office; and, upon written request made at least 48 hours (exclusive of Saturdays, Sundays and official State holidays) in advance, the Commission will make the record available for examination at the Office of the Commission.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.130 Authority of Commission Over Hearings Officer

The Commission shall have the authority to affirm, remand, reverse, modify or set aside in whole or in part the orders or Proposal for Decision of the Hearings Officer. Upon the concurrence of at least 2 Members of the Commission, a decision shall become final on the date the decision is announced at a public meeting. The Commission shall in its final order designate the parties of record to the proceedings.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.140 Administrative Review

When the Commission renders a final decision, any affected party is entitled to have the decision reviewed by the circuit court under the Administrative Review Law [735 ILCS 5/Art. III] by filing a complaint and causing the issuance of summons on the administrative agency and on each of the other defendants within 35 days from the date that a copy of the decision sought to be reviewed was served upon the employee.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

80 Ill. Adm. Code 100.150 Adoption, Amendment, and Recision of Rules

The Commission may adopt, amend or rescind any rule consistent with the provisions of the Code, at a regular or special meeting of the Commission, provided that at least 2 of the Members are present at the meeting and provided further that written notice has been given to all Members of the Commission at least 10 days before the meeting at which the action is to be taken.

History

• Source: Amended at 19 Ill. Reg. 206, effective January 3, 1995

Chapter IV Department of State Police Merit Board

Part 150 Procedures of the Department of State Police Merit Board

80 Ill. Adm. Code 150.10 Definitions

As used in this Part, the following terms shall have the meanings specified:

"Act" – "AN ACT in relation to the Department of State Police" (Ill. Rev. Stat. 1987, ch. 121, pars. 307.3 through 307.14) and all amendments thereto;

"Appointment" – The Director's authority to assign certified applicants to sworn positions in the Department of State Police or to assign applicants to the Academy;

"Background Investigations" – A review of character, integrity, education, job experience, credit, traffic/criminal records, medical history and other factors bearing on applicants' fitness to fulfill a Department of State Police Officer position;

"Board" – The Department of State Police Merit Board;

"Board Docket" – A chronological record of all motions, orders, notices, petitions and other documents filed in each disciplinary procedure before the Board;

"Bona Fide Applicant" – A person who personally completes and files with the Department of State Police Merit Board a formal written application for a Department of State Police Officer position for which the Department of State Police Merit Board is accepting applications on the date and at the place of receipt of the application;

"Candidate" –A Department of State Police Officer who participates in the promotional processes conducted by the Department of State Police Merit Board in accordance with prescribed Rules, Regulations and Procedures;

"Certification" – The Board's authority to designate applicants and candidates eligible for appointment or promotion;

"Chairman" – Chairman of the Department of State Police Merit Board;

"Classification of Ranks" – Delineation of the standards and qualifications for each designated rank;

"Complaint" – A written statement of charges filed by the Director seeking suspension in excess of thirty days, demotion, or discharge;

"Days" – Calendar days;

"Deputy Director" – Deputy Director in charge of a Division within the Department of State Police;

"Director" – Director of the Department of State Police;

"Division" – A Division within the Department of State Police;

"Executive Director" – Executive Director of the Board;

"Felony" – An offense for which a sentence to death or to a term of imprisonment in a penitentiary for one year or more is provided;

"Hearing Officer" – A person duly qualified and designated by the Board to preside over disciplinary hearings;

"Medical Examiner" – A licensed physician appointed by the Board who performs medical examinations and serves as an advisor;

"Notice of Disciplinary Action" – A written statement by the Director or Deputy Director imposing disciplinary measures of thirty days or less suspension, restitution, written reprimand, or loss of regular days off;

"Order" – A written decision of the Board;

"Petition for Review of Suspension" – A written statement by a suspended sworn officer seeking a review by the Board of a suspension of thirty days or less;

"Promotion" – The Director's authority to advance certified sworn officers to the next higher rank;

"Reporter" – A certified court reporter selected by the Board to transcribe hearings;

"Deputy Director – Deputy Director in charge of a Division within the Department of State Police;

"Suspension" – Temporary removal of a sworn officer from duty without pay;

"Sworn Officer" – Any State Police Officer or Special Agent of the Department of State Police.

History

• Source: Amended at 13 Ill. Reg. 5201, effective April 3, 1989

80 Ill. Adm. Code 150.210 Qualifications

a) The Board shall certify to the Director in writing qualified applicants for appointment as sworn officers to the Department. Qualified applicants shall:

1. Be at least 21 years of age. Persons 20 years of age may be certified if they have successfully completed an associate's degree or 60 credit hours at an accredited college or university.

2. Have completed an associate's degree or 60 credit hours, with an average grade of C or better, from an accredited college or university, as certified by the registrar of the college or university. The college or university must be accredited by one of the following associations:

A) Middle States Commission on Higher Education;

B) Higher Learning Commission;

C) New England Commission of Higher Education;

D) Northwest Commission on Colleges and Universities;

E) Southern Association of Colleges and Schools Commission on Colleges;

F) WASC Senior College and University Commission; and

G) Accrediting Commission for Community and Junior Colleges.

3. Be a citizen of the United States with no felony convictions.

4. Accept assignment anywhere in the State.

5. Possess a valid driver's license.

6. Successfully complete mental and physical tests and a background investigation as prescribed by the Board. (See Appendix A and B.)

b) The Board may certify more applicants than there are vacant positions at the time of certification. Certified applicants shall be eligible for appointment for a period of time designated by the Board.

History

• Source: Amended at 44 Ill. Reg. 2576, effective January 24, 2020

80 Ill. Adm. Code 150.220 Selection Procedures

a) Procedures shall consist of:

1. Application

2. Physical Ability Test

3. Suitability Screening

4. Background Investigation and Review

5. Oral Interviews

b) Preference shall be given to all persons who have honorably served in the Military or Naval Services of the United States.

History

• Source: Amended at 26 Ill. Reg. 9968, effective June 19, 2002

80 Ill. Adm. Code 150.230 Recertification

The Board shall consider for recertification sworn officers who have resigned in good standing and whose written request is received in the Merit Board office within one calendar year after their date of separation. If these criteria have been met, the officer must complete the application process; pass a fitness test; and have a background investigation initiated. The Board shall render its decisions and make recertifications on an individual basis. The Director may re-appoint after recertification.

History

• Source: Amended at 36 Ill. Reg. 4419, effective March 12, 2012

80 Ill. Adm. Code 150.240 Probationary Period

a) All appointees to the Department of State Police by the Director shall serve a probationary period of twelve consecutive months from the date of appointment, and during such period may be discharged at the will of the Director.

b) Any appointee who has a break in continuous service due to a leave of absence will have their probationary period determined by the Director following a review of the circumstances of the appointees break in service and their training period. The standard the Director shall apply in making this determination is whether the appointee's leave of absence prevents him or her from successfully completing the training program or prevents him or her from having a field training evaluation. The extension shall be no longer than the leave of absence.

History

• Source: Amended at 10 Ill. Reg. 17752, effective October 1, 1986

80 Ill. Adm. Code 150.250 Application Fee Waiver Program

a) All applicants may request a waiver of any application and/or testing fee by submitting the appropriate form as prescribed by the Board. The form shall be available on the Board website (Illinoistrooper.com).

b) Applicants shall be eligible for a waiver of the application and/or testing fee if they meet one of the following requirements:

1. The applicant's available income is 200% or less of the current poverty level; or

2. The applicant is, in the discretion of the Board, unable to pay the application fee and payment of that fee would result in substantial hardship to the person or the person’s family.

c) The current poverty level shall be the poverty guidelines enumerated by the U.S. Department of Health and Human Services.

d) Applicants seeking a fee waiver must show proof of their current income levels or a statement explaining the substantial hardship to the person or the person’s family.

e) The Board shall make a determination of eligibility and notify the requester if the request is granted or denied as follows:

1. Requests based on the income level of the applicant shall receive a determination of eligibility within 30 days of receipt of the request by the Board.

2. Requests based on substantial hardship to the person shall be reviewed by the Board at its next regular Board meeting after receipt of the request, except that requests received within seven business days of the next regular Board meeting shall be considered at the second subsequent regular Board meeting. The Board shall vote to accept or deny the request for a fee waiver by a majority of the Board Members voting. Requests approved by a majority of the Board shall be granted. In the event of a tie vote, the request for fee waiver shall be denied. The applicant shall be notified of the Board’s determination within 10 days following the determination of the Board.

History

• Source: Added at 46 Ill. Reg. 15350, effective August 24, 2022

80 Ill. Adm. Code 150.310 Ranks

The Merit Board classifies sworn State Police officers according to the ranks listed in this Section. Standards and Qualifications for each rank are established for description and test purposes in an occupational analysis for each rank, a copy of which is on file and available for inspection at the Merit Board office:

Captain

Lieutenant

Master Sergeant

Sergeant

Special Agent

Trooper

History

• Source: Amended at 36 Ill. Reg. 4419, effective March 12, 2012

80 Ill. Adm. Code 150.320 Interdivisional Transfers

The transfer of a sworn officer from one Division to another will not preclude the transferred officer from participating in the promotional process irrespective of whether that officer has served within the latter Division for less than a period of one (1) year.

History

• Source: Amended at 17 Ill. Reg. 21079, effective November 22, 1993

80 Ill. Adm. Code 150.410 Board Responsibilities

The Board shall make certifications for promotion on the basis of job performance measurement, seniority, education, and written and/or oral examination. Examinations for promotion will be given every 24 months for the ranks of Sergeant, Master Sergeant, Lieutenant and Captain with notification of time and location to be provided in the promotional announcement.

History

• Source: Amended at 46 Ill. Reg. 3589, effective February 17, 2022

80 Ill. Adm. Code 150.420 Eligibility

Candidates will be eligible to take the promotional examination only for that rank immediately above the candidate's permanent rank. In addition,

a) They shall have served in the Department for at least one (1) year from the date of their employment;

b) They shall be considered for promotion only after serving the required minimum of one (1) year in their permanent rank;

c) Sworn officers on leave of absence or disability leave at the time the promotional screening process is initiated are not eligible. The process is initiated when the deadline for responding to the examination announcement has passed.

History

• Source: Amended at 16 Ill. Reg. 11835, effective July 13, 1992

80 Ill. Adm. Code 150.430 Procedures

a) The Board will provide each officer with official notification announcing the examination and requesting a written response respecting the officer's intention to participate.

b) Candidates for promotion must complete examinations at the time designated by the Board in the official notification. No exceptions will be allowed.

c) Candidates must have taken the most recent examination offered by the Board to be eligible for certification for promotion. All candidates taking the examination for each rank will be advised of their total promotional score and standing.

d) Promotional Process Components

The total promotional score will consist of combined standardized scores or respective percentage weights of the components designated for each rank:

Components

Sergeant, Master Sergeant, Lieutenant and Captain:

Job Knowledge Test and Assessment Exercise, combined

95%

Seniority in Rank

Up to 5 points

e) Candidates for the target ranks of Sergeant, Master Sergeant, Lieutenant and Captain will participate in a written examination and an assessment exercise, as well as a seniority score. The combined score will be standardized to a 100-point scale. The top 65% of all target Sergeants, Master Sergeants, Lieutenants and Captains participating in the total promotional process will be certified by the Board. The top 65% of candidates is calculated by taking the total number of candidates on that list, multiplying the number by 0.65 and, in the case of a fraction, rounding up to the next whole integer. Any officer who scores in the top 65% of candidates on the list shall be considered certified for promotion. All candidates competing for the target ranks of Lieutenant and Captain must possess a Bachelor's Degree. Candidates must have graduated with a "C" average or better from an accredited college or university, as certified by the registrar of the college or university. The college or university must be accredited by one of the following associations:

1. Middle States Commission on Higher Education;

2. Higher Learning Commission;

3. New England Commission of Higher Education;

4. Northwest Commission on Colleges and Universities;

5. Southern Association of Colleges and Schools Commission on Colleges;

6. WASC Senior College and University Commission.

f) There will be a statewide certification list for the target ranks of Sergeant, Master Sergeant, Lieutenant, and Captain.

g) The certified candidates on each list for all ranks are equally eligible for promotion by the Director. The Director may promote any one of the eligible candidates in accordance with Equal Employment Opportunity Commission regulations (29 CFR 1600 through 1695 (July 1, 2010)) and any applicable Illinois Department of Human Rights guidelines.

h) Upon written notification from the Department to the Board that a candidate on the certification list has been suspended, is on leave of absence (other than a military leave), or has applied for disability benefits, the Board will remove the candidate's name from the certification list. The candidate's name will be restored on the list in a position in proper relation to the total promotional scores remaining when the suspension or leave of absence terminates or the disability is removed.

i) The certification list shall remain in force until the new certification list has been established; however, in the event that a certification list becomes exhausted, the Director will file a written request with the Board asking for the certification of additional names on any one list if necessary to fill vacant positions.

History

• Source: Amended at 50 Ill. Reg. 1975, effective January 26, 2026

Chapter IV Department of State Police Merit Board

Part 150 Procedures of the Department of State Police Merit Board

80 Ill. Adm. Code 150.440 Promotion Probationary Period (repealed)

History

• Source: Repealed at 7 Ill. Reg. 15018, effective November 2, 1983

80 Ill. Adm. Code 150.510 Merit Board Jurisdiction

The Board shall exercise jurisdiction over the discipline, removal, demotion and suspension of those appointed as sworn officers. Disciplinary measures prescribed by the Board may be taken by the Director or Deputy Director, as outlined below, and such actions shall be in response to violation of any rules and regulations of the applicable divisions as promulgated by the Department. The Board will not consider any complaint based upon conduct which antedates by three years the date the complaint is filed, except in those instances where the conduct complained of is parallel to criminal conduct as provided by the laws of this state, the United States or any governmental subdivision thereof, in which case this shall conform with the applicable criminal statute of limitations when the applicable criminal statute of limitations is longer. On Petitions for Review, the Board will reverse the suspension based on conduct which antedates by three (3) years the date the suspension was given.

History

• Source: Amended at 19 Ill. Reg. 6679, effective May 1, 1995

80 Ill. Adm. Code 150.520 Discipline Afforded the Deputy Director

The Deputy Director may take disciplinary action against a sworn officer assigned to their respective division without presenting the matter to the Board; however, a "Notice of Disciplinary Action" shall be filed with the Board at the time such action is taken. Such action shall include any one or all of the following:

a) Suspend any sworn officer for violation of the Rules and Regulations of the applicable division for any period not to exceed thirty days.

b) Require restitution for negligent damage, destruction, or loss of State property. Such action may be taken when an investigation of the incident leading to the loss or damage demonstrates that the conduct of the officer was negligent. Violation of the applicable division Rules and Regulations creates a rebuttable presumption of negligence.

c) Issue a written reprimand or letter of admonition.

History

• Source: Amended at 13 Ill. Reg. 5201, effective April 3, 1989

80 Ill. Adm. Code 150.530 Notification to Suspended Officer

The Director or Deputy Director shall notify the suspended officer by letter or by telegram of that officer's suspension, which notification shall state the time and date the suspension is to begin and end. This notification shall also inform the officer of the date(s), when known, of the alleged violation(s), the specific rules violated, the specific disciplinary action to be taken and the officer's right to petition for review within ten (10) days.

History

• Source: Amended at 13 Ill. Reg. 5201, effective April 3, 1989

80 Ill. Adm. Code 150.540 Petition for Review

Any sworn officer so suspended shall have 10 days after notice of suspension is received to petition the Board in writing, as set forth in Section 150.550, to review the suspension. A copy of the Petition shall be forwarded to the Director of the Department of State Police who shall then have 10 days from the date of receipt to respond to the Board on the Petition. The Board shall, no later than 90 days after the date of the request for review, set the written petition for hearing before the Board upon not less than 10 days notice or, by unanimous decision, dismiss the Petition if it has determined that there is no substantial basis for its review of the suspension.

History

• Source: Amended at 30 Ill. Reg. 19727, effective December 15, 2006

80 Ill. Adm. Code 150.550 Form and Content of Petition for Review

The Petition for Review shall set forth the following information:

a) Name, rank and address of petitioner,

b) Date of appointment,

c) Date and time the notice of suspension was received and the date and time it was to begin or began,

d) A copy of the notice of suspension or the quoted contents of the notice of suspension,

e) A statement showing the specific reasons why the petitioner feels the suspension should be reviewed by the Board.

80 Ill. Adm. Code 150.560 Filing Procedures

a) The Petition for Review must be filed within ten (10) days after notice of suspension is received. Failure to so file within such time limits will result in an automatic dismissal of the appeal.

b) The Petition for Review shall be deemed as filed with the Board when accomplished in any of the following ways:

1. Filed in person or by a representative of the officer at the Board Office during regular business hours, from 8:30 a.m. to 5:00 p.m., Monday through Friday, or

2. Mailed to the Board Office by certified or registered mail. The Post Office record as recorded on the envelope shall be considered as the date and time of filing such petition with the Board, or

3. A telegram sent to the Board containing information required in Section 150.550 and a statement that the officer desires to appeal his/her suspension and is immediately mailing the required Petition. In that instance, the time and date on the telegram shall be considered as the date and time of filing such Petition with the Board.

History

• Source: Amended at 3 Ill. Reg. 47, p. 86, effective November 12, 1979

80 Ill. Adm. Code 150.565 Procedure for Processing Petition for Review

Upon receipt of the Petition, the Merit Board will mail two copies of the Petition to the petitioner's respective Deputy Director advising that party of the receipt of the Petition and setting forth the date, time, and place of hearing on the Petition, which shall be not later than 90 days from the date of the request for review and upon not less than 10 days notice. The Board will notify the petitioner and his/her attorney (if any) by certified mail, of the time and place of the hearing. Within five working days after the Board accepts the Petition for Review, the Director shall deliver to the Board a copy of the Department's investigatory file relating to the Petition for Review. The investigatory file shall include all material in the Department's file relating to the investigation of this matter brought for review that is subject to discovery. In the event any part of the investigatory file is not made available, the Department shall state its objection to production and the basis for that objection. The Board shall immediately make the investigatory file available to the officer and/or his or her attorney. The hearing will be conducted in accordance with Subpart F of this Part.

History

• Source: Amended at 30 Ill. Reg. 19727, effective December 15, 2006

80 Ill. Adm. Code 150.570 Director's Review

A sworn officer who received discipline other than suspension as outlined in Section 150.520 (b) and (c) of this Part may within ten (10) days submit a written appeal for review to the Director. The Director shall sustain, reduce or reverse such action.

History

• Source: Amended at 11 Ill. Reg. 18303, effective October 26, 1987

80 Ill. Adm. Code 150.575 Discipline Afforded the Director

The Director shall have the authority to file written charges with the Board requesting that for cause, the officer be removed, demoted, or suspended for any period exceeding thirty (30) days.

80 Ill. Adm. Code 150.580 Complaint Procedures

In all cases where the Director initiates discipline, the Director shall file with the Board a written complaint consisting of an original and six (6) copies setting forth a plain, clear and concise statement of the facts upon which the Complaint is based. The Complaint shall include the title and text of the rule(s) or regulation(s) and the specific disciplinary action requested by the Director. Within five (5) working days after the filing of the Complaint, the Director shall deliver to the Board a copy of the Department's investigatory file relating to the Complaint. Said investigatory file shall include all material in the Department's file relating to the investigation of this matter brought for review which is subject to discovery. In the event any part of the investigatory file is not made available, the Department shall state its objection to production and the basis therefor. The Board shall immediately make the investigatory file available to the officer and/or his or her attorney. The hearing will be conducted in accordance with Subpart F of this Part.

History

• Source: Amended at 19 Ill. Reg. 6679, effective May 1, 1995

80 Ill. Adm. Code 150.585 Scheduling the Hearing

The Board shall upon receipt of the written charges, set a date for the hearing which shall be scheduled not later than thirty (30) days after receipt of the charges, and give not less than ten (10) days notice of the hearing to all parties. The Board may order either removal, demotion, suspension for a period of not more than 180 days, or such other disciplinary punishment as may be prescribed by the Rules and Regulations of the Board.

80 Ill. Adm. Code 150.590 Notification to Officer

On receipt of the original and six copies of the complaint from the Director, the Board will send a written notice to the sworn officer, enclosing a copy of the complaint. This notice shall advise the officer of the filing of the complaint and notify the officer of the time and place of hearing of the charges contained in the complaint. The notice, with the enclosed copy of the complaint, shall be sent to the employee by either registered or certified mail, return receipt requested, to the residence of the employee shown on the face of the complaint. Such delivery to the officer's residence as shown by the return receipt shall be due service of the complaint on the sworn officer. A copy of the notice to the sworn officer shall be mailed to the Director, and shall constitute due notice to the Director of the time and place of the hearing on the complaint.

80 Ill. Adm. Code 150.610 Board Docket

Upon receipt of "Notice of Disciplinary Action" or "Complaint" from the Department, the Board shall enter the matter on its docket of cases and assign the matter a number on its docket sheet. Henceforth, the proceeding shall be known as: "In The Matter Of _____________________": and it shall thereafter be a part of the official records of the Board.

80 Ill. Adm. Code 150.620 Hearing Officer

a) A Hearing Officer may be appointed by the Board and shall have the authority to conduct hearings, administer oaths, examine witnesses, and issue orders subject to Board review.

b) A Hearing Officer must be:

1. an attorney licensed to practice in the State of Illinois; and

2. fully knowledgeable with respect to administrative hearing rules and procedures.

c) Grounds for disqualification of a Hearing Officer include, but are not limited to, family, personal or economic conflicts.

History

• Source: Amended at 24 Ill. Reg. 1276, effective January 5, 2000

80 Ill. Adm. Code 150.630 Pre-Hearing Conferences

Pursuant to all proceedings, the Board, or duly appointed Hearing Officer, may hold one or more pre-hearing conferences. At all such conferences, the parties (or their attorneys) shall appear as directed to consider among other things:

a) Motions filed in the proceeding,

b) Simplification of the issues,

c) Amendments to the pleadings,

d) Possible stipulations or admissions regarding facts and documents of concern to the proceeding,

e) Discovery procedures,

f) Such other matters as may aid in the simplification and disposition of the proceeding.

80 Ill. Adm. Code 150.640 Motions

a) Prior to the commencement of the hearing, any party may present written motions that are relevant and directed to matters of concern to the proceedings. All motions shall be filed with the Board and served upon all parties, and shall contain:

1. A specific statement of the matter of concern,

2. A statement of the specific relief or order sought,

3. A statement of the facts and authority which support the relief or order sought.

b) Motions shall be acted on by the Board or a Hearing Officer duly appointed for the proceeding. A written order expressing the Board's action thereon shall be served on all parties and shall be entered in the official record of the proceeding.

80 Ill. Adm. Code 150.650 Subpoenas

The Director, the sworn officer, or the counsel of record may, no later than five (5) days before the hearing, make application to the Board by filing with it a written request for subpoenas for individuals to appear for a hearing, or have them produce books, papers, records, accounts, and other documents as may be deemed by the Board to be relevant to the hearing. Notice of the filing of the written request for subpoenas shall be served on all parties to the proceedings. On the filing of such application, subpoenas will be issued for the named persons. The Board will not undertake the service of subpoenas. Application for subpoenas should contain the names and addresses of the individuals to be subpoenaed, and the identity of any documents which they are to produce. Any motion for continuance by reason of inability to serve subpoenas shall be filed in the office of the Board at least five (5) days before the date set for such hearing, with the provision that the Board in its discretion may waive this rule.

History

• Source: Amended at 5 Ill. Reg. 2739, effective March 2, 1981

80 Ill. Adm. Code 150.655 Request for Witnesses or Documents

a) Upon timely request prior to a hearing on the merits, each party to the proceeding before the Board shall serve upon the other party:

1. A list of the names and addresses of the witnesses the party proposes to call,

2. All documents the party proposes to offer in its case and brief,

3. All statements of the party's witnesses which may be used by adverse party for the purpose of cross-examination.

b) The Board may exclude documents or testimony to enforce this rule.

80 Ill. Adm. Code 150.660 Evidence Depositions

Upon application to the Hearing Officer, or the Board, and upon good cause shown (which shall include, but is not restricted to, potential unavailability of a witness at the time the hearing is scheduled, scheduling or travel arrangement considerations, or by agreement of the parties) any party may request leave to depose a potential witness for discovery purposes or request a deposition of any witness to be taken for evidence in a Board proceeding. If desired, subpoenas may be requested upon application to the Hearing Officer or the Board to compel the appearance of a witness for deposition upon the filing of a written request for subpoena which shall be served on all parties to the proceedings and may be made at the time the request for deposition is filed. The issuance and service of subpoenas shall be performed in the same manner set forth in Section 150.650 of this Part. The deposition shall proceed in the manner provided by law for depositions in civil actions in the courts of this State.

History

• Source: Amended at 24 Ill. Reg. 1276, effective January 5, 2000

80 Ill. Adm. Code 150.665 Hearing Procedures

a) All hearings shall be public.

b) At the time and place of the hearing, both the Director and sworn officer may be represented by counsel if they so desire.

c) All proceedings before the Board during the conduct of the hearing shall be recorded by a reporter to be employed by the Board.

d) The records of all hearings will not be transcribed by the reporter unless requested by the Board or any party of interest. All transcripts shall be paid for by the requesting party.

e) All witnesses shall be sworn prior to testifying.

f) The matter will be decided by the Board on evidence presented at the hearing. The Department shall be required to prove its case by a preponderance of evidence.

g) Each party may make an opening statement after which the Department will present its case. Thereafter, the officer may present and examine those witnesses the officer desires the Board to hear. All parties shall have the right to cross-examine witnesses presented by the opposite party.

h) A copy of any rules and regulations certified by the Director or Deputy Director shall be received in evidence with the same effect as the original.

i) In the hearing of any case, any party or his agent may be called and examined as if under cross-examination at the instance of any adverse party. The party calling for the examination is not concluded thereby, but may rebut the testimony thus given by counter-testimony and may impeach the witness by proof of prior inconsistent statements.

j) If the Hearing Officer determines that a witness is hostile or unwilling, the witness may be examined by the party calling him as if under cross-examination. The party calling an occurrence witness may, upon showing that he called the witness in good faith but is surprised by his testimony, impeach the witness by proof of prior inconsistent statements.

k) A proposal for decision by the Hearing Officer shall be mailed to the Board and the parties within 45 days after completion after hearing on the Complaint or Petition for Review. The parties may then file with the Board written comments or arguments within 15 days after receipt of the proposed findings. The filing of the parties' written comments or arguments shall be in accordance with Section 150.685 of this Part with a copy being mailed to the Hearing Officer. The Hearing Officer may then file a response to the comments or arguments of the parties within 15 days after receipt of any comments or arguments of the parties.

History

• Source: Amended at 27 Ill. Reg. 19038, effective December 3, 2003

80 Ill. Adm. Code 150.670 Continuances and Extensions of Time

a) A request for continuance of a hearing is directed to the sound discretion of the Hearing Officer to whom the case has been assigned for hearing. Such request may be granted, for good cause shown, provided the request is received by the Department not less than three (3) days prior to the hearing date unless good cause is shown within the three days or during the hearing due to the need for new evidence, sudden unavailability of counsel, sudden illness of a party, or similar reason. Such request prior to the Hearing shall be in writing and shall set forth the grounds alleged therefor. "Good cause" is shown when a Petitioner or Respondent demonstrates a real and compelling need for additional time. "A real and compelling need" includes, but is not limited to, service in the armed forces, serious illness, family death, act of God, relating to either party or that party's attorney.

b) No Formal Hearing shall be continued "generally". A continuance, when granted, shall state a date certain, not more than sixty (60) days from the prior hearing date at which time the hearing shall reconvene.

History

• Source: Amended at 13 Ill. Reg. 19592, effective December 1, 1989

80 Ill. Adm. Code 150.675 Computation of Time

The time within which any act under this Part is to be done shall be computed by excluding the first day and including the last, unless the last day is Sunday or is a holiday as defined or fixed in any statute now or hereafter in force in the State, and then it shall also be excluded. If the day succeeding such Sunday or holiday is also a holiday or a Sunday, then such succeeding day shall also be excluded.

80 Ill. Adm. Code 150.680 Decisions of the Board

All decisions of the Board as to guilt or innocence will be announced within 90 days after receipt of the Hearing Officer's proposal for decision, or within 90 days after the Hearing Officer's response to the parties' comments or arguments, whichever is later, as outlined in this Section:

a) After the hearing on a Complaint, the Board shall render a written decision outlining the findings of fact upon which the decision is based and mail it by either registered or certified mail, return receipt requested, to the officer charged. A copy of the decision shall be mailed to the Director. The decision will find the officer guilty, if the charges are established by a preponderance of the evidence, or not guilty. If the Board finds the officer guilty of any or all of the accusations included in the Complaint, the Board will promptly order the officer's discharge, demotion, or a suspension for a period of not more than 180 days, or recommend participation in a rehabilitative program, including but not limited to the State Employee Assistance Program, whichever in the opinion of the Board is most applicable. If the officer is found not guilty or has served a period of suspension greater than prescribed by the Board, the Board shall order that the officer receive compensation for the period involved. The award of compensation shall include interest at the rate of 7% per annum. This determination will be based on the final decision of the Board, the officer, and legal counsel after reviewing all pertinent information including, but not limited to, monies due to the State or to third parties involved in the charges, and income earned or received by the officer during the period involved. Officers are required to disclose any income earned or received (e.g., public assistance or unemployment compensation) during the period involved.

b) After the hearing on a Petition for Review, the Board will render a written decision outlining the facts upon which the decision is based, and mail it by either registered or certified mail, return receipt requested, to the officer filing the Petition. A copy of the decision shall be mailed to the Director. The decision will find the officer guilty, if the contents of the Notice of Suspension are established by a preponderance of the evidence, or not guilty. If the Board finds the officer guilty of any or all of the contents of the Notice of Suspension, the Board may sustain, reduce, or reverse the action of the Director or Deputy Director; and in the event of reversal or reduction, the Board shall order that the officer receive the pay for the appropriate period involved. The award of compensation shall include interest at the rate of 7% per annum. The Board may not increase the extent of disciplinary measures upon appeal of a suspension of up to 30 days. Such decision shall be supported by a statement of findings of fact. A copy of the decision shall be mailed to the attorneys of record, the Director and the Deputy Director that initiated the action.

c) The Director shall carry out the order of the Board, and if the accused officer refuses to abide by the order, the Director shall remove the officer immediately.

d) If the Board finds that a party has made allegations or denials without reasonable cause or has engaged in frivolous litigation for the purpose of delay or needless increase in the cost of litigation, it may order that party to pay the other party's reasonable expenses, including costs and reasonable attorney's fees.

History

• Source: Amended at 30 Ill. Reg. 19727, effective December 15, 2006

80 Ill. Adm. Code 150.685 Service and Form of Papers

All papers required by this Part to be served shall be delivered personally to the party designated or mailed by United States mail in an envelope properly addressed, with postage pre-paid, to the designated party at the party's last known residence reflected by the Complaint or Petition for Review filed with the Board. Proof of service of any paper may be made by the certification of any person so mailing the paper or delivering the same to the designated party personally, or by filing a return receipt showing that the paper was mailed, by either registered or certified mail, return receipt requested, to a party's address where it was received by a named party. Service on the Director may be made in a similar manner and if by mail, at the Department of State Police, Springfield, Illinois.

a) All papers filed in any proceeding shall be typewritten or printed on only one side of the paper and shall be double-spaced, except that quotations may be single-spaced and indented.

b) All papers, except exhibits, shall be cut or folded so as not to exceed a width of 8½ inches and a length of 11 inches, and shall have an inside margin of not less than 1 inch wide.

c) The original of all pleadings shall be filed with the Board and shall be signed in ink by the party filing the paper, or by an attorney for the party. A party must serve a copy of every pleading that the party files with the Board on all other parties to the proceeding, and written proof of such service shall be filed in the proceeding with the Board.

d) All pleadings filed shall contain the address of the party filing the paper, or if the party is represented by an attorney, the pleading shall contain the name, address and telephone number of the attorney.

History

• Source: Amended at 8 Ill. Reg. 7894, effective May 23, 1984

80 Ill. Adm. Code 150.APPENDIX A Vision Standards (repealed)

History

• Source: Repealed at 26 Ill. Reg. 9968, effective June 19, 2002

80 Ill. Adm. Code 150.APPENDIX B Physical Fitness Standards

FOUR-ITEM PHYSICAL FITNESS TEST

FOR DEPARTMENT OF STATE POLICE OFFICER APPLICANTS

Practical exercise performance requirements are physical activities related to law enforcement tasks. The following practical exercise performance requirements have been identified and must be satisfactorily performed for successful completion of the Merit Board's Physical Fitness Test requirement.

1. SIT AND REACH TEST

This is a measure of the flexibility of the lower back and upper leg area. It is an important area for performing police tasks involving range or motion and is important in minimizing lower back problems. The score is the distance, in inches reached on a yard stick.

2. ONE MINUTE SIT UP TEST

This is a measure of the muscular endurance of the abdominal muscles. It is an important area for performing police tasks that may involve the use of force. It is also important for maintaining good posture and minimizing lower back problems. The score is the number of correct sit ups completed in one minute.

3. ONE REPETITION MAXIMUM BENCH PRESS

This is a maximum weight pushed from the bench press position, measuring the amount of upper body force that can be generated. It is an important area for performing police tasks requiring upper body strength. The score is a ratio of weight pushed divided by body weight. The test will be conducted on a Universal DVR-Chest Press.

4. 1.5 MILE RUN

This is a timed run to measure the heart and vascular systems' capability to transport oxygen. It is an important area for performing police tasks involving stamina and endurance and to minimize the risk of cardiovascular problems. The score is in minutes and seconds.

ILLINOIS DEPARTMENT OF STATE POLICE MERIT BOARD

PHYSICAL FITNESS STANDARDS

Test

Male

Male

Male

Male

Female

Female

Female

Female

Age

20-29

30-39

40-49

50-59

20-29

30-39

40-49

50-59

Sit &

16.5

15.5

14.25

13.25

19.25

18.25

17.25

16.75

Reach

Inches

Inches

Inches

Inches

Inches

Inches

Inches

Inches

One

Minute

38

35

29

24

32

25

20

14

Sit Up

Bench

Press

(% of

.99

.88

.80

.71

.59

.53

.50

.44

total

weight)

1.5

Mile

12.51

13.36

14.29

15.26

15.26

15.57

16.58

17.55

Run

History

• Source: Amended at 29 Ill. Reg. 6084, effective April 15, 2005

Chapter VI State Universities Civil Service System

Part 250 State Universities Civil Service System

80 Ill. Adm. Code 250.5 Definitions

"Act": the State Universities Civil Service Act [110 ILCS 70].

"Allocation": assignment of a position to a class.

"Applicant": a person requesting permission to take an examination.

"Candidate": a person on a register, as qualified by examination, seniority, or service.

"Certification": the act of certifying.

"Certified": referred from a register, in accordance with the Act, as a candidate for consideration for employment.

"Certify": to refer from a register, in accordance with the Act, the name of a candidate who shall be considered for employment.

"Class": a group of positions that are so similar in duties, responsibilities, and job worth, and require such similar education and experience, that each position in the group has been given the same job title and is filled by the same tests of ability.

"Classification": assignment of a position to a class.

"Designated Employer Representative (DER)": the person designated by the employer to act as its representative for the coordination of its acts and the exercise of its responsibilities in matters relating to the State Universities Civil Service Act and the Administrative Code.

"Demotion": is defined in Section 250.110(g)(1) (Note for clarification: If a status employee, on their own initiative, requests a reassignment or a transfer to another position in their class or applies for, and takes an examination and thereafter permits their name to be certified to a position in a class other than the one in which they are currently employed, and, in either case, accepts an appointment that results in a reduction in pay or pay potential, the reduction shall not be considered a demotion.)

"Employee": a person legally employed to perform the work of a position.

"Employer": the governing Board of an institution or agency specified in Section 36e of the Act; and, for purposes of administration pursuant to this Part, any institution or agency specified in Section 36e of the Act.

"Executive Director": the Executive Director of the State Universities Civil Service System.

"Law Enforcement Personnel": an individual who has statutory authority to search, seize, or make arrests.

"Lesser Unit": a seniority unit within a class, within an institution or agency as specified in Section 36e of the Act, as determined by the Merit Board, provided two-thirds of the status employees within the class have agreed to the creation of the lesser unit.

"Merit Board" or "University Civil Service Merit Board": the governing body of the University System as defined in Section 36c of the Act. The 11 members of the Merit Board represent the public universities of the State of Illinois and are appointed by their respective University governing boards. The powers and duties of the Merit Board are defined in Section 36d of the Act.

"Nonstatus Appointment": appointment of a certified candidate to a position that has been classified and approved by the Executive Director as other than a status appointment.

"Notice of Convening of Hearing": notice sent by the University System to parties of record in matters of discharge or demotion informing the parties of the date, time, and place of the hearing.

"Place of Employment": an institution or agency as specified in Section 36e of the Act, or a unit of the institution or agency, as determined by the Merit Board, the designation of which has been for the purposes of maintenance of registers, computation of seniority, establishment of pay rates or ranges, and effecting transfers by an employer.

"Position": a group of duties and responsibilities assigned or delegated by competent authority, requiring the full-time service of one person or the part-time service of one or more persons.

"Reallocation": reassignment of an existing position to a class that is a part of a different promotional line or to a class that is not a part of any promotional line.

"Reassignment": moving of an employee by an employer from one position to another in the same class within a place of employment, subject to limitations imposed by lesser units.

"Reclassification": reassignment of an existing position within a promotional line.

"Register": a list of one or more names of candidates listed in accordance with the Act and this Part.

"Resignation": an act by which an employee voluntarily separates themself from their employment.

"Rewrite Examination": an examination for a class that is taken by an applicant subsequent to failing a previous examination for the same class or that is taken by an applicant subsequent to passing a previous examination for the same class in an attempt to improve their examination score.

"Seniority": after completion of the probationary period, a term used to describe time worked in a class or in classes within the same promotional line, computed in accordance with the provisions of the Act and this Part.

"Service": a term used to describe time worked in a class under a status appointment by an employee who is serving, but who has not completed, a probationary period in that class.

"Status Appointment": appointment of a certified candidate to a position that has been classified and approved by the Executive Director as a continuing position under the position control record plan of the University System.

"Status Employee": an employee who has successfully completed a probationary period in a class.

"Status Position": a position that has been classified and approved by the Executive Director under the position control record system.

"Termination": discontinuance of services of an employee having a nonstatus appointment; discontinuance of services of an employee in one place of employment who has transferred within the System to another place of employment; failure of a provisional employee to meet certification requirements; and/or death, retirement, or inability of an employee to return from a leave of absence in accordance with Section 250.110(c).

"Transfer": moving of an employee from one position to another in the same class between constituent places of employment.

"Transfer List": a list of applicants who have been employed as sworn police officers within the past 24 months for employers to use to hire in lieu of the original entry register.

"University System": the State Universities Civil Service System.

History

• Source: Amended at 49 Ill. Reg. 2164, effective January 31, 2025

80 Ill. Adm. Code 250.10 Purpose, Adoption, and Amendment of Rules

a) Purpose.

The purpose of this Part is to give effect to the provisions of House Bill 831, as passed by the 67th General Assembly (an Act to create a classified civil service system to be known as the State Universities Civil Service System). This Part shall be applied in accordance with the purposes of this Act as follows:

1. To establish a sound program of personnel administration and to promote efficiency and economy in the services performed by the Illinois Community College Board, Southern Illinois University, University of Illinois, Chicago State University, Eastern Illinois University, Governors State University, Illinois State University, Northeastern Illinois University, Northern Illinois University, Western Illinois University, State Universities Civil Service System, State Universities Retirement System, the Illinois Student Assistance Commission, and the Board of Higher Education.

2. To provide equal opportunity for all, equal pay for equal work, and career opportunities comparable to those in business and industry, which will attract outstanding personnel to the State university service.

b) Adoption and Amendment of the Rules.

1. This Part shall be known as Civil Service Rules.

2. They become effective upon adoption by the Merit Board and ten days following their filing with the Secretary of State.

3. They may be amended at any time by majority vote of the Merit Board.

c) Policies and Procedures. The Merit Board shall adopt and enforce policies and procedures for carrying out the provisions of this Part and those of the statute. It shall supply appropriate forms for all personnel transactions required under this Part or the policies and procedures adopted under their authority.

History

• Source: Amended at 20 Ill. Reg. 4440, effective February 29, 1996

80 Ill. Adm. Code 250.20 The State Universities Civil Service System and Its Divisions

a) Classification and Allocation. All staff positions at the Illinois Community College Board, Southern Illinois University, University of Illinois, Chicago State University, Eastern Illinois University, Governors State University, Illinois State University, Northeastern Illinois University, Northern Illinois University, Western Illinois University, State Universities Civil Service System, State Universities Retirement System, the Illinois Student Assistance Commission, and the Board of Higher Education, except those positions specifically exempted by Section 36e of the Act, are subject to classification functions as described in Section 250.30.

b) Other Personnel Functions. All positions in the institutions and agencies covered by the Act, except those exempted by Section 36e of the Act, are subject to the examination, appointment, and other personnel functions described under Sections 250.40 through 250.150 inclusive.

c) Designated Employer Representative to Act for the Place of Employment.

1. DER Appointment and Form. Each employer governed by the Act and those places of employment approved by the Merit Board and this Part shall appoint a Designated Employer Representative (DER) as described by Section 36d(12) of the Act [110 ILCS 70/36d(12)]. The employer shall file with the Executive Director the name of the Designated Employer Representative (DER) of the place of employment who the employer designated to act as its representative for the coordination of its acts and the exercise of its responsibilities in matters relating to the Act and this Part. The employer shall complete a DER form provided by the University System that includes the following information: place of employment, DER contact information, and the effective date of the appointment. This form shall be signed by the appointed DER and the employer's chief administrative officer. The University System will acknowledge receipt of the form. No one may seek to appoint themselves as the DER; such an attempted appointment will be without force or effect. The employer is responsible for maintaining a current DER form with the University System.

2. DER Termination/Departure. If the employment of the appointed DER is terminated for any reason, or if the employer withdraws its DER, the employer shall appoint a new DER within 3 workdays. An employer shall not be permitted to complete any employment transactions subject to the Act and this Part until a new DER is appointed and the DER appointment form is submitted.

3. DER Signature Authorization Form. The DER may authorize other staff members to act on their behalf. The DER may submit DER Signature Authorization forms naming the staff members to sign on their behalf. The DER Signature Authorization form shall include the following information: place of employment, designee's name, specimen signature (wet ink and/or digital if available), effective date, and certification by the DER (wet ink signature and/or digital if available). The University System will acknowledge receipt of each form submitted. The form or forms shall remain in effect until the DER revokes the form(s) or upon the appointment of a new DER in which the University System will automatically revoke the DER Signature Authorization form(s).

4. DER Designee Revocation Form. When a designee is no longer employed with the employer or the DER chooses to revoke signature authorization for a specific designee, the DER Designee Revocation form shall be completed. The DER Designee Revocation form shall include the following information: place of employment, designee's name to be revoked, effective date of revocation, and certification by the DER. The University System will acknowledge receipt of the form. Upon the appointment of a new DER, all DER Signature Authorization forms on file with the University System will be automatically revoked by the University System.

History

• Source: Amended at 49 Ill. Reg. 2164, effective January 31, 2025

80 Ill. Adm. Code 250.30 The Classification Plan

a) Coverage. The classification plan shall include all classes, as approved, and from time to time amended, by the University System, except those exempted by Section 36e of the State Universities Civil Service Act (Act) [110 ILCS 70]. Exemptions under Section 36e of the Act shall be by position. When approved by the Merit Board, a position shall remain exempt until the exemption is terminated by the Merit Board. The Executive Director shall publish guidelines for the exemptions, as approved by the Merit Board. This classification plan shall apply to all positions subject to Section 250.20(a).

b) Class Specifications

1. The University System shall maintain written specifications for each class in the classification plan. The specifications shall include the class title, class code number, length of probationary period, function of position, characteristic duties and responsibilities, minimum acceptable qualifications, including any special licenses or certificates required by state or federal laws, additional desirable qualifications, and, as applicable, promotional line, and occupational area.

2. The University System shall provide notification to all employers of the addition of a new classification or of the reactivation of a former class, together with a copy of the class specification. Except that, for status employees affected by reclassification or reallocation of their positions, as provided in subsections (i)(1) and (i)(2), this Section does not apply. The notification of the addition of a new class or of the reactivation of a former class, as provided for in this Section, shall be through the University System website and, if necessary for the course of recruitment, also posted in all public places allocated for Civil Service employment information, including electronic means such as official employer websites.

c) Use of Class Titles. The title of each class shall be the official title of every position allocated to the class for all purposes having to do with the position. This title shall be used on all personnel records and transactions. A functional title may also be given to a position by the employer, but that functional title cannot be a title approved by the Merit Board as a Civil Service class title.

d) Use of Class Code Number. The class code number is the number that is assigned to each class title in the classification plan.

e) Use of Promotional Line within a Class Specification Series. Each class specification series is assigned a promotional line. The promotional line can be found on the class specification.

f) Occupational Areas within a Class Specification. Each class in the classification plan shall be assigned an occupational area. There are 16 occupational areas within the classification plan as follows:

1. 01 professional;

2. 02 semi-professional;

3. 03 managerial;

4. 04 clerical;

5. 05 stores;

6. 06 aeronautical;

7. 07 agricultural;

8. 08 custodial services;

9. 09 domestic services;

10. 10 food services;

11. 11 heat, light, and power services;

12. 12 medical services;

13. 13 protective;

14. 14 skilled trades;

15. 15 semi-skilled trades; and

16. 16 unskilled trades.

g) Allocation of New Positions. When a new position is established, the employer shall allocate that position to an appropriate classification.

h) Reallocation or Reclassification of Existing Positions

1. A request to reallocate or reclassify any existing position may originate with the employee and/or the employer. When material changes occur in the duties and responsibilities of a position, the employer shall reallocate or reclassify the position to its appropriate class.

2. A position may be abolished, the class of a position may be changed, or a new class specification may be prepared, provided that the change shall not be made for the purpose of separating an employee from employment in a position in their class.

3. In order to maintain a sound classification program, the employers, working with the staff of the University System, shall carry on continuous classification studies.

i) Status of an Employee Whose Position is Reallocated or Reclassified

1. An employee whose position is reallocated or reclassified shall be eligible for continued employment in the position that is reallocated or reclassified, provided the employee establishes eligibility for the new class. An employee may establish eligibility by meeting the minimum qualifications for the new class to which the position has been reallocated or reclassified and by passing an examination for the new class. The employee must complete a probationary period in the position in the new class.

2. A status employee in a position that is reallocated or reclassified who chooses not to qualify for, or who fails to gain eligibility for, the new class shall have their name placed by the employer on the reemployment register for the former class in accordance with Section 250.60(b)(1).

3. An employee serving a probationary period in a position that is reallocated or reclassified, who fails to gain eligibility for the new class, and for whom no vacant position exists in the class from which their position has been reallocated or reclassified, shall have their name placed by the employer on the register from which they were certified to a position in the former class in accordance with Section 250.60(b)(2) or (b)(3). If the employee has completed a probationary period in a position in a lower class in the same promotional line as that of their former position, the employee's name shall be placed by the employer on the reemployment register of the lower class in accordance with Section 250.60(b)(1).

History

• Source: Amended at 48 Ill. Reg. 2281, effective January 26, 2024

80 Ill. Adm. Code 250.40 Military Service Preference, Veterans Preference

Eligibility for Preference. To receive preference under the Statute, an applicant for an original entry examination must furnish proof of eligibility for preference within ten days after filing an application for examination. Acceptable proof shall be an official or photostatic copy of each discharge or release from military service.

a) Any other rule or procedure of the System notwithstanding, a status or nonstatus employee who voluntarily or involuntarily leaves an employer to enter the military service of the United States, shall be entitled to all the rights and privileges accorded by the Service Men's Employment Tenure Act of 1941, as amended.

b) After a status or nonstatus employee makes application for reemployment, the employer shall return him to work within 30 calendar days.

80 Ill. Adm. Code 250.50 Examinations

a) Kinds of Examinations. Each classification shall have a designated examination. Each examination may have multiple components. A candidate who obtains a score on the examination that is deemed to be passing will have his/her score placed on either an original entry register or a promotional register. Examinations shall be open and continuous competitive examinations. For the purpose of this Section, an original entry and a promotional examination shall be considered to be one and the same examination.

b) Eligibility to Compete in Examinations

1. Any citizen or resident of the State of Illinois who applies for examination in a specific class at a constituent place of employment served by the University System, who is not rejected or disqualified under subsection (c), and who meets the minimum qualifications as prescribed in the class specification shall be admitted to the examination. Out-of-state applicants may also be admitted for examination in accordance with conditions outlined in subsection (b)(6).

2. A status employee in a place of employment who is not rejected or disqualified under subsection (c), who meets the minimum qualifications specified in the class specification for a higher class in the appropriate promotional line, and who is working by virtue of a status appointment in a position of a lower class in the same promotional line, is on leave of absence from that position, or is on layoff from that position shall be admitted to an examination. An employee who obtains a passing score will have his/her score placed on a promotional employment register.

3. An applicant who fails to meet the minimum qualifications established for the class, but who can offer qualifications, that in the opinion of the Executive Director, are considered to be compensatory, shall be admitted to the examination for the class. The names of all applicants who pass the examination shall be placed on the appropriate register in order of score.

4. In the absence of a name of a candidate on any existing register for a class, an applicant who does not possess the minimum qualifications for the class and cannot present compensatory qualifications may be admitted with prior approval of the Executive Director to the examination for the class for the purpose of attempting to fill a specific vacancy. The name of an applicant so admitted, and who passes the examination, shall remain on the register only until the specific vacant position has been filled.

5. In accordance with the Americans With Disabilities Act (ADA) (42 USC 12101), any applicant with a recognized disability may receive an accommodation for any examination maintained by the University System. These accommodations are to be administered in coordination with requirements contained in the ADA, the State Universities Civil Service Act and this Part, and other applicable policies at each employment location.

6. For classes within the 01 professional, 02 semi-professional, 03 or managerial occupational areas for which a broader recruitment base is typically applied, out-of-state residents may be admitted to the examination and equally considered. In these instances, when the Illinois citizenship or residency requirement is waived,

out-of-state candidates must establish Illinois residency within 180 calendar days after any employment offer or final appointment.

7. Any applicant may complete an examination for a class four times within any 12 month period, with at least one month time lapse between every rewrite. The candidate's place on the register for the class shall be determined by the highest score achieved on any examination for the class.

c) Rejection or Disqualification of Applicants. The employer may reject any applicant or, after examination, the Executive Director may refuse to certify any candidate who, in addition to requirements specified in Section 36f of the State Universities Civil Service Act and subsection (b), fails to pass a physical examination given to determine his/her physical qualifications for employment, abuses intoxicating substances, uses illegal drugs or narcotics, has been dismissed from either private or public service for a cause detrimental to his/her employment, has maintained an unsatisfactory employment record, has practiced deception or fraud in his/her application, examination or material pertaining to these, or has committed an offense that, in the judgment of the Executive Director, disqualifies him/her for employment.

d) Character of Examinations

1. All examinations within the classification plan shall consist of one or more of the following: cognitive or knowledge test; typing test; oral board test; physical fitness test; credential assessment test; or modified education and experience test or other similar examinations as authorized by the Executive Director.

2. A cognitive or knowledge test may be utilized for certain examinations and consist of one or more of the following components: essay, multiple choice, true/false, or short answer questions. A typing test may be required for certain examinations that would require an applicant to perform this skill. Oral board and physical fitness tests are components for the Police Series examinations. A credential assessment test may be utilized for certain classifications. That test consists of a review of the applicant's resume or employment application, professional certification, licenses, or other education or experience deemed relevant. A modified education and experience test is a rating of an applicant's training and experience based on the applicant completing a prescribed examination form provided by the University System. For classifications requiring valid licenses or certifications, an applicant must show possession of the license or certificate prior to taking the examination.

3. All examination content shall be provided by the staff of the University System.

4. All examination supplies and materials and all examinations are the property of the University System.

5. An examination may be revised, with the approval of the Executive Director, without affecting existing original entry or promotional registers for the class, providing the revision does not change the character or weighting of sections of the examination.

6. Upon approval of the Executive Director, the character or weighting of sections of an examination may be changed, provided there is sufficient evidence that the current examination for the class is not a satisfactory examining instrument and the current examination has been in use for a period of at least one year. At least 30 calendar days advance notice of the change shall be given to all appropriate employers who shall then communicate the notice to each candidate on an original entry or promotional register by score and shall further communicate the notice to any applicant who applies for an examination during the notice period. During the notice period, qualified applicants and candidates whose names are already on the register by score may be scheduled for the examination upon his/her request. At the end of the notice period, the previous original entry register or promotional register of candidates by score will be voided, and a new original entry register or promotional register by score shall be established on the basis of the new examination.

e) Security and Confidentiality Requirements in the Examination Development Process

1. The examination development process requires all subject matter experts, and any other participant in the development process, to exercise discretion and maintain the confidentiality and security of ALL examination materials in their possession. Any person, including but not limited to a University System staff member, Designated Employer Representative/Human Resources employee, subject matter expert, union representative, or incumbent/volunteer involved in any step of the examination development process who willfully or corruptly discloses, distributes, or fails to secure and maintain materials used in the development of an examination instrument shall be considered in violation of the Act.

2. Following the final development of the examination questions, all electronic/paper copies of questions, along with all reference sources for these questions, must be deleted from emails, computers, external hard drives, etc. Any hand written notes that contain examination data elements or comments must be returned to the University System.

3. All persons must be aware that any violation of the Act is a criminal offense and is punishable under Section 46 of the Act.

4. If a security breach is discovered, the University System will contact the Illinois Inspector General's Office and the State's Attorney of the county where the offense occurred for investigation and prosecution. The offending party may be held liable for costs incurred by the security breach and the position held by the party will become vacant upon conviction. Additionally, universities and agencies may be forced to freeze all registers and discontinue all employment actions in the affected classification or classifications.

f) Administration of Examinations

1. As approved by the Executive Director, examinations shall be scheduled and administered by the employer. The examinations shall be conducted on an open and continuous basis. Upon request by the employer and approval by the Executive Director, examinations to original entry registers at each place of employment may be closed up to six calendar months when a sufficient number of candidates on the register has been established and further recruitment and testing is not required for a period of time.

2. In making the determination to close an examination, the Executive Director will consider requests by the employer based on the number of positions in the class, projected new positions, and annual turnover rate. The employer shall be responsible for the security of all examination materials in the employer's custody and access to any electronic examination process, as provided to the employer by the University System.

g) Rating of Examinations

1. The Executive Director and the staff of the University System shall use appropriate scientific techniques and procedures in rating tests and in determining resulting rank to the end that all competitors receive uniform and fair treatment.

2. Each examination shall contain a rating or grading form for employers to utilize in the grading of an examination. Each examination will have its own rating form and is developed by the University System at the time of a new or revised examination. The rating form provides a breakdown of how points are awarded in each area of the examination.

3. Failure in any portion of a total examination, the passing of which is deemed necessary to qualify for eligibility in the class for which the applicant is being examined, shall eliminate the applicant from passage of the complete examination, regardless of his/her score in other portions of the examination. For each eliminating test and the final average in an examination, the Executive Director shall announce the minimum acceptable rating.

4. The passing score for eligibility for certification shall be 70. This score shall be the same for all examinations given for a class, but it may be changed if, in the judgment of the Executive Director, the change is for the best interest of the University System. The change shall be applicable uniformly to all examinations for the class. The passing score shall be made known to all those taking the examination.

5. An applicant who fails to gain eligibility for employment in a higher class may, at the discretion of the Executive Director, elect to accept eligibility for a lower appropriate class, if his/her scores on all appropriate parts of the examination are sufficient to qualify him/her for the lower class.

6. All examination scores shall be on a scale of 1 to 100, with decimal points in examination scores being rounded to the nearest whole number, i.e., with below .5 having the decimal points dropped and with .5 or above being rounded to the next whole number.

h) Notification and Review of Scores

1. An applicant shall be sent a written notice of the date and results of his/her examination. The notice must indicate whether the score achieved is passing or failing and if it includes credit for Veterans Preference.

2. All requests by applicants for formal review of examination scores shall be submitted to the Executive Director.

i) Filing of Examination Records. All examinations, and all examination components, administered by the employer shall be retained by the employer in accordance with the employer's record retention policy or in accordance with the University System's record retention policy and in accordance with the State Records Act [5 ILCS 160].

History

• Source: Amended at 40 Ill. Reg. 11192, effective August 4, 2016

80 Ill. Adm. Code 250.60 Eligible Registers

a) Establishment of Registers

1. The employer shall establish three kinds of registers in each place of employment in accordance with this Part: reemployment, promotional, and original entry.

2. On a monthly basis, or as designated, the employer shall file with the office of the Executive Director a list containing name, class, date of examination, examination number and score of all candidates, and these records shall constitute the master record of examinations taken by the applicants of the System for that employer.

b) Composition of Registers

1. Reemployment registers shall contain names of status employees who have been laid off through reduction in force or who, because of reallocation or reclassification of positions or other causes not prejudicial to the service, have failed to gain eligibility in the new class or who have chosen not to qualify in the new class. The registers shall have the appropriate names listed according to class and in the order of seniority as earned up to the date of eligibility for a position on the reemployment register.

2. Each lesser unit shall have its own reemployment register.

3. Promotional registers shall be by class and shall contain names in the following categories and order:

A) Listed in order of total service in the class:

i) names of employees with status appointments, after having been certified from the promotional register, who have been laid off during the probationary period through reduction in force, with credit for total service as of date of layoff; or

ii) names of employees with status appointments, after having been certified from the promotional register and who, during the probationary period, have failed to gain eligibility following reallocation or reclassification of positions, with credit for total service as of date of ineligibility; or

iii) names of current employees reinstated by total service in accordance with subsection (j)(4).

B) Listed in order of promotional examination scores: names of successful candidates in accordance with Section 250.50(b).

4. Original entry registers shall be by class and shall contain names in the following categories and order:

A) Listed in order of total service to the employer: names of employees who have been, or who may be, separated from status appointments, after completion of at least six months of service to the employer, resulting from a permanent abolishment of a functional service, provided that not later than 90 days after the abolishment of the service, they have qualified for, and have received a passing score on, an original entry examination for the class.

B) Listed in order of total service in the class:

i) names of employees with status appointments, after having been certified from the original entry register, who have been laid off during the probationary period through reduction in force, with credit for total service as of date of layoff; or

ii) names of employees with status appointments, after having been certified from the original entry register and who, during the probationary period, have failed to gain eligibility following reallocation or reclassification of positions, with credit for total service as of date of ineligibility; or

iii) names of current employees reinstated by total service in accordance with subsection (j)(4).

C) Listed in order of total service in the class:

i) names of former employees restored by total service in accordance with subsection (j)(5); or

ii) names of employees seeking transfer, listed according to total service as of date of request for transfer.

D) Listed in order of original entry examination scores: names of successful candidates in accordance with Section 250.50(b) and employees seeking transfer in accordance with Section 250.100(c)(3).

c) Precedence of Registers. For appointment purposes, registers shall have precedence in the following order: reemployment, promotional, and original entry.

d) Certification from Registers

1. Reemployment in positions shall be made in accordance with the register, with highest seniority taking precedence. From a reemployment register, the employer shall certify only one name for appointment.

2. From the promotional register or original entry register, the employer shall certify the candidates with the three highest scores on the register at the time the vacancy is declared, or as otherwise provided under subsection (d)(3).

3. When ties in scores exist on an original entry register or promotional register for a class, all candidates with a tie score, and hence of the same relative excellence, shall be equally eligible to be considered as one of the available candidates certified from the register. The employer shall conduct an interview with, and shall consider, all candidates certified from the register in this manner prior to making its recommendation for selection, except that a single selecting official for the employer shall not be required to interview more than once the same candidate, as currently certified from the register, for a position of the same class.

4. If a total of three candidates are not available from the promotional register and/or original entry register, the employer shall certify those listed, and in addition may refer enough other candidates so that the employing officer has the choice of three candidates for the position. Such additional candidates as are necessary to provide the employing officer with a choice of three must be qualified for the class of the position to which referred and may be employed in accordance with Section 250.70(b)(1) and Section 250.90(b)(6).

5. A promotional register and/or an original entry register becomes closed for the purpose of certification of the names of candidates to a particular vacant position at a time established by the employer. Once this time has been established, it must become a matter of record, and it cannot be changed unless, when this time is reached, the employer is unable to provide to the selecting official three candidates from the promotional register and/or original entry register, and the selecting official wishes to interview three candidates prior to filling a position, whereupon a new date must be established in accordance with the aforementioned procedure. The selecting official shall interview from the registers, for any one vacancy, in accordance with the provisions of subsection (d)(3).

6. Candidates on an eligible register may be referred concurrently to more than one vacancy in the appropriate class, if, in the judgment of the employer, the procedure is needed to speed up employment transactions. Total referrals to a vacant position are to be limited to the candidates with the top three scores, or in accordance with the provisions of subsection (d)(3).

7. The name of a candidate on a register, who at the time of induction into military service is an employee of an employer under the University System, shall be placed in suspension until the termination of military service, at which time his/her name shall be reactivated on the appropriate register in the order of his/her score on the original examination, providing the register of the class has not been voided during the period of his/her military leave.

8. In making a selection from among those candidates with the top three scores certified from the register, and in accordance with the provisions of subsection (d)(3), the employer shall not discriminate because of race, color, religious or political affiliation, or because of age or sex, when the reasonable demands of the position do not require such a distinction.

9. The Executive Director may authorize specialized position certification for eligible register candidates or incumbents who possess special and identified qualifications that are job-related requirements for a specific position, as well as being fully qualified for the class. Upon certification from a register, candidates with the top three scores who possess the established specialized requirements shall be referred for interview.

e) Acceptance of Candidates. The employer shall record the appointment of the candidate selected, and shall return the names passed over to the appropriate eligible register for future certification.

f) Registers by Places of Employment

1. Applicants applying for examinations will be asked to specify places of employment at which they will accept employment, except as provided for in subsection (f)(4), and a statement of that place of employment preference shall constitute a refusal by the candidate of employment at other places of employment. The statement of limited availability shall not constitute a refusal to accept an offer of employment as defined in subsection (g)(5), or employment in the place or places of employment in which the candidate declares himself/herself available for employment. A candidate may amend his/her statements of availability at any time while his/her name is on a register.

2. Following examination, a candidate may request the transfer of an active passing original entry examination score to a place of employment other than the one at which he/she originally wrote the examination.

3. Following examination, a candidate may request the transfer of an active passing promotional examination score to any place of employment within his/her employing institution or agency.

4. In an institution with multi-campus operations, in which a central administrative unit has been established by the Merit Board as a separate place of employment, promotional registers and original entry registers for that place of employment shall be an amalgamation of all promotional registers and original entry registers, respectively, of all places of employment established for that institution.

g) Mandatory Removal of Names from Registers. The employer shall remove the names of candidates from the reemployment registers, original entry registers and promotional registers for the reasons set forth in subsections (g)(1) through (9). The reasons are:

1. Certification from the register to a status position in a specific class and acceptance of a status appointment in that position and class.

2. Death of the candidate.

3. Receipt of proof or determination by the Merit Board that the candidate lacks any of the required qualifications, or is subject to rejection for any cause specified in Section 250.50(c).

4. Receipt by an employer of a written request from the candidate to remove his/her name from a register.

5. Refusal, without reasonable cause, to accept three offers of status appointment by the candidate.

6. Resignation of the candidate from a status position.

7. Attempt by a candidate to practice any deception or fraud in connection with an examination or application for employment.

8. When a change in class or testing standards or another classification plan change requires removal. In this instance, specific guidelines for the removal of names from registers shall be provided by the University System.

9. From promotional registers at the termination of the leave of absence from a position in his/her former class when a candidate accepts a position in a class outside the promotional line of the applicable registers.

h) Permissive Removal of Names from Registers. The employer may remove the names of candidates from original entry registers and from promotional registers for the reasons set forth in this subsection (h). Names of candidates may be removed from reemployment registers for the reasons set forth in subsections (h)(1) through (7). The reasons include, but are not limited to, the following:

1. Failure of a candidate to report for work without good cause within the time prescribed by the employer, after accepting a status or a temporary appointment.

2. Leaving the service of any employer served by the University System by an employee with a status appointment.

3. Failure to reply to the employer within seven calendar days immediately following an offer of a status or a temporary appointment by an employer.

4. Notice by postal authorities of their inability to locate the candidate at his/her last known address, or verbal notice from the owner or occupant of the premises that the candidate is no longer at his/her last known address and that no forwarding address has been provided.

5. Failure of a candidate, upon request, to furnish written evidence of availability for employment.

6. Failure, without reasonable cause, to reply to the employer or appear for an interview within a reasonable time prescribed by the employer, when the employer has mailed either a notice of a vacancy in a status or temporary position or a letter of interest to the candidate's last known address.

7. Upon the candidate's acceptance of a promotion.

8. Failure of a candidate to be selected for employment after four referrals for a status appointment in the same class.

9. When candidates' names have remained on original entry registers for two consecutive years following date of most recent examination, or following date of original entry restoral on the basis of service or seniority in accordance with subsection (j)(3), (4) or (5).

10. In classifications identified by the Executive Director and approved by the Merit Board, upon the expiration of the designated timeframe specified in a formal position vacancy posting. Classifications to be included under this provision shall be determined by, but not limited to, an evaluation of the following factors: occupation area, employment and turnover rates, pre-employment screening protocols utilized, operational needs and trends, and/or other special circumstances and justification.

i) Notification of Candidates of Removal of Names from Registers. Candidates whose names are removed from reemployment registers, promotional registers, and/or original entry registers in accordance with subsections (g) and (h) shall be notified in writing by the employer and provided the reason for the removal.

j) Restoration of Names to Registers. The employer may return to an appropriate register:

1. Within one year after the date of removal, any name removed from a register for the reasons set forth in subsections (g)(3) or (4), or in subsection (h).

2. Any name to a reemployment register as provided for in Section 250.110(b)(3)(G)(i).

3. Any name of an employee to an original entry register or to a promotional register who has qualified by examination and who has been laid off during his/her probationary period, in the order of length of service in the class determined in accordance with Section 250.90(b)(4) and (5).

4. The name of a current employee who has been previously employed in a class for which restoral is being requested by service and/or seniority in that former class.

5. The name of a former status employee who resigned or otherwise has been separated from employment in good standing and who, within one year after resignation or separation from employment, requests restoration to a register shall, upon approval of the employer, be restored on the original entry register in accordance with seniority earned as of the date of resignation or separation as determined in accordance with Sections 250.90(b)(5) and 250.120(e). The former employee may be required to pass physical tests or other tests required by this Part to determine fitness at the time of restoral. Seniority earned prior to resignation shall be restored.

History

• Source: Amended at 40 Ill. Reg. 3105, effective January 26, 2016

80 Ill. Adm. Code 250.70 Nonstatus Appointments

a) Temporary Appointments

1. Temporary appointments are made to any positions the employer certifies to be emergent, temporary, or transitory. Temporary appointments shall be for not more than three months. With approval of the Executive Director, they may be renewed in accordance with need up to a maximum of six months less one day.

2. An employer shall fill a temporary position by calling candidates in the same manner as for status appointments, and in accordance with Section 250.60(d). Refusal to accept, or acceptance of, a temporary appointment by a candidate shall in no way affect the candidate's position on the register, regardless of number of refusals or acceptances.

3. A candidate may request that he/she not be called for temporary positions.

b) Provisional Appointments

1. In the absence of a register, an employer may make a provisional appointment, in accordance with Section 36n of the Act, providing the person so appointed possesses the qualifications for the position stated in the appropriate class specification. In order to establish eligibility for a status appointment, the provisional appointee must file application for, and pass, the examination for the appropriate class.

2. A provisional employee who has not qualified by examination may continue to be employed, providing no candidate is available for appointment from the appropriate register.

c) Apprentice Appointments

1. An apprentice is a nonstatus employee who is employed in an occupation defined as an "apprenticeable occupation" by the United States Department of Labor, Bureau of Apprenticeship and Training, in accordance with registered apprenticeship standards. These standards shall include, but are not necessarily limited to, criteria for screening and selection of apprentices, term of apprenticeship, requirements of related instruction, a schedule of work processes, a progressively increasing schedule of wages, periodic evaluations of the apprentice's progress, recognition for successful completion of the apprenticeship, and other requirements as established by the Joint Apprenticeship Committee governing the program in which the apprentice is enrolled and employed. The standards must meet basic requirements and be registered with the USDOL Bureau of Apprenticeship and Training.

AGENCY NOTE: An apprenticeable occupation is a trade or craft that is recognized as apprenticeable by the USDOL Bureau of Apprenticeship and Training, is customarily learned through work experience that requires 4,000 or more hours of work to learn, requires related instruction or study to supplement the work experience, is clearly identified and commonly recognized throughout the industry, involves the development of skill and knowledge sufficiently broad to be applicable in like occupations throughout an industry, and meets the standards of the area.

2. A program meeting the basic fundamentals for registration will be developed by a joint apprenticeship committee composed of employer, employee representatives, and a representative from the USDOL Bureau of Apprenticeship and Training. The program shall be submitted to, and approved by, the Executive Director. Following the Executive Director's approval, the program will be submitted for approval and registration to the USDOL Bureau of Apprenticeship and Training. However, no apprentice program will be developed for a job classification for which there is an existing registered area program.

3. Apprentices who are individually registered in the program registered with the USDOL Bureau of Apprenticeship and Training, may be employed without University Civil Service examination.

4. An apprentice who satisfactorily completes apprenticeship in accordance with the prescribed apprenticeship standards of the program in which registered will have attained the status of journeyman. The incumbent will not be subject to University Civil Service examination and no right to continuation in employment is earned by the satisfactory completion of the apprenticeship. If employment is continued at the journeyman level after satisfactory completion of an apprenticeship, seniority in the promotional line shall be counted from the date that the employee acquires journeyman status.

d) Intern Appointments

1. With the approval of the Executive Director, an employer may appoint an intern to any position, provided all of the following criteria have been met:

A) no qualified candidates are available from a reemployment register or promotional register for the class;

B) a predetermined and scheduled program of development, training or experience has been established and approved for the candidate;

C) a compensation program has been developed that provides for progressively increasing salary levels payable upon completion of defined phases of training. The intern's starting salary shall not be more than 95% of the minimum of the approved pay range for the class. The intern's salary, after increases have been awarded, shall not exceed 95% of the midrange of the approved pay range for the class; and

D) the employer can verify that one of the following factors exists:

i) the candidate lacks one or more of the minimum qualifications for the class;

ii) recruitment efforts have failed to attract qualified candidates;

iii) operating needs warrant ongoing training programs to supplement staffing recruitment efforts;

iv) there is a recognized need for specialized training programs in technical or professional fields.

2. If, in the opinion of the employer, the intern completes the prescribed training in accordance with the standards established by that intern program, he/she shall be certified to a position of the class for which he/she completed his/her intern program.

3. Following successful completion of an intern program and probationary period, seniority in the promotional line, or in the class, shall be counted from the date that the employee satisfactorily completes the intern program.

4. If a class has fewer than 10 positions, an employer may have one intern appointment in the class. If a class contains 10 or more positions, not more than 10% of the total positions in the class may be filled by intern appointments on any day of operation.

e) Student Appointments

1. Each employer shall determine which positions shall be designated as student positions, and when so designated, they shall be filled according to this Part and such other regulations as are established by the employer pursuant to this Part, subject to the approval of the Executive Director.

2. A student employee shall not displace a certified Civil Service employee.

3. A student, for purposes of this Part, shall be one who is registered for course work at an institution served by the University System for at least one-half of the normal workload of a regularly enrolled full-time student, as such workload is determined by the employer. Lacking such enrollment during a summer session, or summer quarter, an applicant may be considered a student for the purposes of this Part if he/she was enrolled as a student during the quarter or semester immediately preceding the summer session, or if he/she indicates an intention to be so registered during the quarter or semester immediately following the summer employment. In any case, the possession of a properly authenticated student identification card shall be deemed as providing satisfactory evidence of student status. The Executive Director may approve exceptions to this subsection (e)(3) when sufficient cause is evidenced; such as, but not limited to, graduating seniors, financial hardship cases, personal or physical problems, etc.

4. A uniform classification plan for student employees, which shall provide groups of positions sufficiently similar in duties, responsibilities and qualifications as to be given the same class title and to be of a similar level of job worth, shall be established by each employer, subject to the approval of the Executive Director.

5. Each employer shall establish a wage rate or range for each position grouping, taking into account job requirements, rates paid locally for similar work, including rates paid to Civil Service employees, consistency within the student aid program of the employer, and availability of funds. No student employee shall be paid below the minimum rate, or above the maximum rate, as established for the position grouping in which he/she is employed, unless approved by the Executive Director. No maximum rate for student employment shall exceed the maximum rate established for comparable Civil Service classes on the same campus.

6. The employer may give applicants for student employment a screening examination, without Civil Service status, if the examination is deemed necessary for the selection of employees.

7. No seniority as a Civil Service employee is earned through employment in a position designated as student.

8. A student employee is not eligible for paid vacation, paid holidays, or disability leave, as established by the Benefits Policy approved by the Merit Board and by the governing Boards of the institutions served by the University System.

9. A position designated as student may be terminated at any time at the discretion of the employer.

10. Each employer may make such regulations and policies governing student employment on its respective campuses as it deems desirable, subject to the Act and this Part governing the University System.

f) Extra Help Appointments

1. An Extra Help appointment may be made by an employer to any position for work the employer attests to be casual or emergent in nature and that meets the following conditions:

A) the amount of time for which the services are needed is not usually predictable;

B) payment for work performed is usually made on an hourly basis; and

C) the work cannot readily be assigned, either on a straight-time or on an overtime basis, to a status employee.

2. Qualification determination shall consist of a review of the employee's application and a verbal interview. Qualifications will be determined to be Acceptable or Not Acceptable. When skills are required for clerical/secretarial positions, an examination to demonstrate acceptable skills will be administered. The applicant will be required to pass the examination at a standard established by the employer. A listing of those applicants who have been determined to be Acceptable shall be maintained by the employer.

3. An employer shall fill an Extra Help position by referring persons to the employing unit from the Extra Help list of Acceptable candidates.

4. Acceptance or refusal to accept an Extra Help appointment by a candidate shall in no way affect the candidate's position on any Extra Help list, or on any other register maintained by the employer.

5. Classifications will be established in broad categories, such as administrative, professional, technical, clerical, trades, and service.

6. An Extra Help position may be utilized for a maximum of 900 hours of actual work in any consecutive 12 calendar months. The employer shall review the status of the position at least every three calendar months. If at any time it is found that the position has become an appointment that is other than Extra Help, the employer shall terminate the Extra Help appointment. If an Extra Help position has accrued 900 consecutive hours, the position shall not be reestablished until six months have elapsed from the date of the termination of the position.

7. Upon working 900 hours, an Extra Help employee cannot resume employment in any Extra Help appointment at a place of employment until 30 calendar days have elapsed.

8. The employer shall quarterly review its use of Extra Help appointments to ensure compliance with this Section.

9. Compensation of Extra Help employees shall be within the limits established for comparable service in status employment.

History

• Source: Amended at 36 Ill. Reg. 6014, effective April 6, 2012

80 Ill. Adm. Code 250.80 Status Appointments

a) Permanent and Continuous Positions. Appointments from the eligible registers to positions which have been assigned to a class and approved by the Director, and which the employer has certified intention of continuing on a regular employment basis for the duration of the probationary period, shall be status appointments. Such appointments may be on a full-time or on a percentage of a full-time basis.

b) Contract Appointments.

1. Contract Appointments are made to positions in the System when such positions are covered by a contract between an employer served by the System and either:

A) the State of Illinois, or an agency thereof, where the work performed is under the direct supervision and control of a member of the staff of the state agency, and on the premises of that agency; or

B) any institution, agency, or organization, other than the State of Illinois, or any agency thereof, where the work is required to be performed at locations away from the premises of the employing College or University or its immediate environs.

2. The examination shall be brief, simple, and easily administered, and shall consist of a review of the employee's application and a verbal interview. The examination shall be scored as: Highly Qualified; Qualified; Acceptable; Not Acceptable. The Director shall, upon request for such candidates, certify to the employer the names and addresses of all the persons who have scored in the highest of the three categories, namely: Highly Qualified; Qualified; Acceptable, in which one or more candidates have scored, and the employer shall select one of the persons so certified.

3. The duties of a position for which contract employment is used shall be classified to meet generally the specifications for a comparable class established for other services in the System.

4. Rates of pay shall be established which take into account both the salary range currently established for the appropriate class and rates applicable in the community where the work is being performed.

5. Seniority shall be established on the basis of the agency or locality in which the work is being performed.

80 Ill. Adm. Code 250.90 Probationary Period

a) Purpose of Probationary Period. The probationary period is an integral part of the examination process, and shall be utilized by the employer for close observation and evaluation of the employee's work, for obtaining the most effective adjustment of a new employee to his/her position, and to determine whether an employee demonstrates the ability and qualifications necessary to furnish satisfactory service. Periodically, throughout the probationary period, the employer should discuss with the employee his/her progress on the job. An employee who is dismissed during a probationary period shall be given the reasons for his/her dismissal, with the understanding that the reason is not reviewable.

b) Duration of Probationary Period

1. Candidates employed from the reemployment register shall not be required to serve a new probationary period.

2. An employee who has accepted a status appointment shall be on probation for no less than six months and no longer than 12 months. The probationary period shall be extended by a comparable amount of time for the following personnel actions: a paid or unpaid leave of absence that exceeds more than five consecutive work days; a layoff of any duration; a suspension of any duration; or a designated off-site formalized training session, provided the Executive Director has approved the off-site training for that extension. The probationary period shall begin on the date of assignment to duty and shall expire at the close of business on the last working day that completes the probationary period for the class, regardless of percentage of time of employment during the probationary period. If the employee is not dismissed during the probationary period, the employee shall become a status employee at its conclusion.

3. An employee reinstated to a register in accordance with Section 250.60(j)(4) who is subsequently appointed to a position of his/her former class shall complete his/her probationary period in the former class, if he/she has not already done so.

4. An employee who goes on layoff status during the probationary period may, upon written request of the employer, be reinstated by the Executive Director on either the original entry register or promotional register, as appropriate, in accordance with total service earned as of the date of the layoff and may be appointed thereafter to the same or similar position. The reinstated employee shall complete the probationary period for the class in which eligibility has been established, although his/her service may be interrupted by one or more layoffs.

5. Service in a higher class shall count toward completion of the probationary period in a lower class in the same promotional line. Service in a lower class shall not be counted toward completion of probationary period in a higher class of the same promotional line.

6. A provisional employee shall begin a probationary period on the date of entrance into a status appointment for which the employee is eligible.

History

• Source: Amended at 36 Ill. Reg. 6014, effective April 6, 2012

80 Ill. Adm. Code 250.100 Reassignments and Transfers

a) Reassignment within a Place of Employment

1. An employer may reassign an employee during his/her probationary period to any position of the same class within a place of employment, subject to conditions imposed by the recognition of lesser units. An employee so reassigned shall be required to complete his/her probationary period in the class.

2. An employer may reassign a status employee to another position of the same class within a place of employment, but the employee shall not be required to serve any additional probationary time in the class. Reassignment shall be without prejudice to seniority in the class or in the promotional line of which that class is a part, subject to conditions imposed by recognition of lesser units.

3. All reassignments shall take precedence over any existing registers.

b) Temporary Downgrading and Upgrading

1. Temporary Downgrading. If it is necessary to assign a status employee, on a temporary employment basis to a temporary or permanent position which is classified at a lower level, the employee's salary, at the time immediately prior to such assignment, will be maintained.

2. Temporary Upgrading. If a status employee is assigned, on a temporary employment basis, to a temporary or permanent position of higher rate or range, the employee is entitled during the period of upgrading to receive the higher rate or a salary within the higher range provided that no employee shall suffer any reduction in salary because of the assignment.

3. The temporary upgrading and downgrading assignments must not be for more than 30 consecutive work days duration.

4. An employer makes temporary downgrading assignments by assigning a status employee who meets the minimum qualifications of the class to which assignment is being made. An employer makes temporary upgrading assignments by assigning status employees from active registers for the class so long as those registers exist. When a need for temporary upgrading assignments occurs in classes that utilize work shifts, the register requirement applies only to those status employees on the appropriate shift. Acceptance of, or refusal to accept, a temporary assignment by an employee shall in no way affect the employee's position on the register, regardless of the number of acceptances or refusals.

5. In the absence of a register, an employer may assign only those status employees who meet the minimum qualifications for the class to which assignment is being made.

6. When a temporary assignment has been made, seniority shall continue to be accrued in the class in which the employee has a status appointment.

c) Transfer to Another Place of Employment

1. An employer, with the approval of the employee involved, may transfer a status employee from one place of employment to a position of the same class in another place of employment within the same institution or agency, provided there are no names on the reemployment register for that class in the place of employment to which the employee is being transferred. The employee is not required to serve a second probationary period in the new place of employment.

2. A status employee may request that his/her name be transferred to any other place of employment within the System and be placed on the original entry register at that place of employment in the class in which he/she has a status appointment. Upon acceptance of the request by the appropriate employer, his/her name shall be placed on the original entry register in accordance with his/her total service in the class as of date of the request for transfer. If this employee accepts a status appointment at the place of employment to which his/her name was transferred, he/she is not required to serve a second probationary period.

3. An employee whose name has been certified from the register and who has not completed the probationary period may have the examination score for the class in which he/she is employed transferred, at the employee's request, to another place of employment within the System. That employee's name shall be placed on the original entry register for that class by score at the place of employment. He/she must serve a full probationary period at the new place of employment.

4. When a function of an institution or agency covered by the System is transferred to another institution or agency covered by the System, employees previously certified within the System who are affected by the transfer shall transfer the same accrued seniority or service as determined by their original date of certification.

d) Transfer of a State Employee under the Personnel Code [20 ILCS 415] to Employment under the System

1. The procedures for effecting the transfer of a State employee from a position under the Personnel Code to a comparable position under the University System shall be the same as those that apply to the transfer of an employee within the System from one place of employment to another, as stated in subsections (c)(1) and (2).

2. The term, "status", as used in Section 36q of the Act, third paragraph, shall refer to:

A) the employee's status under the Personnel Code as a probationary or a status employee;

B) his/her eligibility to accrue credits for vacation, sick leave, and personal leave benefits, as determined by years of consecutive service to the employer from which he/she is transferring; and

C) his/her eligibility for a specific pay rate where the pay rate of an employee is determined by years of service.

3. Seniority earned by a State employee under the Personnel Code is not transferable.

4. When a State agency becomes subject to the Act, previously certified employees under the regular classified Personnel Code affected by the transfer shall transfer the same accrued seniority as determined by their original date of certification.

e) Appointment of Law Enforcement through Lateral Transfers

1. An employer may, but is not required to, create a transfer list of applicants who have been employed as sworn police officers within the past 24 months, and these applicants have requested that their names be added to the transfer list. Such a transfer list shall be subject to the provisions of this subsection (e).

2. Such a transfer list may be used by an employer when filling a vacant Police Officer position. The transfer list is separate from an original entry register. The transfer list may be used in lieu of the original entry register, subject to provisions of the Act and by this Part and the procedures.

3. To be eligible for appointment under this subsection (e):

A) the applicant must have:

i) successfully completed at least 2 years of employment as a full-time sworn and certified law enforcement officer; and

ii) either possess certification from the Illinois Law Enforcement Training and Standards Board (ILETSB) and satisfy the requirements established by the Illinois Law Enforcement Training and Standards Board, or, be eligible to be certified by ILETSB;

iii) the applicant must not have been suspended for disciplinary reasons by the current or most recent employer;

B) for an employer identifying in its police department:

i) fewer than 10 allotted sworn police officer positions, no more than 4 positions at any place of employment may be filled and occupied under this subsection (e) in any given 24-month period;

ii) between 11 and 15 allotted sworn police officer positions, no more than 5 positions at any place of employment may be filled and occupied under this subsection (e) in any given 24-month period;

iii) between 16 and 20 allotted sworn police officer positions, no more than 6 positions at any place of employment may be filled and occupied under this subsection (e) in any given 24-month period;

iv) between 21 and 30 allotted sworn police officer positions, no more than 7 positions at any place of employment may be filled and occupied under this subsection (e) in any given 24-month period;

v) between 31 and 60 allotted sworn police officer positions, no more than 8 positions at any place of employment may be filled and occupied under this subsection (e) in any given 24-month period;

vi) between 61 and 79 allotted sworn police officer positions, no more than 9 positions at any place of employment may be filled and occupied under this subsection (e) in any given 24-month period;

vii) between 80 and 100 allotted sworn police officer positions, no more than 11 positions at any place of employment may be filled and occupied under this subsection (e) in any given 24-month period; and

C) the applicant must pass a background investigation which may include features such as fingerprinting, police records checks, credit checks, and inquiries of neighbors, relatives, and employers.

D) the applicant must successfully complete a screening such as a polygraph, psychological evaluation, medical examination, and drug screen as required by the hiring department.

4. Any applicant hired pursuant to this subsection (e) must serve a probationary period of 12 months.

History

• Source: Amended at 47 Ill. Reg. 6574, effective April 30, 2023

80 Ill. Adm. Code 250.110 Separations and Demotions

a) Resignation. An employee having a nonstatus or status appointment, as described in Sections 250.70 and 250.80, may resign by presenting a signed resignation to their employer or by demonstrating to the employer by other means their intent to separate from employment. Upon receipt of a signed resignation by the employee or other evidence of intent to separate from employment, the employee will be separated from their employer. The employer shall maintain all resignations or other documentation of evidence in accordance with the employer's record retention policy.

b) Leave of Absence

1. Leave of Absence for Classification Changes. A status employee who accepts a position that represents a promotion in a class outside their promotional line shall be granted a leave of absence from a position of their former class for the duration of any intern appointment, provisional appointment, and/or probationary period in the new class.

2. Leave of Absence for Disciplinary Actions. An employee placed on a Disciplinary Suspension or on a Suspension Notice Pending Discharge shall be placed on a leave of absence from their position.

3. Leave of Absence for Disability Leave

A) If an employee is no longer able to perform the duties and responsibilities of their position in the class due to a disability as determined by the employer's medical and/or psychological evaluation procedures and/or in accordance with State and federal laws, the employee will be required to take a disability leave in accordance with subsection (b)(3)(B).

B) A status employee who becomes eligible for disability benefits to be paid by the employer or, as later determined, by the Illinois State retirement system to which the employee contributed or becomes eligible for payment benefits as defined by the Workers' Compensation Act [820 ILCS 305], the Illinois Occupational Diseases Act [820 ILCS 310], or a State self-insurance program, shall be granted a disability leave. The disability leave shall be the period for which the employee applies for such benefits until the time of the expiration of the benefits or a final administrative decision denying or terminating the benefits, including any gap in benefit payments between the expiration of institutional benefits and those available under the approving authority.

C) The employer may require an employee to take a medical and/or psychological examination prior to returning to work after a disability leave. The examination shall be conducted by a licensed practitioner selected by the employer to determine the physical and/or mental capability to perform the essential duties of the employee's position. The employer may supply the examining practitioner with facts relating to the employee's difficulty or inability to perform the essential functions of the job and may supply additional information, including but not limited to physical and mental requirements of the employee's position, duty statement, job classification specification, and position description. The employee may also present an alternative opinion provided by a licensed practitioner to be selected and paid for by the employee. If there is a difference of opinion, a third outside practitioner shall be selected by the 2 physicians. The employer shall pay for all examinations except those initiated by the employee.

D) An employee's refusal to submit to an examination as described in subsection (b)(3)(C), the unexcused failure to appear for such an examination, or the refusal to release the results of the examination may be deemed by the employer as an acknowledgment that the employee is not fit for duty and may subject the employee to termination actions as defined in subsection (c).

E) A disability leave may be revoked by the employer upon evidence that the cause for granting the leave was misrepresented.

F) At the expiration of all disability benefits, an employee shall be entitled to return to a position in their class without any loss of status due to the disability leave, providing that they return upon the expiration of all disability benefits to which entitled.

G) Reemployment

i) If an employee does not return to work at the expiration of all disability benefits and is terminated in accordance with subsection (c)(2), the employee may, within one year following the expiration of all disability benefits, request reinstatement and, the employer shall place the employee's name on the reemployment register in the class in which they were employed at the time the disability leave was granted and in accordance with total seniority earned.

ii) If, within one year following the expiration of all disability benefits, the employee requests reinstatement, but, because of their disability, is deemed unable to perform the duties in the class, the employee may be required to pass physical or other tests to determine employability under the University System.

4. Military Leave of Absence. An employee shall be granted a Military Leave of Absence in accordance with State and federal laws and regulations.

5. Notification

A) The employer may select:

i) to notify the Executive Director of all leaves of absence, including military, disability, or any other leave otherwise granted; or

ii) to maintain these records for inspection upon request by the Executive Director or designee during the on-site audit program or other specified time.

B) The notification shall include the beginning and ending dates of leaves that exceed 30 calendar days of non-pay status.

c) Termination

1. An employee having a non-status appointment, as described in Section 250.70, may be terminated by their employer at any time during the training period and/or upon completion of the work assignment.

2. An employee on a disability leave, as defined in subsection (b)(3), who has exhausted all of their disability benefits and is unable to resume the duties and responsibilities of a position in their class may be terminated from employment in accordance with subsection (c)(6), or the employer and employee may agree upon employment in a more suitable classification. The alternative employment options shall be subject to standard civil service employment protocols.

3. An employee who fails to report for duty after a disability leave of absence has expired or has been denied, disapproved, revoked, or canceled by the approving authority, or any other failure to report for duty as scheduled after a disability leave of absence, may be terminated from employment in accordance with subsection (c)(6).

4. An employee who fails to report for duty after they have exhausted benefits under the Family and Medical Leave Act (FMLA) may be terminated from employment in accordance with subsection (c)(6).

5. An employee who fails to maintain their right to work in the United States, as evidenced by a Permanent Resident Card (also known as a Green Card), an Employment Authorization Document (also known as a work permit), or an employment-related visa granted by the government of the United States, shall have their employment terminated as of the last date that employee had a right to work in the United States. It is the responsibility of the employee to do all things necessary to maintain their right to work in the United States, as governed by U.S. law. The employer shall notify the employee of the termination.

6. Appropriate notification shall be provided to an employee, as specifically referenced in subsections (c)(2), (c)(3) and (c)(4), which shall include the notification provisions outlined in this subsection (c)(6).

A) The employer shall notify the employee that they will be terminated from the employer's service to become effective 7 calendar days from the date of mailing of the notification to the employee. The notification shall be sent by an overnight delivery service that requires a signature upon receipt to the most recent address of the employee as shown on the employer's records.

B) At any time prior to the effective date of termination, the employee shall have the opportunity to provide to the employer evidence of the reason for the unauthorized absence. The employer shall revoke the termination if the employee provides satisfactory evidence of the reason for the unauthorized absence. If the employer determines that the evidence is not satisfactory, the employer shall notify the employee within 2 workdays that the termination will remain in effect.

C) Pursuant to Section 250.130 (Review Procedures), the employee may request a review of the employer's final notice of termination. The review is limited to a determination of whether this Section has been properly applied and whether the employer's decision is deemed arbitrary or capricious. In the event a review is not requested within the allotted timeframe, the employee's termination from service shall be effective 7 calendar days after the original notification.

d) Layoff

1. The Executive Director shall be provided with all notices of layoff within 3 workdays of any notice to an employee, of all employees on layoff status, together with the dates of the beginning of layoff and of return to employment from layoff status, when the layoff exceeds 30 consecutive workdays. A status employee shall receive a written notice, at least 30 calendar days in advance of the effective date of the layoff when the layoff exceeds 30 consecutive workdays; however, the effective date of layoff may be extended up to 15 calendar days without the requirement of further notice.

2. Whenever it becomes necessary to lay off one or more employees, except as provided in subsection (d)(3), the employee who has the least amount of service in the class shall be laid off first, and additional layoffs shall be made in the ascending order of the place of the employee on the service and seniority lists for that class.

3. An employee who is the incumbent of a position for which the Executive Director has authorized specialized certification under Section 250.60(d)(9), or who is the incumbent of a position that has previously been identified as requiring specialized training or experience as required by the position in accordance with minimum acceptable qualifications for the class, may not be bumped by another employee with greater seniority unless the employee with greater seniority possesses the special and identified qualifications authorized for the incumbent's position.

4. Whenever it becomes necessary to reemploy one or more employees in a class, the employee last laid off by seniority shall be reemployed first, and further reemployment shall be made in the order of seniority until the reemployment register for that class is exhausted. Work of short duration requiring reemployment of one or more employees will not require a new written 15 calendar day advance notice of layoff if the work period is to be 5 consecutive working days or less and the work is emergent in nature.

5. A status employee who is subject to layoff from a part-time position may bump an employee in a full-time status position, providing the part-time employee's equivalent full-time accrued seniority based on hours in pay status is greater than that of the least senior employee in a full-time position. A full-time status employee who is subject to layoff may bump the least senior full-time employee, who then may bump the part-time employee having the highest percent-time appointment, providing the full-time employee has more accrued seniority.

6. Names of employees laid off during their probationary periods shall be returned to the register from which they were certified to their position in accordance with service in a status appointment earned as of the date of layoff.

e) Disciplinary Suspension. An employer may suspend an employee as a disciplinary measure for not more than 30 calendar days.

1. The employer shall discuss the specific problem pertaining to the contemplated suspension with the employee and the Human Resource Director or their designee before a suspension notice is served. The employee shall be told at that time that suspension is being considered.

2. In imposing a disciplinary suspension, the employer shall serve a written suspension notice on the employee showing the reason or reasons for the suspension, and shall, within 3 workdays, report the suspension to the Executive Director and shall send a copy of the notice served on the employee, along with proof of service, to the Executive Director.

3. Causes justifying suspension, not discharge as provided for in subsection (f)(1), shall include, but are not limited to: unauthorized and unexcused absence; leaving work without authority; failure to accurately record one's arrival for and/or departure from work; habitual lateness; recording another person's arrival for and/or departure from work; falsification of documents; key duplication and/or unauthorized possession of keys; misrepresentation of absence; falsification of records; refusal to do work assigned; failure to follow work schedules; failure to follow time schedules; rude, disrespectful, and/or unprofessional behavior; failure to adhere to departmental regulations of appearance; disregard of safety regulations; careless workmanship resulting in spoilage, waste, or delay; unauthorized use of institutional property; gambling on institutional property; creating or contributing to unsanitary conditions; horseplay or scuffling; fighting; sleeping during working hours; unauthorized visiting; failure to follow official university policy and procedures; reporting to work with one's mental or physical ability, alertness, or judgment impaired by substances and/or fatigue in a way that makes it impracticable or unsafe to perform one's job duties; and inability or failure to perform assigned duties in a competent and satisfactory manner.

AGENCY NOTE: It is to be noted that an employee's allegation that a Disciplinary Suspension was unfairly imposed is subject to the grievance procedure established by the employing institution but is not reviewable by the University System.

f) Discharge Proceedings and Effective Date of Discharge

1. Reason for Discharge. Causes justifying discharge and any suspension during the discharge proceedings shall include, but are not limited to:

A) all those listed as cause for suspension if they become recurring offenses; and

B) theft; consuming intoxicating liquors or other illicit drugs on institutional time or property; consuming intoxicating substances resulting in mental impairment at work; malicious damage to property, tools, or equipment; inciting or instigating a physical altercation, or continuing a physical altercation beyond immediate self-defense; immoral or indecent conduct that violates common decency or morality; conduct that is a clear departure from ordinary standards of honesty, good morals, justice, or ethics so as to cause shock to the moral sense of the community.

2. Pre-discharge Proceedings

A) Notification Procedures. Prior to initiating any proceedings before the Merit Board for the discharge of an employee, the employer shall notify the employee in writing, served upon the employee in person if the employee is present on the job or, otherwise, by an overnight delivery service that requires signature upon receipt to the most recent address of the employee as shown on the employer's records, and also by First Class U.S. Mail, of the employer's intention to initiate the proceedings. The notification shall advise the employee of the substance of the charges proposed to be filed in sufficient detail to inform the employee of the nature of the conduct on which the proposed charges are based. (Note: It is the employee's responsibility to maintain a current mailing address with their employer.) The notification shall also advise the employee that either or both of the following options are available to the employee:

i) within 3 workdays after service of the employer's notification, the employee may notify the employer of their decision to require the employer to hold a conference with the employee or their representative for the purposes of responding to the matters contained in the notification and of attempting to achieve a reconciliation or understanding; and

ii) within 3 workdays after service of notification, the employee may deliver to the employer a written response to the matters contained in the employer's notification; provided that, if the employee elects to require the conference identified in subsection (f)(2)(A)(i), at that conference the employee may request and receive an opportunity to respond further in writing within 3 workdays after the conclusion of the conference.

B) Employer's Decision

i) Within 7 workdays after compliance with the provisions of subsection (f)(2)(A), the employer shall either:

• notify the employee that no further action will be taken to initiate discharge proceedings with the Merit Board against the employee based solely on the matters contained in the employer's notification; or

• initiate proceedings before the Merit Board under this subsection (f) seeking the discharge of the employee based solely on the matters contained in the employer's notification.

ii) The employer's election not to initiate discharge proceedings with the Merit Board shall not preclude the employer from imposing a suspension in accordance with subsection (e) or some lesser penalty.

C) Excused Absence with Pay. An employee who has been served with an employer's notification as provided in subsection (f)(2)(A) may be placed on an excused absence with pay during all or any part of the period covered by this subsection (f)(2) to provide the employer an opportunity to investigate serious charges.

3. Actual Discharge Proceedings

A) Initiating Discharge Proceedings. Proceedings before the Merit Board seeking the discharge of an employee shall be initiated by the employer by completing and filing a Written Charges for Discharge form with the Merit Board/University System, employee, legal counsel for the employer, and the employer, setting forth the causes for discharge in sufficient detail to inform the employee of the nature of the conduct on which the charges are based. The Written Charges for Discharge form shall be set forth in separately numbered charges. Also, the employer shall develop and attach a document that contains the dates, names of persons, places and facts necessary to properly allege the cause for discharge. If a breach of duty, statute, or rule of the employer is alleged, the statute, law, or rule shall be cited in connection with the charge. Any and all exhibits that the employer plans to present at the time of the hearing shall be submitted in accordance with subsection (f)(5)(G) or as appropriate to the circumstances. The exhibits shall not be attached to the Written Charges for Discharge form.

B) Written Charges for Discharge Form. The Written Charges for Discharge form will be provided by the University System and the employer shall include the following information on the form: employee's contact information as it appears in the employer's records; civil service class and position number; place of employment; charges in numbered format and clearly stated; DER's signature; and the "Proof of Service on Employee" section shall be completed in its entirety. The employer shall also attach a "Certification" stating that all procedures set forth in subsection (f)(2) have been followed and that there has been full compliance with any options elected by the employee. The certification shall include the employee's name; civil service class and position number; signed and dated. At the time the Written Charges for Discharge form and the certification are filed with the Merit Board (University System), the employer shall also serve copies upon the employee in person if the employee is present on the job; otherwise, service shall be by an overnight delivery service that requires a signature upon receipt to the most recent address of the employee as shown on the employer's records, and also by First Class U.S. Mail. The employer shall file proof of service with the Merit Board (University System). The DER shall sign the Written Charges for Discharge form to be filed with the Merit Board (University System) and the employer.

C) Amended Written Charges for Discharge Form. At any time prior to the commencement of the hearing, the Executive Director may direct or authorize the Written Charges for Discharge form to be amended to correct technical defects or to set forth additional facts or allegations that clarify the subject matter of the original charges. The technical amendments shall relate back to the original proof of service date of the Written Charges for Discharge form. The employer shall serve copies of the Amended Written Charges for Discharge form upon the employee in person if the employee is present on the job; otherwise, service shall be by an overnight delivery service that requires a signature upon receipt to the most recent address of the employee as shown on the employer's records, and also by First Class U.S. Mail. The employer shall file "Proof of Service on Employee" for the amended charges, on the form provided by the University System. Nothing in this subsection (f)(3)(C) shall change the timing requirements in subsection (f)(5).

D) Suspension Without Pay. An employee who has been served with Written Charges for Discharge in accordance with subsections (f)(3)(A) and (B) and/or (C) may be suspended without pay by the employer during all or any part of the period that the discharge proceeding is pending, and until final disposition, if the employer is of the opinion that the employee's presence on the job might constitute a substantial risk of injury to life or property, or might cause a disruptive effect on the employer's operations. Any suspension without pay shall become effective on the date the employer serves the Suspension Notice Pending Discharge form upon the employee. The Suspension Notice Pending Discharge form may be served with the Written Charges for Discharge form or on any date thereafter, or until a decision is made by the Merit Board. The Suspension Notice Pending Discharge form shall include the following: employee's contact information as it appears in the employer's records; civil service class and position number; place of employment; date of suspension; date the Written Charges for Discharge form was served; DER's signature; and proof of service on employee shall be completed in its entirety. Service shall be upon the employee in person if the employee is present on the job; otherwise, service shall be by an overnight delivery service that requires a signature upon receipt to the most recent address of the employee as shown on the employer's records, and also by First Class U.S. Mail. The employer shall file the Suspension Notice Pending Discharge form, with the Merit Board (University System), employee, legal counsel for the employer, and employer.

4. Effective Date of Discharge When There Is No Request for Hearing. Once an employer files the Written Charges for Discharge on the employee and the employee does not file a written request for a hearing with the Secretary for the Merit Board within the required 15 calendar days from the date specified in the "Proof of Service on Employee" section on the Written Charges for Discharge form, the employee's discharge shall become effective at the end of the 15-day period. No further action shall be taken by the Merit Board. The Secretary for the Merit Board shall promptly notify the employer of the employee's failure to file a timely written request for a hearing.

5. Written Hearing Request/Timing of Parties' Actions

A) Written Request for Hearing. An employee who has been served with Written Charges for Discharge may request a hearing by filing a written request for a hearing with the Secretary for the Merit Board within 15 calendar days from the "Proof of Service on Employee" section on the Written Charges for Discharge form. Any request for a hearing must include a postal address, a telephone number where the employee can be reached, and/or an email address where notices to the employee under this subsection (f) shall be sent. If the employee provides a personal email address, the employee agrees to accept notices under this subsection (f). The employee shall notify the Secretary for the Merit Board and the employer of any change to their contact information. The Secretary for the Merit Board shall immediately acknowledge receipt of the request for a hearing and notify the employer that the employee has filed a request for a hearing. Thereafter, further proceedings shall be as provided in this subsection (f), and any discharge shall be effective on the date of the Decision and Order of the Merit Board, unless otherwise expressly stated in the order.

B) Notice of Convening of Hearing and Order. The University System shall issue a Notice of Convening of Hearing to the parties of record. This notice shall contain the date, time, and place of the hearing or manner (in-person or via a video conference) at the sole discretion of the Executive Director. The University System may also issue an order providing further instructions to the parties of record.

C) Requests for Documents and Other Tangible Items. Any party may, by written request, direct any other party to produce for inspection, copying, reproduction, photographing, testing, or sampling specified documents, including electronically stored information, objects, or tangible things relevant to the Written Charges for Discharge or the employee's defense to the charges.

i) The request shall specify a reasonable time and place for production or review of the requested items no fewer than 10 calendar days prior to the scheduled hearing.

ii) A party directed to produce documents or other tangible items that are unable to produce the requested items by the date requested by the other party may file an objection or request an extension of time to produce the requested items. The objection or request for an extension of time shall be sent to the Executive Director and shall state the cause of the anticipated delay.

iii) All written requests or objections under this subsection (f)(5)(B) shall be served on the Secretary for the Merit Board at the same time it is served on the other party.

iv) All actions taken under this subsection (f)(5)(D) shall be taken as early as practicable and shall be taken in good faith.

D) Evidence Depositions. Upon request to the Executive Director and upon good cause shown (which shall include, but is not restricted to, the potential unavailability of a witness at the time the hearing is scheduled, scheduling or travel arrangement considerations, or agreement of the parties), any party may request a deposition of any witness to be taken for evidence in a hearing. The use of this provision shall be severely restricted and designated as a "last resort" option. If desired, subpoenas may be requested upon application to the Executive Director in a manner consistent with this Part. The deposition shall proceed in the manner provided by law for depositions in civil actions in the circuit courts of the State of Illinois.

E) Subpoena. A request for a subpoena shall be directed to the Executive Director at least 5 calendar days before the scheduled hearing unless an exception is granted by the Executive Director. A subpoena requests may be granted if reasonably designed to produce or lead to the production of evidence related to the alleged charges, and the terms of compliance are reasonable given the time frames and other circumstances. The party requesting the subpoena shall be responsible for service and costs related to the witness's subpoena. A subpoena may be served by personal delivery of an executed original to the individual or by leaving an executed original at the individual's usual place of abode, with some person of the family who is age 13 years or older, provided the server also sends a copy of the subpoena, postage prepaid, addressed to the individual at the individual's usual place of abode. The fees of the witnesses for attendance and travel shall be the same as the fees of witnesses before the circuit courts of the State of Illinois. A subpoena is effective throughout the course of the proceedings. A request for a subpoena must be submitted in writing and include the following:

i) the name of the employee, employer, and case number;

ii) the name and address of the witness sought;

iii) date and time of the hearing;

iv) any specific documents the witness will be required to bring;

v) a brief statement of the relevant facts or testimony that the witness will be providing; and

vi) information regarding the party requesting the subpoena.

F) Witness and Proposed Exhibit Lists and Proposed Exhibits for Hearing

i) At least 5 workdays prior to the hearing, each party shall serve upon the other party and file a copy with the Secretary for the Merit Board, to be submitted to the Hearing Board or Hearing Officer, the following information to the extent available at that time:

Ÿ a list of the names and addresses of the witnesses the party proposes to call in its case-in-chief;

Ÿ all documents the employer proposes to offer in its case-in-chief shall be pre-marked using Arabic numerals (e.g., 1, 2, 3 numbered; and

Ÿ all documents the employee proposes to offer in its case-in-chief shall be pre-marked using capital English letters (e.g., A, B, C).

ii) The University System will provide each party Bates numbered documents of all the proposed exhibits.

G) Commencement of Discharge Hearing. The Executive Director, the Hearing Board or Hearing Officer, the employee, and the employer shall all make good faith efforts to commence the hearing within 10 calendar days after receipt of the employee's written request for a hearing, but in no event shall the hearing commence later than 45 calendar days after service of the Written Charges for Discharge as stated in the proof of service, unless a continuance is granted pursuant to subsection (f)(15)(B). Dilatory tactics or actions will not be permitted. The Executive Director, the Hearing Board or Hearing Officer, the employee, and the employer shall all make good faith efforts to conduct the hearings in no more than 3 hearing days unless justice, due process, and fundamental fairness require otherwise.

6. Hearing Proceedings

A) Appointment of Hearing Board or Hearing Officer. Upon receipt of the employee's written request for a hearing on the Written Charges for Discharge, the University System shall promptly appoint a Hearing Board or Hearing Officer to hear the charges and the employee's response.

B) Disqualification of Assigned Hearing Board or Hearing Officer. A Hearing Board or Hearing Officer may be disqualified on grounds of bias or conflict of interest. An adverse ruling, or the fact that a Hearing Board or Hearing Officer has had contact with the University System, by itself, shall not constitute bias or conflict of interest.

i) Disclosing a Potential Conflict of Interest. The Hearing Board or Hearing Officer shall communicate with the Executive Director and all parties immediately upon suspecting that the Hearing Board or Hearing Officer may have a conflict of interest.

ii) Whenever any party believes a Hearing Board or Hearing Officer should be disqualified from conducting an assigned proceeding, that party may file a request with the Executive Director to disqualify the Hearing Board or Hearing Officer, setting forth by affidavit the alleged grounds for disqualification, with proof of service on all parties. The Executive Director shall rule and make the final determination on all requests for disqualification.

iii) The Executive Director, on their own motion, may disqualify a Hearing Board or Hearing Officer if the Hearing Board or Hearing Officer has deviated from, or failed to comply with, this subsection (f), and such disqualification, in the judgment of the Executive Director, is required for justice, due process, and fundamental fairness.

iv) Upon the disqualification of any Hearing Board or Hearing Officer under this subsection (f)(6)(B), a new Hearing Board or Hearing Officer shall be appointed by the Executive Director. If the hearing has already been convened, the parties of record shall be notified of the disqualification and the appointment of a new Hearing Board or Hearing Officer. The Executive Director shall make all other such orders as required for justice, due process, and fundamental fairness.

C) Role and Responsibilities of the Hearing Board or Hearing Officer. The Hearing Board or Hearing Officer shall be responsible for the following activities:

i) conduct the pre-hearing conference;

ii) facilitate the timely completion of the hearing process, taking necessary steps to avoid delay;

iii) establish reasonable limits on the duration of witness testimony;

iv) limit repetitive or cumulative testimony;

v) rule on motions, objections, or evidentiary questions;

vi) hear evidence as presented at the hearing by the employer and the employee on behalf of their respective positions (the evidence may include matters in aggravation, mitigation, and justification, which may pertain to the question of "just cause" for discharge);

vii) direct questions to witnesses at any time, but restrict questioning to the clarification of the testimony already presented;

viii) prepare and transmit to the Merit Board signed findings of fact within 15 calendar days after receipt of the transcript and exhibits of the hearing proceedings. The findings of fact shall set forth each of the written charges alleged in the Written Charges for Discharge, including an evaluation of the facts presented by the employer and employee with respect to each charge, and based on this evaluation, a determination as to whether the charges are sufficiently supported by the evidence presented. The findings of fact shall be based exclusively on the evidence and on matters officially noticed. The findings of fact presented by the Hearing Board or Hearing Officer are advisory only to the Merit Board. It is not the role of the Hearing Board or Hearing Officer to determine whether just cause for discharge exists. The determination of just cause is the sole province of the Merit Board; and

ix) enter any order that further carries out the purpose of this subsection (f)(6)(C).

D) Ex Parte Communications

i) Except in the disposition of matters authorized by law to entertain or dispose of on an ex parte basis, the Merit Board, the Executive Director, employees of the University System, and the assigned Hearing Board or Hearing Officer shall not, after the Notice of Convening of Hearing has been issued to the parties of record, communicate, directly or indirectly, with any party or the party's representative regarding any issue of fact or with any person or party in connection with any other issue regarding the case, except upon notice and opportunity for all parties to participate. However, the Merit Board, the Executive Director, employees of the University System, and the Hearing Board or Hearing Officer may communicate with each other. Also, members of the Merit Board and the Hearing Board or Hearing Officer may have the aid and advice of one or more personal assistants not associated or affiliated with any party.

ii) Neither party shall make direct contact with the Hearing Board or Hearing Officer in any manner or for any purpose after the Notice of Convening of Hearing has been issued to the parties of record.

iii) Communications regarding procedure, including interpretation and application of Section 36o of the Act, subsection (f), and related procedures, are not considered ex parte communications.

E) Open Hearings. All hearings shall be open to the public unless, upon motion of either party, the Hearing Board or Hearing Officer finds it necessary to close the hearing or parts of the hearing in instances in which personal safety is of concern or when confidential testimony/exhibits are to be referenced or revealed. There shall be a presumption that hearings will be closed only under extraordinary circumstances.

F) Transcript of Hearing. A transcript of the hearing, including the exhibits admitted at the hearing, shall be made and shall be filed with the Secretary for the Merit Board as soon as possible following the conclusion of the hearing. Transcripts and exhibits will be provided by the Secretary for the Merit Board to all parties simultaneously. No party may request or obtain a copy of the transcript or exhibits of the hearing from the court reporter or any other source. If a party or their representative receives the transcript or exhibits of the hearing from any source other than the Secretary for the Merit Board, the party shall immediately send, without first having read the transcript or exhibits and without retaining any copy, to the Secretary for the Merit Board.

G) Findings of Fact by the Hearing Board or Hearing Officer. Within 15 calendar days after receipt of the transcript and exhibits from the Secretary for the Merit Board, the Hearing Board or Hearing Officer shall file its findings of fact and any other recommendations with the Secretary for the Merit Board unless that time is extended by the Executive Director for good cause shown. For the purpose of this subsection (f)(6)(G), good cause shall include, but not be limited to, sickness, required attendance at court proceedings, death, and weather conditions that prevent the members of the Hearing Board or Hearing Officer from meeting.

H) Failure of Hearing Board or Hearing Officer to Submit Findings of Fact. If, by 15 calendar days after receipt of the transcript and exhibits from the Secretary for the Merit Board, the findings of fact have not been received by the Secretary for the Merit Board, the Executive Director shall either appoint another approved Hearing Board or Hearing Officer that shall then review the record and submit findings of fact within 10 calendar days after the appointment, or the Executive Director shall give written notice to the Hearing Board or Hearing Officer and to all parties to the proceeding that they will, within 10 calendar days, discontinue the hearing and commence a new hearing and that the present Hearing Board or Hearing Officer will be dismissed without pay. Within this 10-day period following the Executive Director's notice, the Hearing Board or Hearing Officer can appeal to the Executive Director by showing cause why time should be extended.

I) Certification of Hearing Record. The Executive Director shall certify as the Hearing Record the Written Charges for Discharge, the Suspension Notice Pending Discharge, the employee's request for a hearing, the transcript and exhibits, the Hearing Board's or Hearing Officer's findings of fact and other recommendations, and other documents that have been filed. Upon certification by the Executive Director, the Secretary for the Merit Board shall, by an overnight delivery service that requires a signature upon receipt, immediately forward a copy of the Hearing Record, along with notice that the Hearing Record has been certified, to all parties of record.

J) Objections to Hearing Record. Any objections to the form or contents of the Hearing Record, or briefs, abstracts, or excerpts from the Hearing Record, or arguments, motions, or recommendations relating to the hearing proceedings or the Hearing Record, or requests for further hearing or for permission to supplement further the Hearing Record by other evidence, must be filed with the Secretary for the Merit Board within 14 calendar days after the date of the overnight delivery service that the Hearing Record has been certified, with proof of service on all parties. If such an objection is made, the non-objecting party may file an answer to the objection with the Secretary for the Merit Board within 14 calendar days after the date of the overnight delivery service of the Objection, with proof of service on all parties. No further briefs and/or arguments in response to these filings will be permitted unless expressly authorized by the Executive Director or the Merit Board or its Chair.

7. Conduct of Hearing

A) Pre-hearing Conference. In all hearings, it is recommended that the Hearing Board or Hearing Officer hold a pre-hearing conference immediately preceding the hearing on the first day of the hearing. The Hearing Board or Hearing Officer shall give the parties an opportunity to discuss issues and share information at the pre-hearing conference that will allow them to present their cases in a fair, efficient, and timely manner. Generally, the Hearing Board or Hearing Officer shall conduct the pre-hearing conference for the purpose of achieving one or more of the following points, as determined by the Hearing Board or Hearing Officer on a case-by-case basis:

i) defining and simplification of the issues;

ii) negotiating admissions or stipulations of fact to avoid unnecessary proof;

iii) reviewing each party's witness and exhibit list;

iv) limiting redundant witness testimony or duplication of evidentiary material, if necessary;

v) determining the length of time each party will need to present its case;

vi) exchanging exhibits;

vii) discussing any matter that may aid in the efficient and timely disposition of the case; and

viii) work with each party to determine if a settlement agreement can be achieved. If a settlement is reached during the pre-hearing conference, the hearing shall be formally convened, and the parameters of the settlement agreement shall be entered into the record in written form or by testimony/statement and agreement by each party.

B) Length of Pre-hearing Conference. The length and scope of the pre-hearing conference are at the discretion of the Hearing Board or Hearing Officer but should generally be conducted within a one-hour timeframe.

8. Evidence and Motions

A) Admissibility of Evidence

i) As a general matter, the rules of evidence and privilege as applied in civil cases in the circuit courts of the State of Illinois shall be followed. However, evidence not admissible under those rules may be admitted (except when precluded by statute) if it is of a type commonly relied upon by reasonably prudent persons in the investigation and conduct of serious matters of this nature. Irrelevant, immaterial, or unduly repetitious evidence shall be excluded.

ii) Consistent with these requirements and in order to expedite the hearing, any part of the evidence may be received in written form, provided the parties interests are not jeopardized.

iii) Employee performance records or past disciplinary records are admissible and relevant for the purpose of mitigation or aggravation, except if otherwise excluded by a local employer policy or collective bargaining agreement.

B) Oath or Affirmation. All testimony shall be presented under oath or affirmation.

C) Objections. Objections to testimony or evidentiary offers shall be noted in the record.

D) Standard of Proof. The standard of proof applied by the Hearing Board or Hearing Officer when evaluating the charges will be the preponderance of the evidence.

E) Notice Taken by Hearing Board or Hearing Officer. The Hearing Board or Hearing Officer may, on its own motion or upon motion of one of the parties, take notice of matters of which the circuit courts of the State of Illinois take judicial notice.

F) Non-Dispositive Motions. The Hearing Board or Hearing Officer has the authority to rule on all motions that do not dispose of the proceedings. Examples of motions that can be ruled on by the Hearing Board or Hearing Officer are motions in limine or motions to suppress evidence. Motions directed at the Hearing Board or Hearing Officer shall be presented at the pre-hearing conference, if possible, and actions taken by the Hearing Board or Hearing Officer shall be entered into the record.

G) Dispositive Motions. Motions that dispose of the proceedings must be directed to the Merit Board. Examples of motions that are to be directed to the Merit Board are motions to dismiss, motions to decide a proceeding on the merits, or motions claiming lack of jurisdiction. Motions must be filed with the Secretary for the Merit Board within 14 calendar days after the date of the overnight delivery service of the certified Hearing Record. Motions will be ruled on by the Merit Board at the Merit Board meeting in which the case is being considered. The filing of a motion of this nature shall not be allowed to cause any delay in the proceedings.

9. Order of Hearing

A) Convening of Hearing. All hearings shall be convened by and under the control of the Executive Director or authorized representative.

B) Recording of Pre-hearing Conference Information. The Hearing Board or Hearing Officer shall enter into the record any action taken and any agreements made by the parties as to the matters considered.

C) Excluding Witnesses from Hearing Room. The Executive Director, or authorized representative, shall request all persons who have been asked to serve as witnesses, other than a party or employer representative, to be excluded from the hearing room while the hearing is in process, except during their own testimony and cross-examination. Except as they might intervene, or be requested to intervene, the Executive Director, or authorized representative, shall empower the Hearing Board or Hearing Officer to proceed with the hearing in such a manner as to provide the employer and the employee a full opportunity to present their positions to the Hearing Board or Hearing Officer.

D) Stipulations. Parties may agree by stipulation upon any facts involved in the hearing. The facts stipulated shall be considered as evidence in the hearing. It is the policy of the Merit Board to encourage the stipulation of facts whenever practicable.

E) Opening Statements. The parties may make a brief opening statement at the beginning of the hearing. The employer shall proceed first, followed by the employee. Opening statements may be waived or may be reserved and presented at the commencement of the party's case-in-chief.

F) Employer's Case. The employer shall first present its case-in-chief, with an opportunity for the employee to cross-examine the employer's witnesses. The employee may be called as an adverse witness during the course of the hearing.

G) Employee's Case. The employee shall then present their case-in-chief, with an opportunity for the employer to cross-examine the employee's witnesses.

H) Rebuttal. Each party may call rebuttal witnesses if found to be necessary by the Hearing Board or Hearing Officer.

I) Closing Arguments. After both parties have concluded the presentation of their case, the Hearing Board or Hearing Officer may call for a break in the proceedings for up to 30 minutes to allow each party to make final preparations for their closing argument. After any such break, the parties may make an oral closing argument. The employer shall proceed first, followed by the employee. The employer shall be permitted a brief rebuttal at the end of the employee's closing argument.

J) Closing the Hearing. The hearing shall be closed when the employer and the employee have had a fair and reasonable opportunity to present their positions to the Hearing Board or Hearing Officer.

K) Motion for Permission to Make Oral Argument. Oral argument is reserved for presentation of extraordinary matters regarding the discharge case. A party desiring to present oral argument before the Merit Board in cases of discharge must file a Motion to Make Oral Argument with the Secretary for the Merit Board within 14 calendar days after the date of the overnight delivery service of the certified Hearing Record, with proof of service on all parties. The Motion must specifically state the extraordinary issues to be presented, any relevant law, and a synopsis of the argument to be presented. Any Motions without the required information shall not be considered by the Merit Board. The Merit Board will decide whether to grant the Motion for Permission to Make Oral Argument at the same meeting where the case is to be decided. Oral Argument shall not be intended to be a recitation or summary of either party's case as presented at the hearing. The Merit Board's chair has the authority to halt or redirect either party's oral argument as circumstances warrant.

10. Failure to Appear. Failure of a party to appear on the date set for the hearing may result in a loss of rights by default.

A) Failure to Appear by Employee

i) A Notice of Convening of Hearing will be sent to all parties of record confirming the date, time, and place of the hearing. If an employee or their representative is not present on the designated hearing date and time, the Executive Director or authorized representative shall try to make reasonable contact with the employee or their representative immediately. If, within a reasonable time on the hearing date, the Executive Director or authorized representative is unable to contact the employee, the hearing will commence.

ii) The Executive Director or authorized representative shall commence the hearing with an opening statement. At the conclusion of the opening statement, if the employee or their representative has still failed to appear, the hearing will be suspended for 3 workdays. During this 3 workday period, the Executive Director or authorized representative shall try to make contact with the employee or their representative using the last known address, phone, e-mail or any similar method as shown on the employee's request for a hearing.

iii) If the employee or their representative cannot be reached within 3 workdays or if the employee is unable to produce a reasonable explanation for failure to attend the hearing, the hearing will be closed, and the employee's discharge shall become effective at the end of the 15-day period of the date on the Proof of Service on Employee, as found on the Written Charges for Discharge form, without further action by the Merit Board. The Merit Board/University System office shall notify the parties of record immediately of the action.

iv) If the employee or their representative has been reached within 3 workdays and has a reasonable explanation for not attending the hearing, the Executive Director or authorized representative shall schedule a new hearing date. A new Notice of Convening of Hearing will be issued to the parties of record, and the Executive Director or authorized representative shall appoint either the same Hearing Board or Hearing Officer or appoint a new Hearing Board or Hearing Officer to conduct the hearing.

B) Failure to Appear by Employer. If the employer's representative fails to appear at the hearing and cannot be reached by the end of the next business day, or if the employer is unable to produce a reasonable explanation for the failure to attend the hearing, the hearing will be closed, and the employee will be reinstated to their position without loss of compensation as of the Proof of Service on Employee date on the Written Charges for Discharge form.

C) Reasonable Explanations. Reasonable explanations can include, but are not limited to: injury on the day or preceding day of the scheduled hearing, traffic accident, death or significant injury of a family member, or other cause that is deemed reasonable by the Executive Director or authorized representative. In any event, the party that failed to appear is required to demonstrate that there was a reasonable effort made to contact the Merit Board/University System office.

11. Settlement Agreements. Following the request for a hearing by the employee set forth in subsection (f)(5)(A), the employer and the employee may enter into a settlement agreement that may include a suspension of no more than 120 calendar days. Such a suspension is only permissible if the employer files with the Executive Director the terms of that suspension, which must include a signed waiver of the rights provided by Section 36o of the Act. The employer is otherwise limited to a suspension of no more than 30 calendar days as set forth in subsection (e).

12. Final Decision of the Merit Board. In the course of reaching its decision, the Merit Board may request the Executive Director to make recommendations that they deem appropriate with respect to the discharge proceedings. Nothing in this subsection (f)(12) is intended to eliminate or limit the Merit Board's discretion to determine the appropriate disposition on a case-by-case basis. The Merit Board shall enter findings of fact and shall order the following decision and order or any other decision and order it deems appropriate:

A) Discharge, if just cause is found to exist. No employee shall be discharged except for just cause. Just cause is defined as some substantial shortcoming that renders the employee's continuance in their position in some way detrimental to the discipline and efficiency of the service and that the law and sound public opinion recognize as good cause for the employee no longer holding the position; or

B) Reinstatement, if just cause for discharge is found not to exist. An employee shall be reinstated as follows:

i) Reinstatement with no loss of compensation when none or few of the significant charges are proven and/or when the proven charges do not justify disciplinary action.

ii) Reinstatement with an unpaid suspension of a minimum of 3 calendar days to a maximum of 120 calendar days when the proven charges do not rise to the level of just cause for discharge, but some disciplinary action is justified based on the severity of the proven charges. If the Merit Board orders reinstatement with a suspension, any time served while on suspension pending discharge shall be applied towards the fulfillment of the suspension. The Merit Board shall not order a reinstatement with a suspension past the day of the action taken by the Merit Board.

13. Final Decision and Order of the Merit Board. The Secretary for the Merit Board shall immediately forward copies of all Merit Board orders to the employer and the employee by an overnight delivery service that requires signature upon receipt. The employer is required to enact the Decision and Order of the Merit Board in a timely manner. No later than 14 calendar days after the date that a copy of the final Notice of Decision and Order of the Merit Board has been served upon the parties, any employee who has been reinstated, as provided in subsection (f)(12)(B), shall be returned to pay status. The employer shall take all other required actions to enact the Decision and Order of the Merit Board within 30 days after the serving of the Notice of Decision and Order of the Merit Board.

14. Administrative Review. All final decisions of the Merit Board shall be subject to appeal by the parties to the proceedings under the Administrative Review Law [735 ILCS 5/Art. III]. A complaint for administrative review must be filed and summons issued within 35 days after the date that a copy of the final Merit Board decision has been served upon the party affected. A final decision of the Merit Board shall be deemed served either when personally delivered or when deposited in the United States mail in a sealed envelope or package, with postage paid, addressed to the party affected by the decision at their last known residence or place of business.

15. Time Periods for Proceedings

A) Requests for Extensions. On the motion of either party with notice to the other party, or by independent action of the Chair of the Merit Board or the Executive Director communicated to both parties, any time period set forth in this subsection (f) may be extended by the Chair of the Merit Board or by the Executive Director for good cause shown. The Executive Director, in their discretion, may grant an extension by written agreement of the parties.

B) Extensions to be Granted by Executive Director. No extension may be beyond a period established by statute, except for cases in which a written motion for continuance of a scheduled hearing is filed with the Secretary for the Merit Board at least 2 workdays prior to the time scheduled for hearing unless an exception is granted by the Executive Director. The moving party must set forth emergency grounds for a continuance, which are limited to unforeseen, unavoidable, or uncontrollable circumstances, such as an Act of God; the sudden illness or death of the movant, a member of their immediate family, or their legal counsel; or if the movant is able to demonstrate some other real and compelling need for additional time. If there is an arrest or criminal indictment of any employee that resulted from an employee's conduct in the course of employment duties, the Executive Director, at the request of the employee, may grant a continuance of hearing pending some resolution of the criminal charges. A request for a continuance must be preceded by contacting the opposing party and asking for agreement to the continuance.

C) Deadlines That May Be Extended. The time periods set forth in this subsection (f), except for the 15-day period set forth in subsection (f)(5)(A) and except for any time period provided for seeking administrative review of a final decision of the Merit Board, shall be deemed directory and not mandatory; and no failure to comply with any of the time periods set forth in this subsection (f), except for the 15-day period set forth in subsection (f)(5)(A) and except for any time period provided for seeking administrative review of a final decision of the Merit Board, shall cause the Merit Board to lose jurisdiction of any matter.

D) Weekends and Holidays. If the last date for filing falls on a weekend or a legal holiday, the last date for filing is the first workday following that weekend or legal holiday.

16. Hearing Expenses

A) Employer Expenses. All customary and reasonable court reporter and copying expenses incident to the preparation of the Hearing Record and providing copies to parties to the proceedings shall be paid by the employer.

B) Merit Board Expenses. The Merit Board will pay all expenses of the Hearing Board or Hearing Officer and any legal expenses incurred by a Hearing Board or Hearing Officer, to the extent that those expenses have been approved by the Merit Board or its Executive Director. The Merit Board shall determine the reimbursement rate for the Hearing Board or the Hearing Officer.

g) Demotion

1. Any of the actions described in this subsection (g)(1) are considered to be a demotion when that action has been initiated by the employer. A demotion may occur when a status employee:

A) is subject to a reduction in salary in their current position or in a position of the same class to which they have been reassigned, except when the reduction in pay results from an overall reduction in pay to persons employed in the same class and/or when the Merit Board, on the basis of supporting evidence, determines that the pay potential should be lowered for a class;

B) is subject to a reduction in the percentage of time worked;

C) is appointed to a position in a lower class in a promotional line;

D) is appointed to a position in a class outside a promotional line with a lower pay potential;

E) is given a nonstatus appointment.

2. None of the actions described in subsection (g)(1) are considered to be a demotion when the action has been initiated, or willingly accepted, by the employee.

A) Evidence of initiation by, or willing acceptance by, an employee (i.e., a "voluntary demotion" or "voluntary downgrade" or similar action) shall be: a statement signed by the employee (to be filed by the employer with the notice of employment) indicating that the new appointment is at their request and/or is acceptable to them, or the employee applied for, and took, the Civil Service examination, upon the results of which the new appointment is based, after the date of certification to their most recent position.

B) Without the evidence indicated in subsection (g)(2)(A), the action will be considered to have been initiated by the employer and, therefore, will be considered to be a demotion.

3. Any classification plan changes authorized and implemented by the University System and/or the Merit Board that may result in a lower pay potential will not be considered a demotion.

4. An employer may effectuate a demotion by filing a Notice of Demotion form with the Merit Board and serving a copy of the Notice of Demotion on the employee by personally serving the employee or by an overnight delivery service that requires signature upon receipt and also by First Class U.S. Mail. The Notice of Demotion form shall designate the position and class to which the employee has been demoted and shall factually state the causes justifying demotion. The effective date of the demotion shall be the "Proof of Service on Employee" date on the Notice of Demotion form. A demotion shall be subject to the same hearing and review procedures as are provided to an employee in the case of a discharge. (See subsection (f).) During any hearing and review proceedings, the employee shall be paid the approved rate for the class of the position to which they have been demoted, as set forth in the Notice of Demotion form.

5. A status employee who is demoted by action of the Merit Board to a position in a class in which they have never been employed on a status appointment shall be placed in a designated class without requiring further examination or probationary period.

h) Dismissal

1. An employer may dismiss an employee whose name has been certified and who has been subsequently employed in a status position at any time during the probationary period of employment in a class, if the employer determines, pursuant to Section 250.90(a), that the employee has failed to demonstrate the ability and the qualifications necessary to furnish satisfactory service.

2. The employer shall notify the Executive Director promptly of dismissals, setting forth the reasons for the dismissal.

History

• Source: Amended at 49 Ill. Reg. 2164, effective January 31, 2025

80 Ill. Adm. Code 250.119 Furloughs

a) Furlough. A furlough is the placement of an employee in a temporary nonduty, nonpay status for a continuous or noncontinuous period of time due only to a lack of funds. A furlough is not considered a layoff or a reduction in force action and, therefore, is not subject to Section 250.110(d) regarding a layoff. Any furlough program is intended to mitigate the need for significant and permanent layoffs for the prospective 9 to 12 months after the furlough program has ended.

b) Provisions. In order to invoke a furlough program, the employer must demonstrate significant fiscal distress, as verified by the employer's controlling board or commission during a meeting conducted in accordance with the Open Meetings Act. Significant fiscal distress includes:

1. A failure to receive an annual appropriation by the General Assembly;

2. Severe and significant reductions to an annual appropriation by the General Assembly; and

3. Similar budgetary reductions that could come in the form of "fund sweeps" or "fund reserves" imposed by the General Assembly or Governor, or by similar legislative actions.

c) Furlough Program Stipulations. A furlough program shall not be used by an employer for the following reasons:

1. Permanent shutdown;

2. As a substitute for permanent part-time employment; or

3. As a disciplinary measure.

d) Criteria. Uniform participation and selection criteria shall be developed by the designated place of employment and consistently applied. This Section shall only apply to employees who are designated within the employer's furlough program in accordance with subsections (d) through (p).

e) Temporary and Extra Help Appointments. Prior to the implementation of a furlough program, all employees on a temporary appointment or an extra help appointment shall be terminated, unless an exception is permitted subject to subsection (h).

f) Student Appointments. Student appointments subject to Section 250.70(e) shall be placed in a furlough status for an amount of time that is generally equal to that of employees who are being furloughed, unless an exception is permitted subject to subsection (h). Student employees shall not be used to replace status employees who are being furloughed.

g) Voluntary or Mandatory Furlough Program. A furlough can be either voluntary or mandatory. A voluntary or mandatory furlough program is not required to include all employees at a designated employer or within a division or program.

h) Exceptions. Employers may exempt positions from a furlough program under the following conditions:

1. Positions/employees who have mandated funding, such as a grant or other funding source, or whose absence would jeopardize the funding for a position/employee or department;

2. Employees in positions considered essential to the critical mission of an employer, such as those related to health and welfare or public safety;

3. Employees in positions considered essential to maintain facilities during a furlough program; or

4. Students whose positions are part of their financial aid package or whose position results in the awarding of academic credit.

i) Notification of Furlough Program to Employees. No furlough program may be implemented unless the employer has notified all employees affected by the furlough at least 30 days prior to a furlough program being implemented. The process by which the employer chooses to notify employees is at the employer's discretion, but must conform to the employer's policies related to contacting an employee for official business. The notice must inform the employee of the date or dates on which the employee is to be on furlough status and the end date of the furlough program.

j) Furlough Work Status. An employee who is furloughed shall not be at work, on standby or on-call, and shall not perform any work for the furloughing employer during his/her scheduled furlough time. However, for emergency situations, employees subject to a collective bargaining agreement may be called back to work in accordance with the agreement. For those employees not subject to a collective bargaining agreement, employees may be called back to work in accordance with standard employer policies.

k) Employee Benefits

1. Employees who are furloughed are not permitted to use vacation, sick leave, personal leave, "floating" holidays, or any other compensable time or similar benefit for the time during which he/she is being furloughed.

2. Notwithstanding any other Section in this Part, or the fact that an employee's work hours or pay is reduced by the requirement to take a furlough, furlough time will be credited as if the employee were in pay status for employee benefit programs such as health, life, dental and vision insurance and any similar benefits.

3. A furloughed employee shall be entitled to the same benefits to which he/she was entitled on the paid workday immediately preceding the furlough day. These benefits include, but are not limited to, continued accumulation of vacation and sick leave, holiday benefits, and benefits established by the Merit Board Policy Relating to Employee Benefits as approved by the Merit Board, and other benefits approved by the Governing Boards of the universities and agencies served by the University System.

4. A furloughed employee shall continue to accrue seniority during any and all furlough work days.

l) Maximum Number of Furlough Work Days. A furlough program shall only be instituted for a maximum of 15 work days in any fiscal year (July 1 through June 30).

m) Employer's Tracking of Furlough Days. The employer is required to track designated furlough days for each employee.

n) Military Leave during a Furlough Program. An employee on military leave shall not be scheduled for any furlough days during his/her leave and may be scheduled for furlough days that may be prorated dependent upon the date the employee returns to work, if a furlough program remains in effect.

o) Collective Bargaining Agreements. Implementation of furloughs for employees covered under a collective bargaining agreement is subject to applicable State and federal labor laws and regulations. This Section does not absolve, circumvent or supersede other State or federal labor laws and/or regulations that apply; including any duty to bargain in accordance with those laws and regulations.

p) Notification to the State Universities Civil Service System of a Furlough Program. An employer may institute a voluntary or mandatory furlough program upon notification to the Executive Director at least 30 calendar days prior to any employee being furloughed. Notifications shall include the following:

1. What considerations have been contemplated or invoked for other employees, such as those listed in Section 36e(2) through (5) of the Act;

2. An explanation of the facts related to the temporary nature of the event causing the furlough program;

3. The funding deficit related to the affected work areas;

4. The approximate number of employees affected by the furlough program; and

5. The beginning and ending dates of the furlough program for the employer.

q) Reporting Requirements for a Furlough Program. An employer shall provide specific reports to the University System office within 10 calendar days following the implementation of a furlough program. These reports shall contain the following:

1. Summary of positions affected by the furlough program:

A) Headcount of total employees impacted and their classifications;

B) Number of furlough days being implemented;

C) Approximate amount of savings for the furloughed positions/employees; and

D) Impact of furloughs invoked for other employees, such as those listed in Section 36e(2) through (5) of the Act.

2. Other related documentation as requested by the University System office.

History

• Source: Amended at 42 Ill. Reg. 24268, effective December 3, 2018

80 Ill. Adm. Code 250.120 Seniority

a) Accumulation of Seniority

1. After the completion of the probationary period, the status employee's seniority shall date from the beginning of the probationary period. Seniority is accumulated on the basis of hours in a pay status exclusive of overtime. Seniority may be accumulated in certain types of non-pay status under specified conditions as provided for in subsections (f), (g), (h) and (j).

2. Seniority, once earned in a class, is retained during any period of continuous employment:

A) Except as provided for in lesser units in accordance with subsection (k)(2).

B) Except an employee does not retain seniority in any class from which he/she has been demoted because of unsatisfactory performance or for disciplinary reasons.

b) Retention of Seniority. Seniority accrued in a class is retained for that class for purposes of retreat rights even though an employee accepts a position in another class outside of the promotional line.

c) Seniority Lists. Each employer shall maintain a public and current seniority list that includes the names of all status employees in each class in order of their seniority.

d) Ties in Seniority Lists

1. If two or more employees have the same seniority, their names shall be placed on the seniority list in the order of their scores in the examination for the position; i.e., the person with the highest score shall be first, next highest second, and continuing in descending order of their scores. Seniority between employees who receive the same score on the examination shall be determined in accordance with years of service at the place of employment, then in accordance with date of application for employment.

2. If two or more employees have the same seniority in the same lesser unit, subsection (d)(1) shall apply.

e) Accumulation of Seniority, or Service, in Promotional Line. Seniority or service in a higher class in a promotional line may be added to seniority or service earned in a lower class in the same line to compute total seniority or service in the lower class. Seniority earned in a class shall be counted toward seniority in a lower class in the same promotional line even though the employee may not have served in the lower class. Seniority or service earned in a lower class in a promotional line may not be added to seniority or service earned in a higher class in the same line to compute total seniority or service in the higher class.

f) Accumulation of Seniority during Disability. Subject to limitation imposed by subsection (h), employees accrue seniority while on leave of absence for disability, as defined in Section 250.110(b)(3) and for an occupational or work-related disability that becomes the subject of payment of income benefits as defined by the Workers' Compensation Act [820 ILCS 305], the Workers' Occupational Diseases Act [820 ILCS 310], a State self-insurance program, or other appropriate authority.

g) Accumulation of Seniority during Authorized Absence without Pay. An employee shall accrue seniority during approved leaves of absence without pay, not exceeding a total of 30 work days within any calendar year.

h) Accumulation of Seniority during Layoff Status. An employee continues to accrue seniority during layoff occasioned by a break in the academic calendar or during any other layoff period, not in excess of 30 consecutive work days.

i) Accumulation of Seniority during Suspension. Employees do not accrue seniority while on suspension.

j) Accumulation of Seniority during Military Service

1. A status employee accrues seniority during leave for military service until the date of separation from active military service and for 90 calendar days after separation, if the separation is under conditions other than dishonorable.

2. An employee whose name has been certified and who has not completed the probationary period at the time of approval for leave for military service shall continue to accrue seniority in his/ her classification for the entire time of leave for military service until the date of separation from active service and for 90 calendar days after separation, provided the employee meets the following conditions:

A) the separation from active military service is under conditions other than dishonorable;

B) reemployment occurs in a position of the same class in which employed at the time of leave for military service; and

C) the probationary period is satisfactorily completed in the class upon reemployment.

k) Effect of Lesser Units on Seniority

1. Lesser units, for purposes of determining seniority, may be approved by the Merit Board, provided two-thirds of the status employees within the class involved in the approval of the lesser unit shall agree to the creation of the lesser unit. A lesser unit can be disestablished only by agreement (i.e., election) of two-thirds of all status employees in the class at the place of employment (subject to subsequent approval by the Merit Board).

2. A status employee who accepts a position in a different lesser unit relinquishes seniority acquired in the previous lesser unit, but cannot be required to serve another probationary period, providing there is no change in class.

3. An employee in a lesser unit who accepts a temporary assignment in another lesser unit during a period of layoff does not accrue seniority in the latter unit.

l) Effect of Vacation Time on Seniority at Time of Separation. At the time of separation, seniority shall be accrued only through the period of actual service to the employer. Payment for earned vacation time shall not be included in the seniority computation.

m) Restoration of Seniority after Retirement. If a retired employee is reemployed within 60 days after retirement, seniority earned up to the effective date of retirement shall be restored.

History

• Source: Amended at 33 Ill. Reg. 11644, effective July 22, 2009

80 Ill. Adm. Code 250.130 Review Procedures

a) Review by Director of Action, or Omission, of Designated Employer Representative. Any action, or omission, by a designated employer representative shall be the basis for a review decision by the Director, upon a timely filed written request by an applicant, a candidate, or an employee. The request shall be deemed to be timely filed if filed within 15 calendar days following the action, or omission of the action, by the employer, or within 15 calendar days after the employee receives a response from the employer containing the final institutional administrative decision, or as otherwise may be deemed appropriate by the Director under the circumstances. The employer, within 10 days after notice by the Director of the filing of a request for review, shall present a statement of the employer's position and a confirmation that the employee has exhausted his normal administrative remedies with his employer. Within 30 days following the receipt of the employer's confirmation of the exhaustion of remedies with the employer, the Director shall render his Review Decision. The Director and Merit Board staff shall have the right to examine all pertinent records of the employer and the right of direct personal interview and inquiry with appropriate parties.

b) Review by Merit Board of Review Decision of Director. An applicant, a candidate, an employee, or an employer, affected by a Review Decision of the Director under Section 250.130(a), may file a written request with the Secretary for the Merit Board for a Merit Board review of the Director's Review Decision, provided that such request is filed within 30 calendar days from the date of the Director's Review Decision. If no such request is timely filed, the Director's Review Decision shall be the final decision of the Merit Board. Such a request must be received by the Secretary for the Merit Board at least 15 calendar days prior to the next scheduled meeting of the Merit Board for it to be included on the agenda for that meeting; if not so received, it will be placed on the agenda for the next scheduled meeting of the Board. The Merit Board shall examine the record and the Review Decision of the Director and affirm such Review Decision as the final Decision and Order of the Merit Board, or the Merit Board may order such further review procedures as it may deem necessary or desirable. The final Decision and Order of the Merit Board shall be certified by the Secretary for the Merit Board to the Director and to the parties to the Review proceeding.

History

• Source: Amended at 9 Ill. Reg. 17422, effective October 23, 1985

80 Ill. Adm. Code 250.140 Delegation of Authority and Responsibilities

a) Delegation to the Executive Director. The Executive Director is delegated the authority and responsibility to effectively administer the State Universities Civil Service System in accordance with the Act and this Part. The Executive Director may be further delegated the authority and responsibility to act on behalf of the Merit Board by specific authorization or direction of the Merit Board.

b) Delegation by the Executive Director. The Executive Director is authorized to delegate to the employer, and to members of the University System staff, such duties and responsibilities as, in his/her judgment, are appropriate and effective for the efficient administration of the service of the System to its constituent institutions and agencies.

c) Conduct of Audits. The Executive Director shall conduct ongoing audit programs of all Civil Service operations at all places of employment for the purpose of assuring compliance with the Act and this Part and for improving the programs of personnel administration of its constituent employers and shall prepare, distribute, and follow up on audit reports in accordance with Merit Board direction.

d) Authority to Correct Errors. The University System may, on its own initiative, or at the request of an applicant or interested party, correct any clerical error or errors in computation of a score or register of candidates, or any other document affecting the rights of the System, the applicant, or interested party, and shall have the power to correct any such score, register, or document, and issue in lieu thereof a corrected score or document.

e) Authority to Research New Programs. With respect to their obligation to efficiently and effectively establish a sound program of personnel administration, the University System Office may, upon direction and authority of the Merit Board, create new temporary demonstration projects or pilot/study programs to investigate and research the efficiency and effectiveness of such programs prior to formal implementation.

1. Application Process. The University System Office, in conjunction with any employers seeking to conduct a demonstration project or pilot/study program under this subsection (e), may submit an application, in the form required by the Executive Director, which will include:

A) a description of the proposed project;

B) the percentage of employees and number of places of employment in which the proposed project would be conducted;

C) a statement of the period during which the proposed project would be conducted;

D) a discussion of the benefits that are expected from the proposed project;

E) a statement of program requirements for which waivers would be needed to permit the proposed project to be conducted including a specific citation to any rule that, if not waived under this Section, would prohibit the conducting of the project, or any part of the project as proposed; and

F) any additional information the Executive Director may require.

2. Review Process. Upon receipt of an application, the University System Office will evaluate the proposed project and will provide interested parties an opportunity for comment prior to Merit Board consideration.

3. Waiver Authority. The Merit Board may waive compliance with any requirement of this Part if the requirement prevents the purpose of demonstration project or pilot/study program; however, the Merit Board may not waive:

A) any remedy available to any employee or applicant for employment provided by this Part;

B) compliance with any other State or Federal law; and

C) any requirement of this Part if the project would violate a collective bargaining agreement.

4. Limitations. The Merit Board may not approve a demonstration project or pilot/study program if:

A) it would cause more than five demonstration projects or pilot/study programs to run concurrently at any time;

B) it exceeded a three-year term, excluding plan development and preparation time, but including actual implementation, administration and evaluation of the project; and

C) it involves more than 10% of all civil service status employees or more than half of the University System employers.

5. Evaluations.

A) An evaluation report in the form required by the University System Office shall be prepared setting forth the results of each demonstration project or pilot/study program and its impact on improving personnel administration.

B) Nothing in this subsection (e) shall be construed so as to prohibit or hinder the University System Office from requesting additional information to assist the University System Office with evaluating the demonstration project or pilot/study program or conducting its regularly scheduled audits of employers conducting demonstration projects or pilot/study programs.

History

• Source: Amended at 31 Ill. Reg. 15848, effective November 13, 2007

80 Ill. Adm. Code 250.150 Training

Staff Training Programs. The Director may develop and administer specialized training programs relating to Civil Service operations for staff personnel of the employers, as selected for participation in such programs by the employers.

80 Ill. Adm. Code 250.160 Suspension of Rules

Suspension of Rules in an Emergent or Catastrophic Situation.

a) The president, or the ranking administrative officer of an employer, may declare an emergency to exist, or to be impending, in the event of a catastrophe, or if a situation arises which impairs or impedes the public mission of an employer.

b) If, because of the urgency of time during such an emergency, the immediate employment needs of the employer cannot be met by following the procedures, as established by the Rules of the Merit Board, the president, or the ranking administrative officer of the employer, is authorized to take such actions as described in paragraphs (c) and (d) below, with the stipulation that:

1. the Director of the System is notified of the emergency by the individual declaring the emergency as soon as possible following the onset of the emergency; and

2. a full report of the nature of the emergency, of the beginning time and date and the concluding time and date of the emergency, shall be filed with the Director of the System within ten days following the end of the emergency.

c) The president, or the ranking administrative officer, or an individual or individuals designated by him for this special assignment, may reassign any employee to serve within his ability and in accordance with need, or he may recruit any individual to assist as necessary, without reference to the appointment provisions of the Statute and this Part governing the System.

1. An employee of the employer reassigned to emergency duties shall accrue service or seniority, as appropriate, in his regular class while on such emergency duty.

2. Any other individual employed on an emergency basis for the period of the emergency establishes no right to continuance in employment.

d) The president, or the ranking administrative officer, may order an employee to absent himself from work without reference to the layoff provisions of the Statute and this Part. The absented employee shall continue to accrue service or seniority during such absence.

Chapter I Department of Central Management Services

Part 301 Classification and Pay

80 Ill. Adm. Code 301.5 Definitions

Wherever used in 80 Ill. Adm. Code: Subtitle B, Chapter I, "Director" shall mean the Director of Central Management Services; and "Department", shall mean the Department of Central Management Services.

80 Ill. Adm. Code 301.10 Classification Plan

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

80 Ill. Adm. Code 301.20 Allocation

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

80 Ill. Adm. Code 301.30 Reconsideration

a) Within 30 days after receiving notice of an allocation decision (see Section 301.20), the incumbent in such position may make a request in writing of the Director for a reconsideration of the decision. Thereafter, the Director shall reinvestigate the duties and responsibilities of such position and related positions, if necessary, and the affected employee shall be given a reasonable opportunity to be heard.

b) After the investigation is completed and the employee has had a reasonable opportunity to be heard, the Director shall render a decision in writing and it shall be served on the employee by email, U.S. mail at the last known address, or other appropriate method (e.g., personal service). The effective date of the Director's reconsidered decision shall be the effective date of the allocation decision giving rise to the reconsideration request.

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

History

• Source: Amended at 48 Ill. Reg. 8753, effective June 5, 2024

80 Ill. Adm. Code 301.41 Assignments to Other Classes

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

b) This Section shall not be applicable to individuals whose positions have been allocated to a class which falls within the scope of Term Appointments.

History

• Source: Amended at 9 Ill. Reg. 11592, effective July 31, 1985

80 Ill. Adm. Code 301.50 Revised Class Requirements

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

80 Ill. Adm. Code 301.160 Establishment of Plan

The Director shall prepare and maintain a pay plan for all employees subject to Jurisdiction A of the Personnel Code in accordance with the applicable provisions of the Code.

80 Ill. Adm. Code 301.170 Provision of the Pay Plan

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

80 Ill. Adm. Code 301.180 Approval of Pay Plan

The Pay Plan and amendments thereto shall be prepared by the Director after consultation with operating agency heads. After preparing the Pay Plan or any amendments, the Director shall submit it to the Governor. The Pay Plan, or amendments thereto, shall become effective only after approval by the Governor and filing with the Secretary of State.

Part 302 Merit and Fitness

80 Ill. Adm. Code 302.10 Competitive Selection

The Director shall determine the relative fitness of applicants and implement a competitive selection process for State employment. Competitive selection may include an evaluation of such factors as education, experience, training, capacity, knowledge, manual dexterity, character, and physical fitness. Tests shall be job related and may be written, oral, physical demonstration of skill, an evaluation of physical or manual fitness, or an evaluation of training and experience, or an equivalent evaluation process. Applicants shall not be questioned with respect to non-merit matters except as is necessary to meet the requirements of law or State procedures.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.20 Testing

For positions requiring a test or equivalent evaluation process, such tests shall be conducted by the Director or the Director's designee at such times and places deemed to be practical, convenient and in the best interests of the State service.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.30 Veterans Preference

a) Appropriate preference in competitive selection shall be granted to qualified veterans who have been members of the armed forces of the United States or to qualified veterans who, while citizens of the United States, were members of the armed forces of allies of the United States in time of hostilities with a foreign country (as set forth in Section 8b.7 of the Personnel Code) and to certain other persons as set forth in this Section. [20 ILCS 415/8b.7]

b) To be eligible, applicant must have received discharge under honorable conditions and served under one or more of the following conditions:

1. Served, for at least six months, in the armed forces of the United States, the Illinois National Guard, or any reserve component of the armed forces of the United States; or

2. While a U.S. citizen, been a member of the armed forces of an ally of the U.S. in time of hostilities with a foreign country; or

3. Discharged on the grounds of hardship; or

4. Released from active duty because of a service connected disability; or

5. Served for the duration of hostilities regardless of the length of engagement.

c) Preference will be in the form of points or the equivalent added to the applicable scores of persons who otherwise qualify. Preference in entrance examinations will be granted as follows:

1. Ten points or the equivalent shall be added to the applicable scores for veteran eligibles currently holding proof of a service connected disability from the U.S. Department of Veterans Affairs or from an allied country for service connected disabilities or if the veteran is a Purple Heart recipient.

2. Five points or the equivalent shall be added to the applicable scores for veteran eligibles who have served during a time of hostilities with a foreign country and who meet the qualifications set forth in subsection (b), but who do not qualify for 10 points under subsection (c)(1).

3. A person not eligible for a preference under subsection (c)(1) or (c)(2) is qualified for a preference of 3 points or the equivalent if the person has served in the armed forces of the United States, the Illinois National Guard, or any reserve component of the armed forces of the United States and the person:

A) served for at least 6 months and has been discharged under honorable conditions; or

B) has been discharged on the grounds of hardship; or

C) was released from active duty because of a service connected disability; or

D) served a minimum of 4 years in the Illinois National Guard or reserve component of the armed forces of the United States, regardless of whether the person was mobilized to active duty.

4. An active member of the National Guard or a reserve component of the armed forces of the United States is eligible for the preference described in subsection (c)(3) if the member meets the service requirements of subsection (c)(3). [20 ILCS 415/8b.7(e)]

d) The following shall be entitled to the same preference to which the veteran would have been entitled under this Section:

1. a surviving unremarried spouse or civil union partner, who has not subsequently married or entered into a civil union, of a veteran who suffered a service connected death; or

2. the spouse or civil union partner of a veteran who suffered a service connected disability that prevents the veteran from qualifying for civil service employment. [20 ILCS 415/8b.7(h)]

e) A preference shall also be given to the following individuals: 10 points for one parent of a veteran who is not married or in a civil union partnership who suffered a service connected death or a service connected disability that prevents the veteran from qualifying for civil service employment. The first parent to receive a civil service appointment shall be the parent entitled to the preference. [20 ILCS 415/8b.7(h)]

f) Before a veteran's preference is granted, the Department of Central Management Services must verify the applicant's entitlement to the preference by requiring a certified copy of the applicant's most recent DD-214 (Certificate of Release or Discharge from Active Duty) or other evidence of the applicant's most recent honorable discharge from the Armed Forces of the United States. The Department of Central Management Services shall determine whether the documentation submitted by the applicant is acceptable. To be acceptable, the documentation submitted must be an authentic, official record of the United States Armed Forces evidencing the individual's military service. [20 ILCS 415/8b.7(k)]

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.40 Announcement of Examination (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.52 Notice to Eligibles (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.55 Grading Tests

The Director shall establish passing grades for tests. Final grading of tests shall be completed as quickly as is reasonably practicable.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.60 Retaking or Regrading Examinations (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.70 Application and Eligibility

Admission to an agency's pre-employment program shall be granted only to applicants who meet such requirements as have been established by the Department for admission to an examination or equivalent evaluation process.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.80 Eligible Lists (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.90 Appointments

a) Except as provided in subsection (b), the filling of a vacant position subject to Jurisdiction B of the Personnel Code may be made in any of the following ways:

1. A probationary appointment following a hiring sequence filled by competitive selection, whether via application of contractual rights or other means;

2. by promotion of a certified employee or a probationary employee who has been certified during the current period of continuous service;

3. by demoting an employee after having filed charges;

4. by accepting an employee's request for a voluntary reduction; or

5. for positions subject to Term Appointment, renewal of a term following an initial appointment following competitive selection pursuant to Section 302.820.

b) No position may be filled by any of the means listed in subsection (a) when there is an available person on a reemployment list for that title in the agency and for the county, location or area in which the position is established.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.91 Alternative Employment

a) The Department shall establish and maintain an Alternative Employment Program for certified employees who, due to a work related or non-work related disability which permanently precludes the performance of regularly assigned duties, are on disability leave, on other appropriate leave or who are receiving disability benefits. Eligible employees may participate in the Alternative Employment Program under the following conditions:

1. the employee shall voluntarily submit a written request for participation in the Alternative Employment Program and work with a career counselor to identify appropriate positions for employment;

2. the employee shall be eligible for appointment to such alternative employment by virtue of full participation in the Alternative Employment Program; and

3. the employee shall be deemed able to perform the duties of the alternative position after examination, if requested, by a person licensed under the Medical Practice Act [225 ILCS 60] or under similar laws of Illinois, the laws of other states or countries, or by an individual authorized by a recognized religious denomination to treat by prayer or spiritual means.

b) Refusal of an employee to request to participate in the Alternative Employment Program shall not jeopardize the employee's eligibility for any benefit relating to the disability to which he or she would otherwise be entitled.

c) After appointment to a position pursuant to the Alternative Employment Program, the employee shall be entitled to all the rights, benefits and privileges of jurisdictions A, B and C and any applicable collective bargaining agreement.

d) An employee will not be considered as a full participant in the Alternative Employment Program if the employee refuses an offer of employment and is able to perform the duties of that position. However, if the employee cannot perform the duties of the position due to the disabling condition or reasons related to the disability, the employee may remain in the Program.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.100 Geographic Preference (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.105 Pre-Employment Screening

Agencies may implement programs for pre-employment screening of persons who the Department has determined are eligible under this Part. Any program for pre-employment screening of eligibles, as well as the standards established by the appointing agency as a part of such screening, including but not limited to performance tests, mental ability tests, physical agility tests, job knowledge tests, assessment center evaluations, medical examinations, drug use tests, polygraph tests, personality inventory or other psychological tests, or any height/weight/age/sex requirement, shall be implemented and applied consistently. Procedures for routine reference verification and pre-employment background checking shall not require prior approval of the Director.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.110 Appointment Following Competitive Selection

When an appointment to a position is made following a competitive selection hiring sequence, such appointment shall be made in rank order unless, when warranted by application of applicable State law, rule or procedure, the CMS Director or the Director's designee approves bypassing the higher-ranking candidate.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.120 Responsibilities of Eligibles (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.130 Removal of Names from Eligible Lists (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.140 Replacement of Names on Eligible List (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.150 Appointment and Status

The following types of appointment and status may be made by the Director:

a) Exempt: For persons in positions not subject to Jurisdiction B. If an exempt employee's position becomes subject to Jurisdiction B by reason of extension of Jurisdiction B, the employee will not be afforded job protection unless and until the employee is competitively selected for the position.

b) Emergency: For persons selected by agencies to meet emergency situations. Such appointments shall not exceed 60 days. However, where the Director determines an emergency situation that threatens the health, safety or welfare of employees or residents of the State exists, emergency appointments may not exceed 90 days. Notices of selections and terminations shall be reported immediately to the Director.

c) Temporary: For persons in positions to perform temporary or seasonal work. No position shall be filled by temporary appointment for more than 6 months out of any 12-month period.

d) Provisional: For persons in positions where the exempt status is being finalized or the Director has authorized provisional appointment pending the outcome of competitive selection. No positions shall be filled by provisional appointment for more than 6 months out of any 12-month period.

e) Probationary: For persons appointed following a competitively selected hiring sequence, or for persons receiving a promotion.

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

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

h) Term: For persons appointed for a four-year term. At the expiration of four years, the appointment automatically terminates unless renewed by the Director or Chairman of the employing department, commission or board. During the term of appointment, these persons shall be subject to Jurisdictions A, B, and C of the Personnel Code.

i) Intermittent: For persons appointed pursuant to subsections (e) or (f) above whose work schedule varies from the regular work schedule of the operating agency as provided in an intermittent program established pursuant to Section 302.325. Incumbents in positions given intermittent status pursuant to such programs shall be allowed to remain in the position at the time the intermittent status is given.

j) Interim Assignment: For a non-bargaining unit employee in a salary grade or merit compensation (including broad-band and medical administrator) position assigned to perform on a full-time interim basis and be accountable for the higher-level duties and responsibilities of a non-bargaining unit position. The agency shall provide justification of the need for the interim assignment and the interim assignment occurs upon the approval of the Director of Central Management Services. The initial interim assignment of the employee to the position shall not exceed six months, but may be extended in six-month increments upon the approval of the Director of Central Management Services, for good cause shown. The agency shall ensure that the minimum training and experience qualifications are met for the position with higher-level duties and responsibilities.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.160 Extension of Jurisdiction B

a) Employees in positions to which Jurisdiction B is extended pursuant to Section 4b of the Personnel Code, and employees appointed pursuant to the provisions of Section 17a of the Personnel Code shall be continued in such positions and shall attain certified status therein provided they are deemed qualified by the Director, and provided they satisfactorily complete their respective probationary periods.

b) Appropriate standards for probationary appointments shall be prepared by the Director and appointments of such employees shall be without regard to other competitive selection provisions of the Personnel Code and this Part. Nothing herein shall preclude the reclassification or reallocation as provided by these Rules of any position held by any such incumbent.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.170 Programs

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

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

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

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

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

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

History

• Source: Amended at 3 Ill. Reg. 1, p. 63, effective January 1, 1979

80 Ill. Adm. Code 302.175 Appointments

Appointment to a trainee position shall be made pursuant to a trainee or apprenticeship program established and approved in accordance with Section 302.170.

History

• Source: Amended at 3 Ill. Reg. 1, p. 63, effective January 1, 1979

80 Ill. Adm. Code 302.180 Limitations on Trainee Appointments

Any trainee appointed to a position in a trainee class shall be appointed to a permanent position only after successfully completing the approved trainee program.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.190 Definitions

a) Continuous service for purposes of this Part is the uninterrupted period of service from the date of original appointment to State service in any position subject to jurisdiction B except as provided in b and c below.

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

c) For purposes other than this Part, continuous service is the uninterrupted period of service from the date of original appointment to State service under the Personnel Code except as provided in Section 302.250 and Section 303.155.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.200 Interruptions in Continuous Service

Continuous service shall be interrupted by:

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

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

c) Termination; because an employee has not been reemployed in a position subject to jurisdiction B within 2 years after layoff.

d) Probationary Separation; separations for failure to satisfactorily complete the probationary period, provided that no other provisions of these rules or relevant collective bargaining agreements allow a certified employee to return to a previously held position classification.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.210 Deductions from Continuous Service

Except as provided in Section 302.240, the following shall be deducted from, but not interrupt continuous service:

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

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

c) Time away from work because of indeterminate layoff.

History

• Source: Amended at 7 Ill. Reg. 654, effective January 5, 1983

80 Ill. Adm. Code 302.215 Leave of Absence for Educational Purposes

The administrative head of an operating agency may grant an employee an educational leave of absence for the purpose of engaging in a training course. No educational leave may be granted unless in the judgment of the agency head the training course would benefit the State of Illinois by improving the employee's qualifications to perform the duties of the employee's position or by qualifying the employee for advancement in rank or grade to another position in State service.

80 Ill. Adm. Code 302.220 Veterans Continuous Service

a) Leaves of absence shall be granted to all employees, except temporary or emergency employees, who leave their positions and enter military service for 5 years or less (exclusive of any additional service imposed pursuant to law). An employee shall be restored to the same or a similar position on making an application to his/her employing agency within 90 days after separation from active duty or from hospitalization or convalescence continuing after discharge for not more than two years. The employee must provide evidence of satisfactory completion of training and military service when making application and be qualified to perform the duties of the position.

b) Subject to the provisions of Section 302.110, a veteran who returns to State service after having been granted a leave of absence from provisional status shall be permitted and required to pass the same or similar examination for his/her position within 90 days.

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

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.230 Peace or Job Corps Enrollees Continuous Service

Any employee who volunteers and is accepted for service in the overseas or domestic peace or job corps shall be given a leave of absence from his/her State employment for the duration of his/her initial period of service and restored to the same or similar position provided that the employee returns to his/her employment within 90 days of the termination of his/her service or release from hospitalization from a service connected disability.

80 Ill. Adm. Code 302.240 Accrual and Retention of Continuous Service During Certain Leaves

During an educational, military, Peace or Job Corps or disability leave, an employee shall retain and accrue continuous service provided return to employment occurs. No other benefit arising from this Part shall be granted or paid during such leaves.

History

• Source: Amended at 4 Ill. Reg. 22, p. 227, effective June 1, 1980

80 Ill. Adm. Code 302.250 Limitations on Continuous Service

Temporary and emergency employees shall not accumulate continuous service except as provided in the State Employee Vacation Time Act [5 ILCS 360].

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.260 Performance Records

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

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

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.270 Performance Evaluations

Each agency shall prepare a performance evaluation in a manner proscribed by the Director not less often than once per calendar year for certified employees, and at least once during a probationary period.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.300 Probationary Period

a) A probationary period of six months shall be served by:

1. an employee who enters State service or commences a new period of continuous service;

2. an employee who is appointed following a competitive selection hiring sequence, whether or not it be considered an advancement in rank or grade.

b) A probationary period of four months shall be served by any employee who is promoted pursuant to Subpart G.

c) An employee transferred during the probationary period shall serve that portion of the probationary period that was not completed at the time of the transfer.

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

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

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.310 Certified Status

A probationary employee shall attain certified status only after successful completion of the probationary period in their position. Notice of certification will be sent to the employee and agency by the Director promptly thereafter.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.320 Status Change in Probationary Period (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.325 Intermittent Status

Provisions applying to employees in intermittent status shall be contained in an intermittent program established in a form and manner approved by the Director. The Director or Chairman of a department, board or commission may request that a position within the agency be given intermittent status. Such request shall be accompanied by written justification for why intermittent status is necessary or desirable. The Director of Central Management Services will approve or deny the request based on factors such as the agency's justification, other alternatives which could be implemented to address the agency's needs and the potential fiscal and personnel consequences if the request is not granted.

History

• Source: Amended at 16 Ill. Reg. 17607, effective November 6, 1992

80 Ill. Adm. Code 302.330 Eligibility for Promotion

The Director may approve the promotion of qualified employees.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.335 Limitations on Promotions (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.340 Failure to Complete Probationary Period

A certified employee who does not satisfactorily complete the probationary period in the position because of inability to perform the duties and responsibilities of the new promoted position may be returned to a position in the class, agency and locality and with the status from which promoted.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.400 Transfer

A transfer is the assignment of an employee to a vacant position whose classification has the same maximum permissible salary or rate. Transfers may be within the same agency (Intra-Agency Transfer) or across agencies (Inter-Agency Transfer).

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.410 Intra-Agency Transfer (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.420 Inter-Agency Transfer (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.425 Merit System Transfer (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.430 Geographical Transfer (agency Directed)

Geographical transfer is the transfer of an employee from one geographical location in the State to another for the performance of duties other than temporary assignments or details for the convenience of the employer. Geographical transfers shall be made only with the approval of the Director. The Director in determining whether to approve a transfer shall use information detailed in Section 302.431. An employee who refuses to accept a geographical transfer must report for duty at the new location but may make written appeal of such transfer to the Civil Service Commission within 15 days after the effective date of the transfer. An employee shall be reimbursed for all reasonable transportation and moving expense incurred in moving to a new location because of permanent geographical transfer.

History

• Source: Amended at 3 Ill. Reg. 22, p. 78, effective June 1, 1979

80 Ill. Adm. Code 302.431 Geographical Transfer (agency Directed) Procedures

A proposed geographical transfer is subject to the approval of the Director before becoming effective and shall include the following information for the organizational unit from which the geographical transfer is proposed.

a) a statement of reason(s) for transfer;

b) a list of all employees in the affected unit showing title, status and total continuous service;

c) a list of those employees to be transferred;

d) performance records for all employees in classes affected by the transfer;

e) an explanation of any transfer not in order of least continuous service for affected classes; and

f) an explanation of the organizational unit selected, reflecting agency, facility, geographical, operational and other elements being considered relevant by the agency head.

History

• Source: Amended at 3 Ill. Reg. 22, p. 78, effective June 1, 1979

80 Ill. Adm. Code 302.432 Notice to Employee

Notice of an approved geographical transfer (agency directed) shall be served on the employee by the Director in typical forms of communication used to most effectively reach that employee, such as, but not limited to, personal delivery, email, mail, certified mail, or other applicable or relevant methods.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.433 Effective Date of Geographical Transfer (agency Directed)

Unless extraordinary operating conditions or events are specified in the proposed transfer plan, no geographical transfer shall be effective until 10 working days after the Director's approval of the transfer plan.

History

• Source: Amended at 3 Ill. Reg. 22, p. 78, effective June 1, 1979

80 Ill. Adm. Code 302.435 Employee-Requested Geographical Transfer

An employee-requested geographical transfer is the transfer of an employee from one geographical location in the State to another for performance of duties other than temporary assignments or details for the convenience, and at the written request, of the employee. Employee-requested geographical transfers shall not become effective until the Director verifies the employee's request, the agency approval and that a current vacant position exists. When an employee requests and accepts such geographical transfer the agency shall not be required to reimburse employee for any transportation of moving expenses.

History

• Source: Amended at 3 Ill. Reg. 22, p. 78, effective June 1, 1979

80 Ill. Adm. Code 302.440 Rights of Transferred Employees

A transferred employee shall retain status, continuous service and all accrued benefits.

80 Ill. Adm. Code 302.445 Transfer of Duties

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

80 Ill. Adm. Code 302.450 Limitations on Transfers

Temporary, emergency, and provisional employees shall not be transferred.

80 Ill. Adm. Code 302.460 Employee Records

When an employee has been transferred or resigns to accept a position in another agency, a copy of the agency personnel file, if any, shall be made available to such agency.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.470 Demotion

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

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

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.480 Notice to Employee

If the statement of reasons for demotion of a certified employee is approved by the Director, a copy of the approved statement of reasons for demotion shall be served on the employee by the Director in typical forms of communication used to most effectively reach that employee, such as, but not limited to, personal delivery, email, mail, certified mail, or other applicable or relevant methods.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.490 Employee Obligations

Upon receipt by the employee of the approved statement of reasons for demotion or upon the effective date thereof, whichever is later, the employee shall leave the position in which assigned prior to such statement of reasons and report for duty to the position to which demoted and such report shall be without prejudice to right of appeal under Section 302.496.

80 Ill. Adm. Code 302.495 Salary and Other Benefits of Employee

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

80 Ill. Adm. Code 302.496 Appeal by Certified Employee

A certified employee who has been served with approved statement of reasons for demotion may appeal to the Civil Service Commission, provided such appeal is made in writing within fifteen days of receipt of the approved statement of reasons for demotion.

80 Ill. Adm. Code 302.497 Demotion of Other Employees

The Director may approve the demotion of probationary employees. Notice of such demotion shall be served on the employee by the Director, in typical forms of communication used to most effectively reach that employee, such as, but not limited to, personal delivery, email, mail, certified mail, or other applicable or relevant methods.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.498 Status of Demoted Employees

A demoted certified employee shall be certified in the class to which demoted and shall not be required to serve a new probationary period. A demoted probationary employee shall serve a new probationary period in the class to which he/she is demoted unless such employee held certified status in the class to which demoted during the current period of continuous service.

History

• Source: Amended at 10 Ill. Reg. 13940, effective September 1, 1986

80 Ill. Adm. Code 302.500 Voluntary Reduction of Certified and Probationary Employees

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

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.505 Limitations in Voluntary Reduction

Temporary, emergency, and provisional employees shall not be granted a request for a voluntary reduction.

80 Ill. Adm. Code 302.507 Definition of Layoff

A layoff is the placement of an employee in non-paid and non-working status without prejudice either temporarily or indeterminately. No agency may lay off, either temporarily or indeterminately, an employee as a means or form of discipline.

History

• Source: Amended at 8 Ill. Reg. 7788, effective May 23, 1984

80 Ill. Adm. Code 302.510 Temporary Layoff

An operating agency may temporarily lay off any employee for not more than five scheduled workdays in any 12-month period as a result of or for lack of work or lack of funds. Based on class, location, funding, agency or other designation, and taking into consideration continuous service and performance, the temporary layoff of employees shall occur within an organizational unit justified by operations. The head of the operating agency shall notify the Director of any temporary layoff, its organizational unit, the name of any employee temporarily laid off and the reason(s) therefor prior to the effective date of the temporary layoff.

History

• Source: Amended at 9 Ill. Reg. 7907, effective May 15, 1985

80 Ill. Adm. Code 302.512 Use of Accrued Benefits During Temporary Layoff

An employee is not entitled to use any accrued benefit time in lieu of temporary layoff. Temporary layoff does not create any reemployment rights pursuant to Section 302.570.

History

• Source: Amended at 8 Ill. Reg. 7788, effective May 23, 1984

80 Ill. Adm. Code 302.514 Notice of Temporary Layoff

Notice of temporary layoff shall be served on the employee by the agency 30 working days in advance of the effective date unless extraordinary operating conditions or events preclude such advance notice.

History

• Source: Amended at 33 Ill. Reg. 16560, effective November 13, 2009

80 Ill. Adm. Code 302.516 Return from Temporary Layoff

Upon expiration of a temporary layoff, the employee shall be returned to the position, the position classification and location from which temporarily laid off by the agency.

History

• Source: Added at 7 Ill. Reg. 654,. effective January 5, 1983

80 Ill. Adm. Code 302.518 Scheduling for Temporary Layoffs

Temporary layoffs affecting more than one employee may occur with varying effective dates or may occur sequentially and from time to time as long as no employee is temporarily laid off for more than five scheduled workdays in any 12-month period. An agency shall consider an employee's preference in scheduling a temporary layoff, subject to the operating needs of the agency.

History

• Source: Added at 7 Ill. Reg. 654, effective January 5, 1983

80 Ill. Adm. Code 302.519 Deferral of Wages

In lieu of temporary layoffs, the State may enter into a collective bargaining agreement for deferral of wages.

History

• Source: Added at 7 Ill. Reg. 654, effective January 5, 1983

80 Ill. Adm. Code 302.520 Indeterminate Layoff Procedure

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

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

1. a list of all employees showing status and total continuous service;

2. a listing of those employees to be laid off;

3. performance records of all employees affected by layoff plan;

4. an explanation of any layoff not in order of continuous service;

5. an explanation of the organizational unit selected, reflecting agency, facility, geographical, operational and other elements deemed relevant by agency head.

History

• Source: Amended at 33 Ill. Reg. 16560, effective November 13, 2009

80 Ill. Adm. Code 302.523 Voluntary Indeterminate Layoff

The Director may accept as part of a proposed indeterminate layoff plan the voluntary layoff of an employee without reference to Section 302.520(b)(3) and (b)(4) provided the employee is employed in an affected position classification and in the proposed layoff unit and provided such voluntary layoff is formally requested by the employee prior to the submission of the layoff plan to the Director as required in Section 302.520. Such voluntarily laid off employee shall, if certified in accordance with Section 302.530, be entitled to reemployment rights in accordance with Section 302.570 or if probationary, in accordance with Section 302.595. In accepting an employee's request for voluntary layoff the agency head shall consider the operating needs of the agency as well as the wishes of the employee.

History

• Source: Added at 7 Ill. Reg. 654, effective January 5, 1983

80 Ill. Adm. Code 302.525 Disapproval

The Director may disapprove by returning to the originating agency any indeterminate layoff plan which results in a disproportionate impact on affected employees on achieving equal employment opportunity goals.

History

• Source: Amended at 7 Ill. Reg. 654, effective January 5, 1983

80 Ill. Adm. Code 302.530 Order of Layoff

a) The following order shall be observed in making an indeterminate layoff:

1. No certified, probationary, or provisional employee may be laid off until all temporary, and emergency employees in the same class, option and approved layoff organizational unit are terminated;

2. No certified or probationary employee may be laid off until all provisional employees in the same class, option and approved layoff organizational unit are terminated;

3. No certified employee may be laid off until all probationary employees in the same class, option and approved layoff unit are laid off.

4. Certified employees will be laid off in reverse order of continuous service in the same class, option and approved layoff unit.

b) Within status groups and in accordance with the layoff plan submitted under Section 302.520, consideration shall be given to performance records and continuous service as defined in Section 302.190.

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

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.540 Effective Date of Layoff

Merit compensation system/broad-banded employees subject to layoff shall be given 30 days notice of the layoff by the employing agency. A list of all current non-bargaining unit vacancies of all positions within the agency shall be provided to the merit compensation system/broad-banded employee with the notice of layoff. If any bargaining unit vacancy remains after all contractual obligations are fulfilled, those bargaining unit vacancies may be offered to non-bargaining unit staff to minimize the impact of the layoff. Vacancy for any employee subject to layoff is defined as the current, funded, vacant position that management has the present intention to fill. Unless extraordinary operating conditions or events are specified in the proposed layoff plan, no indeterminate layoff shall be effective until ten working days after the Director's approval of the layoff plan.

History

• Source: Amended at 33 Ill. Reg. 16560, effective November 13, 2009

80 Ill. Adm. Code 302.545 Filling of Vacancies by Merit Compensation System/Broad-Banded Employees Subject to Layoff Via Transfer

Each merit compensation system/broad-banded employee who is subject to layoff shall be offered any vacant positions for the same title held by that employee within the same agency and county from which the employee is subject to layoff and within two additional alternate counties designated by the employee. In the event the employee's facility or office is closing, the employee may designate one additional alternate county, for a total of four counties. In no event shall the vacancies include positions that are subject to collective bargaining, unless those bargaining unit vacancies remain after all contractual obligations have been fulfilled. Temporary, emergency and provisional employees shall not be granted a transfer request pursuant to Section 302.450.

History

• Source: Added at 33 Ill. Reg. 16560, effective November 13, 2009

80 Ill. Adm. Code 302.550 Employee Opportunity to Seek Voluntary Reduction or Lateral Transfer

A certified employee as defined in Section 302.530 who is subject to indeterminate layoff as a result of the Director's approval of a layoff plan shall be promptly notified 30 days prior to the effective date of layoff, and shall then be advised of the opportunity to request voluntary reduction to a current vacant position in accordance with Section 302.500 or lateral transfer to a current vacant position having the same maximum permissible salary or rate in accordance with Section 302.410 or 302.435 within the agency. An employee seeking voluntary reduction must request the voluntary reduction in writing to the head of the employing agency prior to the proposed effective date of layoff.

History

• Source: Amended at 33 Ill. Reg. 16560, effective November 13, 2009

80 Ill. Adm. Code 302.560 Order of Preference in Voluntary Reduction or Lateral Transfer

a) Voluntary Reduction

In the event a certified employee as defined in Section 302.530 requests voluntary reduction as a result of his/her pending indeterminate layoff, the certified employee shall be preferred for any current vacant position in a lower class within the same agency and location in which the employee is then incumbent at the time of the layoff over any probationary or provisional employee, any certified employee subject to layoff having lesser continuous service and any certified employee requesting a reduction who is not subject to layoff.

b) Lateral Transfer

In the event a certified employee requests a lateral transfer as a result of his/her pending indeterminate layoff, the certified employee shall be preferred for any current vacant position whose classification has the same maximum permissible salary or rate within the same agency over any probationary or provisional employee, any certified employee subject to layoff having lesser continuous service and any certified employee requesting lateral transfer who is not subject to layoff.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.570 Reemployment

a) Employees in Titles Subject to Collective Bargaining

The Department shall establish a reemployment report, by class, option, agency and county or other designated geographical area approved by the Director before layoff. A certified employee who has been indeterminately laid off shall be eligible in order of length of continuous service as defined in Section 302.190 for recall to the first available assignment to a position in the class (or related classes with substantially similar requirements and duties), option, agency, and county or other designated geographical location or area in which the employee was assigned prior to being indeterminately laid off. When circumstances warrant, at the discretion of the Director, reemployment eligibility may be established by related classes and options whose duties are substantially similar to the class from which the employee was laid off.

b) Employees in Merit Compensation System/Broad-banded Titles

In the event no vacancies exist as described in Section 302.545, employees in merit compensation system/broad-banded titles shall be eligible for reemployment by recall at the employing agency for the title and option from which the employee was laid off, any other titles in which the employee was previously certified within the county from which the employee was laid off and within two additional alternate counties designated by the employee. In the event the employee's facility or office is closing, the employee may designate one additional alternate county, for a total of four counties. In no event shall the vacancies include positions that are subject to collective bargaining unless those bargaining unit vacancies remain after all contractual obligations have been fulfilled. Laid off employees shall remain eligible for reemployment for three years, commencing with the effective date of layoff. Reemployment of merit compensation system/broad-banded employees to positions under term appointments is subject to the provisions of Section 302.825. Reemployment of merit compensation system/broad-banded employees to non-term appointment Senior Public Service Administrator and Public Service Administrator positions will be eligible for the identical classification and option designation for the position from which the employee was laid off. The employee shall be eligible, in order of length of continuous service as defined in Section 302.190, for reemployment by recall to the first available assignment to a position in the class and option, agency, and county or other designated geographical location or area in which the employee was assigned prior to being indeterminately laid off.

c) Qualifications for Reemployment

An agency will not be required to consider any employee who does not have the necessary qualifications for reemployment to any position, or who was not at the same or higher organizational level as the position being filled. If an agency makes such a determination, this must be documented and submitted to the Department of Central Management Services.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.580 Reemployment Due to Recall

Whenever any person eligible for reemployment by recall to a vacant position for the same class, or related classes where such have been established pursuant to Section 302.570, agency and county or other designated geographical area, applies for a posted vacancy, no temporary, provisional or probationary appointments shall be made to such vacancy.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.590 Removal of Reemployment Eligibility

a) A laid off employee shall no longer be eligible for reemployment when:

1. The employee is recalled from layoff;

2. The employee refuses an offer of permanent reemployment;

3. The employee has not been recalled for reemployment within 36 months;

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

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.595 Laid Off Probationary Employee

a) The name of a probationary employee who is terminated as a result of indeterminate layoff before the completion of the probationary period shall not be eligible for reemployment by recall.

b) An employee serving a probationary period but otherwise certified as defined in Section 302.530 who is to be indeterminately laid off shall be given notice, and may request a voluntary reduction pursuant to Section 302.500 and 302.550. If no voluntary reduction is effected, the employee will be laid off and the employee shall be eligible for reemployment by recall, in seniority order as provided in Section 302.190, for the agency, work locality and title in which last certified.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.596 Appeal by Employee

Within 15 calendar days following the effective date of such layoff and without prejudice to the right to request voluntary reduction, an employee may make written appeal to the Civil Service Commission contesting such layoff.

History

• Source: Amended at 6 Ill. Reg. 5559, effective May 1, 1982

80 Ill. Adm. Code 302.597 Reinstatement from Layoff

a) An employee reinstated for the period for which he/she was improperly laid off shall receive full compensation for such period.

b) Full compensation shall mean compensation such laid off employee would have earned in the position classification during the period of layoff less amounts earned by the employee from any other source including any unemployment payments received during such period.

History

• Source: Amended at 4 Ill. Reg. 11, p. 67, effective March 1, 1980

80 Ill. Adm. Code 302.600 Resignation

An employee who voluntarily leaves the State service shall, except in emergency circumstances approved by the agency head, give advance notice of intent not less than 15 calendar days before its effective date. Once an employee submits a resignation which is accepted by the agency head, the resignation shall not be revoked unless the revocation is requested by the employee and the revocation is approved by the agency head. Resignation in good standing shall mean that the employee gave the required written notice, or that emergency circumstances justified failure to do so, and that the employee's conduct and work performance were satisfactory at the effective date thereof.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.610 Reinstatement (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.625 Definition of Certified Employee

For purpose of rules respecting discipline and discharge, "certified employee" shall mean any employee currently employed in a position subject to jurisdiction B who has satisfactorily completed the required period of probation and attained certified status in the position.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.626 Progressive Corrective Discipline

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

80 Ill. Adm. Code 302.628 Prohibited Disciplinary Action

No disciplinary action shall be taken against any employee for the disclosure of any alleged prohibited activity under investigation as provided in 80 Ill. Adm. 304.55.

History

• Source: Amended at 6 Ill. Reg. 10663, effective August 25, 1982

80 Ill. Adm. Code 302.630 Disciplinary Action Warning Notice (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.640 Suspension Totaling Not More Than Thirty Days in Any Twelve Month Period

Disciplinary suspension without pay totaling not more than 30 days in any 12 month period may be imposed upon an employee by an agency head or designee. Unless delay in the imposition of discipline will result in clear harm or damage to an agency, the employee shall be informed in writing of the proposed suspension and the reasons therefor at least 6 working days prior to the effective date of the proposed suspension and be provided with copies of pertinent documents on which the proposed suspension is based. The employee shall have 5 working days after being informed of the proposed suspension within which to address to the agency head or designee written rebuttal to the reasons given for the suspension. A decision of an agency head or designee not to suspend the employee shall be rendered in writing before the proposed suspension date. Written notice of any suspension imposed with the reasons therefor must be served upon the employee on a form prescribed by the Director on or before the effective date of the suspension by typical forms of communication used to most effectively reach that employee, such as, but not limited to, personal delivery, email, mail, certified mail, or other applicable or relevant methods. Notice of such suspension imposed must also be filed immediately with the Director.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.660 Suspension Totaling More Than Thirty Days in Any Twelve Month Period

The agency head or a designee may, after complying with the procedures set forth in this Part, initiate a disciplinary suspension of any employee totaling more than 30 days in any 12-month period and if such employee is certified, the agency shall file written charges for such suspension with the Director in the form and manner prescribed. Such written charges shall be approved by the head of the operating agency or designee, and shall contain a clear and concise statement of facts showing good cause for such suspension. The charges shall be accompanied by a copy of the employee's performance records. Unless delay in the imposition of discipline will result in clear harm or damage to an agency, the employee shall be informed in writing of the proposed suspension and the reasons therefor at least 6 working days prior to the effective date of the proposed suspension and be provided with copies of pertinent documents on which the proposed suspension is based. The employee shall have 5 working days after being informed of the proposed suspension within which to address to the agency head or designee written rebuttal to the reasons given for the suspension. A decision of an agency head or designee not to suspend the employee shall be rendered in writing before the proposed suspension date.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.670 Approval of Director of Central Management Services

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

80 Ill. Adm. Code 302.680 Notice to Employee

Notice of approved charges for a disciplinary suspension totaling more than 30 days in any 12 month period shall be served on a certified employee by the Director, in typical forms of communication used to most effectively reach that employee, such as, but not limited to, personal delivery, email, mail, certified mail, or other applicable or relevant methods.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.690 Employee Obligations

Upon receipt by the employee of any disciplinary suspension or charges for discharge, the employee shall leave the place of employment and if deemed appropriate by the agency, any housing or other accommodations furnished the employee by the State.

80 Ill. Adm. Code 302.700 Cause for Discharge

Cause for discharge consists of repeated or serious misconduct, willful disobedience or insubordination, gross and habitual neglect of duties, fraud or willful breach of trust, loss of confidence, a commission of a crime or offense, or other similar conduct that creates a reasonable basis for the employee to no longer hold the position.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.705 Discharge Hearing

Before an agency shall suspend any certified employee pending decision on discharge or bring charges for discharge against any certified employee, that agency shall apprise the employee of the basis for such action and provide the employee an opportunity to respond to the charges in accordance with the following standards:

a) The agency will notify the employee in writing of the intended discharge or suspension pending discharge.

b) A statement of charges in support of the proposed action, full and complete to the knowledge of the agency at the time it is drawn, will be given to the employee, including the name of any known witness and a copy of any document relevant to the charges.

c) The employee shall have 5 scheduled working days after receipt of the charges and prior to the effective date of the suspension or discharge in which to respond to them orally or in writing.

d) The employee is entitled to representation in any meeting either through the collective bargaining representative or in the absence of such representation by any person or organization.

e) The employee shall remain in paid status pending the response but not necessarily permitted to work.

f) The employee or the employee's representative shall be permitted access to a designated area or a secure area of the work place to investigate the charges and, upon request, be provided a copy of other pertinent documents.

g) The failure of the employee to respond to the charges within the time limits shall not bar the agency from proceeding with discharge.

h) When the investigation of the charges causes them to be altered in fact, form, context, or reference from those given the employee at the time the notice of suspension pending discharge was issued and for which the employee has not had an opportunity to respond, a second notice and opportunity for response will be given to the employee.

i) The agency head or a designee shall receive the response of the employee, whether it is oral or written.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.710 Suspension Pending Decision on Discharge

An operating agency may suspend after compliance with Section 302.705 any employee for up to 30 days pending the decision of the operating agency whether charges for discharge shall be filed against such employee. Notice of such suspension must also be filed immediately with the Director. The agency shall thereafter promptly investigate the facts and circumstances and render its decision. Should the agency determine that the facts and circumstances do not warrant disciplinary suspension or charges for discharge, the employee shall be made whole. Should the agency determine that a disciplinary suspension is appropriate, Section 302.640 or 302.660, as the case may be, shall apply in its entirety in lieu of all or part of the period of suspension served. Should the agency determine that discharge of the employee is appropriate, Section 302.720 shall apply in its entirety.

History

• Source: Amended at 10 Ill. Reg. 13940, effective September 1, 1986

80 Ill. Adm. Code 302.720 Discharge of Certified Employee

The agency head or the agency head's designee may after compliance with Section 302.705 initiate discharge of a certified employee by filing written charges for discharge with the Director in the form and manner prescribed by the Director. Written charges shall be approved by the head of the agency, and shall contain a clear and concise statement of facts showing good cause for discharge, and shall be accompanied by a copy of the employee's performance records. No discharge of a certified employee shall be effective without the approval of the written charges for discharge by the Director.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.730 Notice to Employee

Notice of approved charges for discharge shall be served on the employee by the Director, in typical forms of communication used to most effectively reach that employee, such as, but not limited to, personal delivery, email, mail, certified mail, or other applicable or relevant methods.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.750 Appeal by Employee

A certified employee who has been served with approved charges for suspension in excess of 30 days or discharge may appeal to the Civil Service Commission, provided such appeal is made in writing within 15 days of receipt of such approved charges.

80 Ill. Adm. Code 302.780 Separation of Probationary Employees

a) The Director may approve the separation of a probationary employee who fails to satisfactorily complete the probationary period. Employees who have not been certified in their current period of continuous service may not appeal a probationary separation.

b) Employees who are separated for failure to satisfactorily complete the probationary period, but who have been certified during their current period of continuous service, may appeal the separation.

c) On appeal, a probationary separation will be reversed only if the separation was determined to violate Section 302.790.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.781 Reinstatement from Separation, Suspension or Discharge

An employee reinstated for the period for which the employee was separated, suspended or discharged shall receive full compensation for such period. Full compensation shall mean compensation such suspended or discharged employee would have earned in the position classification during the period of suspension or discharge less amounts earned by the employee from any other source and unemployment compensation payments received during such period.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.785 Suspension Resulting from Arrest or Criminal Indictment/Suspension Pending Judicial Verdict

a) The arrest or criminal indictment of any employee may be grounds for suspension if the arrest or indictment and facts in support of either made known to the Director:

1. resulted from an employee's conduct in the course of employment duties, including a failure to perform such duties, or

2. occurred on or proximate to State premises and as a result of the employee's conduct thereon, or

3. raises reasonable doubt concerning the employee's suitability for continued State employment in the present assignment or position.

b) The Director shall under the circumstances set forth above, at the request of an agency, suspend an employee, without pay, pending a final court determination of innocence or guilt.

c) The following shall control the suspension pending judicial verdict:

1. An affected employee may be in jail, free on bond or in some other similar status at the time the suspension is imposed.

2. The arrest or indictment of an employee shall be for State or Federal criminal or civil charges, or charges brought in a foreign country, which raise reasonable doubt concerning the employee's suitability for continued employment in the current position. Traffic violations are not sufficient cause for suspension except where the employee temporarily loses driving privileges if the license is a requirement for work as contained in the job description or position classification specification.

3. Any proposed Suspension Pending Judicial Verdict requires approval by the Agency head or designee and will include a complete and detailed statement of the reason(s) for the suspension and a copy of any official document, such as charges, indictment or arrest record, which supports the suspension.

4. Such suspension shall have no designated expiration date, depending on the length of the initial judicial process. The suspension ends with the return of the employee to work, discharge or termination of employment. The Director shall notify the agency of the status of the suspension 12 months after the suspension is granted and each 12 months thereafter for the agency to determine the continuing validity of the suspension. This suspension will not be continued while the employee appeals an initial guilty verdict through higher courts.

5. A suspension pending judicial verdict will be submitted to the Director for approval and service. An approved Suspension Pending Judicial Verdict will be served on the employee in typical forms of communication used to most effectively reach that employee, such as, but not limited to, personal delivery, email, mail, certified mail, or other applicable or relevant methods. It will be the responsibility of the employee to notify the agency of any change of address.

6. Upon a finding of not guilty or the dismissal of the charges for any reason the employee, upon application, will be restored to the same or similar position classification in the agency and work location held at the time the suspension was issued. A similar position classification shall include:

A) the same position classification with different duties;

B) a successor position classification; or

C) a different position classification having related requirements and duties and the same salary or wage assignment.

7. The employee may or may not be entitled to back pay depending upon the circumstances surrounding a finding of not guilty or a dismissal of the charges. The Director shall make a final determination with respect to whether back pay shall be granted.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.790 Prohibition of Discrimination

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

b) Any applicant or employee who feels adversely affected in employment because of such discrimination shall have resort to the grievance procedure hereunder and may be joined in such procedure by the Affirmative Action Director or designee where necessary or appropriate.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.795 Administrative Leave

a) With the approval of the Director of Central Management Services, an agency head may relieve an employee from duty when extraordinary circumstances and the best interest of the agency and the State of Illinois will be served in doing so.

b) Circumstances warranting this leave must be of an extraordinary nature and are limited to those situations where no alternative means, such as suspension or temporary reassignment of an employee, will adequately protect the best interest of the agency and the State of Illinois.

c) Duration of an administrative leave shall be no longer than necessary to protect the best interest of the agency and the State of Illinois. The leave shall initially be for no longer than 60 calendar days, but may be extended for additional periods of time, not to exceed 60 days each, so long as necessary to protect the best interest of the agency and the State of Illinois.

d) Administrative leave shall not be used as an alternative to Suspension Pending Decision on Discharge or Suspension Pending Judicial Verdict pursuant to Section 302.710 and Section 302.785 of this Part.

e) Administrative leave shall not be allowed in lieu of vacation, sick leave, personal business leave or any other type of paid or unpaid leave when the other leave is appropriate, nor shall administrative leave be used to circumvent rules governing limits on other leaves available to an employee.

f) The agency will immediately provide the affected employee written notice of the administrative leave, and the agency will also immediately report any administrative leave to the Department of Central Management Services.

g) Administrative leave time shall extend applicable probationary periods.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.800 Definition of Terms (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.810 Positions Subject to Term Appointments

All positions not covered by a collective bargaining agreement and not subject to Section 4d(1), (2), (3) and (6) of the Personnel Code [20 ILCS 415/4d(1), (2), (3) and (6)] on or above merit system grade MS-32 or its equivalent shall be subject to term appointments; except for all positions required by receipt of federal funds to not be subject to a term.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.820 Appointment

a) An appointment to a position subject to term appointment may be made following posting and competitive selection. Such appointments shall be made for a four-year term commencing on the date of the appointment.

b) After an appointment following initial competitive selection, the employing agency may choose to renew the term appointment or post the position for an additional round of competitive selection with notice to the appointee.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.821 Effect of Loss of Federal Funding on Employees Excluded from Term Appointment by Reason of Being Federally Funded (repealed)

History

• Source: Repealed at 10 Ill. Reg. 13940, effective September 1, 1986

80 Ill. Adm. Code 302.822 Appointees Under Term Appointments

Appointees under term appointments shall be subject to Jurisdictions A, B, and C of Personnel Code with all rights and obligations thereunder during the term of their appointment. Appointees shall be subject to the provisions of the Personnel Rules during the term of their appointment, including Section 302.400. Appointment to a different term position following competitive selection restarts the 4 year term period.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.823 No Promotion to Positions Covered by Term Appointments (repealed)

History

• Source: Repealed at 10 Ill. Reg. 13940, effective September 1, 1986

80 Ill. Adm. Code 302.824 No Reallocation to Term Positions

a) If a position is reallocated, reclassified, or reevaluated to become subject to term appointments, the incumbent may accept a probationary term appointment to the newly reallocated, reclassified, or reevaluated position without additional competitive selection.

b) If the incumbent elects not to accept the probationary term appointment to the newly reallocated, reclassified, or reevaluated position, the individual shall be given a vacant position in the same agency in the same class as the position previously held, or be allowed a voluntary reduction, pursuant to Section 302.500. The provisions of 80 Ill. Adm. Code 301.20 and 301.30 shall apply.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.825 Reemployment Rights to Term Appointment

No employee with reemployment rights granted under Section 302.570 shall be recalled to a position under Term Appointment, unless the employee has previously been appointed to a four year term. Said reemployment rights shall be limited to the term appointment position held at time of layoff except that an employee laid off from a Senior Public Service Administrator position may also be eligible for reemployment to other related positions in the Senior Public Service Administrator classification pursuant to Section 302.570(b).

History

• Source: Amended at 18 Ill. Reg. 1892, effective January 25, 1994

80 Ill. Adm. Code 302.830 Expiration of Term Appointment

a) A Term Appointment shall automatically terminate at the end of the fourth year after the date of the initial appointment unless the Term Appointment is renewed for another four-year term by the Director or Chairman of the Department, Board or Commission.

b) The Director or Chairman of the Department, Board or Commission shall provide notice to the effected employee and the Department of the intention to renew a term or allow a term to expire no later than four months before the term appointment is set to expire.

c) Failure to renew a Term Appointment is not grievable or appealable to the Civil Service Commission.

d) Should a Director or Chairman of the Department, Board or Commission elect to not renew an expiring term, and instead seek to fill the position via a competitive selection process, the Director or Chairman of the Department, Board or Commission may ask the Director to extend the term appointment until the conclusion of the competitive selection process being used to fill the position.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.840 Renewal Procedures (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.841 Renewal Procedures for Incumbents on the Effective Date of Section 8b18 of the Personnel Code (repealed)

History

• Source: Repealed at 13 Ill. Reg. 3722, effective March 13, 1989

80 Ill. Adm. Code 302.842 Effective Date of Reappointment or Termination (repealed)

History

• Source: Repealed at 13 Ill. Reg. 3722, effective March 13, 1989

80 Ill. Adm. Code 302.846 Change in Position Factors Affecting Term Appointment Exclusion (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.850 Reconsideration Request (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.860 Renewal Procedure for Incumbents Subject to Public Act 83-1369 (repealed)

History

• Source: Repealed at 48 Ill. Reg. 11318, effective July 16, 2024

80 Ill. Adm. Code 302.863 Renewal of Certified or Probationary Incumbents in Exempted Positions

Any employee holding a term appointment pursuant to this Subpart L whose position is declared exempt from Jurisdiction B of the Personnel Code by the Illinois Civil Service Commission as provided in Section 4d(3) of the Personnel Code shall be continued in that position with probationary status in accordance with Section 302.150(e) or with certified status in accordance with Section 302.150(f) until the expiration of the term. At the end of the term, the position may only be filled as an exempt appointment.

History

• Source: Amended at 48 Ill. Reg. 11318, effective July 16, 2024

Part 303 Conditions of Employment

80 Ill. Adm. Code 303.10 Definition of a Grievance

a) A grievance is any question between an employee and his/her employing agency, or applicant as covered in 80 Ill. Adm. Code 302.790, concerning the meaning, interpretation or application of this Part, or the Personnel Code or any issue concerning them or conditions of state employment which directly affect the grievant in the performance of his/her official duties.

b) Probationary terminations, charges seeking discharge, demotion or suspension totaling more than 30 days in any 12-month period of certified employees, appeals of allocation of duties or transfers from one geographical area in the State to another are not subject to grievance procedure.

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

80 Ill. Adm. Code 303.20 Procedure

a) Grievances shall be submitted in accordance with the following procedure unless the Director permits an agency to vary the number or content of the steps therein prescribed upon the written request of the operating head of an agency and for good cause shown therein, except that a grievance arising out of interpretation and/or application of a provision contained within a collective bargaining agreement shall be heard pursuant to the procedures established therein for the respective bargaining unit.

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

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

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

e) Step 3

1. If the grievance is not satisfactorily resolved or no answer is given within 5 scheduled working days after its written submission at Step 2, the employee may, within 10 working days after the Step 2 answer was due, appeal the grievance to the head of the operating agency by using the same or a different form.

2. Within 20 working days after the Step 3 appeal is filed, the head of the operating agency shall render a written decision thereon, and shall serve a copy of said written decision upon the grievant. Failure of the agency head to render a written decision and to serve it upon the grieving employee within the specified time shall automatically move the grievance to Step 4.

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

History

• Source: Amended at 4 Ill. Reg. 11, p. 70, effective March 1, 1980

80 Ill. Adm. Code 303.21 Expedited Procedure

a) If agreed to by both parties, the following shall be the procedure for an expedited hearing:

1. The Director shall appoint an employee of the Department of Central Management Services, Division of Legal/Labor Relations, to serve as the hearing officer of the expedited Step 4 grievance hearing.

2. The hearing officer shall have the authority to mediate the grievance with the parties prior to the scheduling of the hearing.

3. If the parties are unable to reach a resolution, the hearing officer shall schedule the hearing with the grievant or grievant's representative and the representative of the employee's agency to hear the grievance.

4. Prior to the hearing, the parties shall submit documentation in support of their respective case. The hearing officer shall have the authority to accept or deny all submissions of evidence.

5. At the grievance hearing, both parties shall present a summary of their cases. Witnesses are not allowed, but witness statements may be entered. The opposing party will have the opportunity to respond to the documentation and/or witness statements at the hearing. At the conclusion, the hearing officer shall adjourn the grievance hearing. The hearing officer shall make a written recommendation to the Director within five working days after the hearing date.

6. Upon receipt of the recommendation of the hearing officer, the Director shall approve, disapprove, or modify the recommendation, and shall render a decision on the recommendation in writing, and cause a copy of that decision to be served upon the parties. The Director's decision shall be final.

History

• Source: Added at 42 Ill. Reg. 7677, effective April 11, 2018

80 Ill. Adm. Code 303.30 Grievance Committee

a) The Director shall appoint a grievance committee comprised of two employees of the Department of Central Management Services and one employee of the Civil Service Commission or, if the grievant has a separate proceeding before the Civil Service Commission or if a Civil Service Commission employee is unavailable, an employee from an agency other than the Department of Central Management Services to hear grievances. Committee members must have experience and knowledge in the areas of personnel administration and employee relations. Not more than one committee member shall be appointed from any one bureau and no committee member shall be appointed to hear a grievance arising from the bureau in which the committee member is employed.

b) In addition to the three committee members appointed pursuant to subsection (a) above, the Director shall appoint an employee of the Department of Central Management Services, Division of Employee and Labor Relations to serve as Secretary-Chairperson of the committee. The Secretary-Chairperson shall assist the committee in its determination, shall be entitled to be heard by the committee, but shall not be entitled to vote on the committee's recommendations. Unless an expedited Step 4 (see Section 303.21) procedure is agreed to by the parties pursuant to procedures and policies issued by the Director, the members of the grievance committee shall reduce their recommendations as to the disposition of the grievance to writing and submit them to the Director. A dissenting member of the committee may make separate recommendations. All recommendations will bear the signature of the concurring committee members.

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

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

History

• Source: Amended at 42 Ill. Reg. 7677, effective April 11, 2018

80 Ill. Adm. Code 303.45 Representation

In discussions or meetings with the employer in Steps 2, 3, or 4 of the Grievance Procedure (Section 303.20), the employee shall be entitled to be present and may be accompanied or represented by the exclusive bargaining representative or, if there is no such representative, any other person.

80 Ill. Adm. Code 303.90 Sick Leave

a) All employees, excepting those in emergency, intermittent, per diem or temporary status, unless such status is the result of accepting a non-permanent working assignment in another class, shall accumulate sick leave at the rate of one day for each month's service. Sick leave may be used for illness, disability or injury of the employee, appointments with doctor, dentist or other professional medical practitioner and also may be used in the event of serious illness, disability, injury or death of a member of the employee's immediate family. The operating agency or the Department may require evidence to substantiate that such leave days were used for the purpose herein set forth for periods of absence of ten consecutive workdays, or less. For periods of absence of more than ten consecutive workdays the employee shall provide verification for such absence in accordance with the provisions of Section 303.145. Beginning with calendar year 1995, in the event an employee does not use sick leave in any calendar year, the employee shall be awarded one (1) additional personal day on January 1 of the next calendar year. Beginning with July 1, 1997, a part-time employee who works at least half time shall be awarded pro-rated additional personal leave on January 1 when the employee has not used sick leave during the previous calendar year. A calendar year for purposes of this provision is the period beginning January 1 and ending December 31 of each year. Such additional personal day shall be used in accordance with Section 303.125.

b) Sick time may be taken in increments of not less than one-quarter hour after a minimum use of one-half hour any time after it is earned.

History

• Source: Amended at 33 Ill. Reg. 6503, effective April 23, 2009

80 Ill. Adm. Code 303.100 Accumulation of Sick Leave

An employee shall be allowed to carry over from year to year of continuous service unused sick leave allowed under this Subpart and shall retain any unused sick leave or emergency absence leave accumulated prior to December 19, 1961.

History

• Source: Amended at 8 Ill. Reg. 7788, effective May 23, 1984

80 Ill. Adm. Code 303.102 Payment in Lieu of Sick Leave

a) Upon termination of employment for any reason, or upon indeterminate layoff, an employee or the employee's estate is entitled to be paid for unused sick leave which has accrued on or after January 1, 1984 and prior to January 1, 1998, provided the employee is not employed in another position in state service within 4 calendar days of such termination.

b) For purposes of this Section, sick leave is deemed to be used by an employee within the following priority order:

1. Sick leave earned through December 31, 1983.

2. Sick leave earned on or after January 1, 1998.

3. Sick leave earned on or after January 1, 1984 and prior to January 1, 1998.

The first earned sick leave shall be the first utilized within each category.

c) In order to determine the amount of sick leave to be paid upon termination of employment, the operating agency will:

1. compute the number of sick leave days granted to the employee between January 1, 1984 and December 31, 1997;

2. compute the employee's sick leave balance for that time period at time of termination; and

3. cause lump sum payment to be made for one half of the amount of sick leave in subsection (c)(1) or (2) above, whichever is the lesser amount, multiplied by the daily salary rate.

d) The method of computing the hourly or daily salary rate for sick leave qualifying for lump sum payment upon termination of employment shall be in accordance with 80 Ill. Adm. Code 310.520(a).

e) If an employee has a negative sick leave balance pursuant to Section 303.110 when employment is terminated, no payment shall be made to the employee and the unrecouped balance due is cancelled.

f) An employee who is reemployed, reinstated or recalled from indeterminate layoff and who received lump sum payment in lieu of unused sick days will have such days restored provided the employee repays upon return to active employment the gross amount paid by the State for the number of days to be so restored to the employee's sick leave account.

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

h) The accrued leave amount shall be certified in writing to the employee by the employing agency. This certification may be held by the employee or forwarded to the Retirement System.

History

• Source: Amended at 21 Ill. Reg. 15454, effective November 24, 1997

80 Ill. Adm. Code 303.105 Reinstatement of Sick Leave

On or after the effective date of this Subpart, accumulated sick leave available at the time an employee's continuous state service is interrupted for which no salary payment is made shall upon verification be reinstated to the employee's account upon return to full time or regularly scheduled part-time employment except in temporary or emergency status. This reinstatement is applicable provided such interruption of service occurred not more than five years prior to the date the employee reenters state service and provided such sick leave has not been credited by the appropriate retirement system towards retirement benefits. An employee with previous State service for which sick leave was granted under provisions other than Jurisdiction C of the Personnel Code shall have such amount reinstated to the extent such sick leave is provided under Section 303.90.

History

• Source: Amended at 8 Ill. Reg. 7788, effective May 23, 1984

80 Ill. Adm. Code 303.110 Advancement of Sick Leave

An employee with more than two years continuous service, whose personnel records warrant it, may be advanced sick leave with pay for not more than 10 working days with the written approval of the operating agency and the Director. Such advances will be charged against sick leave accumulated later in subsequent service.

80 Ill. Adm. Code 303.112 Sick Leave Bank

a) This Section contains rules governing the operation of plans allowing participating employees in each agency to bank portions of their accrued sick leave in a sick leave bank to be used by participating employees in the same agency who have exhausted their accrued vacation time, personal days, sick leave or compensatory time. This Section provides a framework within which each agency may administer a sick leave bank. Individual agency procedures should be consistent with the framework set forth in this Section unless alternative procedures have been agreed upon pursuant to collective bargaining negotiations.

b) Definitions

1. "Agency" means any branch, department, board, committee or commission of State government, but does not include units of local government, school districts or boards of election commissioners [5 ILCS 400/5.10].

2. "Sick leave bank" means a depository into which participating employees may donate accrued sick leave time for allocation to other participating employees [5 ILCS 400/5.15].

3. "Participating employee" means a permanent full- or part-time employee who has been employed by a State agency for a period of 6 months or more who voluntarily enrolls in the sick leave bank by depositing at least one full day of accrued sick leave in that bank [5 ILCS 400/5.20]. An employee who wishes to enroll must have a minimum of 5 days of accrued sick time on the books.

4. "Catastrophic illness or injury" means temporary disability or incapacity resulting from a life threatening illness or injury or illness or injury of other catastrophic proportion as determined by the Director. Factors considered by the Director shall include the length of time the employee must be absent from work due to illness or injury. Catastrophic illness or injury may be due to, but not limited to, cancer, heart disease, stroke or another serious illness or injury resulting in an employee missing more than 25 work days.

5. "Personal catastrophic illness or injury" means a catastrophic illness or injury to the employee or, if agreed upon by the agency head and the Director, members of the employee's immediate family. Factors to be considered in determining if an employee's immediate family members are covered include the nature and duration of the catastrophic illness or injury; whether the person is financially and emotionally dependent on the employee; whether the presence of the employee is needed; and whether the individuals are covered pursuant to collective bargaining negotiations. Immediate family shall mean spouse, civil union partner, child, parent or any person living in the employee's household for whom the employee has custodial responsibility.

c) Participation in the sick leave bank is voluntary on the part of any employee. Employees wishing to participate must be permanent full-time or part-time employees with a minimum of 6 months of service.

d) A participating employee may deposit into the sick leave bank as much accrued sick leave as desired provided that the participating employee shall retain in his or her own account at least 5 sick days [5 ILCS 400/10(b)].

e) Employees may voluntarily enroll at any time. Employees shall wait 60 calendar days after enrollment before utilizing the sick leave bank.

f) An employee may use up to 25 work days from the sick leave bank per 12-month period, except that participating employees shall not use sick leave accumulated in the sick leave bank until all of their accrued vacation, personal days, sick leave and compensatory time have been used. The Director may approve limits of other than 25 work days per 12-month period. Factors considered in determining if an alternate limit should be approved include:

1. the personnel jurisdiction governing the agency and employees in question;

2. whether limits have been established through collective bargaining negotiations;

3. the desire for uniformity among agency plans;

4. operational needs of the agency.

g) Any sick leave in the sick leave bank used by a participating employee shall be only for the personal catastrophic illness or injury of the employee and may not be transferred, returned or used for any other purpose.

h) Each State agency shall develop procedures, consistent with this Section, for establishing a single sick leave bank for all agency employees.

i) Injuries and illnesses that are compensable under the Workers' Compensation Act [820 ILCS 305] or Workers' Occupational Disease Act [820 ILCS 310] shall not be eligible for sick leave bank use.

j) Participating employees who transfer from one agency to another may transfer their participation in the sick leave bank [5 ILCS 400/10(f)].

k) An employee shall not be eligible to withdraw the sick leave time he or she has contributed to the bank.

l) Decisions affecting a participating employee's use of the sick leave bank may be submitted by the employee to a review committee. Unless otherwise approved by the Department, the committee shall consist of one agency representative and two Department representatives. In determining if alternative committee membership should be approved, the Department shall consider the jurisdiction governing the agency or employees in question. Decisions of review committees shall be final and binding; however, employees are permitted to submit additional medical documentation upon receipt of a denied application for use. The committee will review the additional medical documentation and make a determination for approval or denial based on the entirety of medical documentation provided.

m) Any abuse of the use of the sick leave bank shall be investigated by the agency and the Department and upon a finding of wrongdoing on the part of a participating employee, that employee shall repay all sick leave days drawn from the sick leave bank and shall be subject to other disciplinary action [5 ILCS 400/10(h)].

History

• Source: Amended at 44 Ill. Reg. 18311, effective October 30, 2020

80 Ill. Adm. Code 303.115 Veterans Hospital Leave

An employee who is also a veteran shall be permitted 4 days with pay per year to visit a veterans hospital or clinic for examination of a military service-connected disability. The 4 days shall not be charged against any sick leave currently available to the employee [20 ILCS 415/8b.20].

History

• Source: Amended at 33 Ill. Reg. 6503, effective April 23, 2009

80 Ill. Adm. Code 303.120 Furlough Program

a) Definition

1. "Employee" includes less than full-time, full-time, intermittent, per diem, temporary, emergency and provisional employees.

2. "Furlough" is a timekeeping status in which an employee is placed for a temporary period of leave without duties or pay because of conditions that require an agency to curtail its operations; a furlough program may be either voluntary or involuntary at the discretion of the agency head. Furlough is a tool to continue State services with minimal disruption and retain valuable employees at reduced cost. The employee's employment status shall not change because of the furlough. Furlough shall not change the employee's continuous or creditable service dates for the purpose of annual evaluations, retirement or longevity, the employee's health or life insurance coverage or the employee's accrual of vacation, sick or personal time. Employees on furlough shall not be at work or on standby or on-call duty and shall not perform State work during furlough time. Furlough shall not be used when permanent or temporary layoff or emergency shut-down is appropriate. Furlough shall not be used as a substitute for permanent part-time employment. Furlough shall not be a means or form of discipline. Employees on paid military leave or other unpaid leave shall not be scheduled for furlough during the leave and shall be scheduled upon return to work if the furlough program remains in effect.

3. "Furlough-Exempt Employee" means a uniform, narrow definition of "furlough-exempt" shall be applied throughout the furlough program by the agency head. Furlough-exempt employees may include employees:

A) in 24/7 facilities, to ensure adequate service delivery and staff coverage, and who would have to be replaced at a higher cost than the costs saved through furlough;

B) who perform critical functions of the agency, or protect the safety and health of employees, clients or patients of the agency or the public;

C) who are paid 100% by federal funds; and

D) who are in revenue-generating positions that generate more money than the costs that would be saved by furlough.

b) Program Approval − An agency head, with prior approval from the Office of the Governor and the Director of Central Management Services, may institute a furlough program. The agency shall provide advanced notification to affected employees as soon as practicable. An agency head shall indicate whether the furlough is for the entire agency or a designated division or program, the initial effective date of the program, the number of days that employees shall be on furlough and the end date of the furlough program. Agencies shall track which employees have taken furlough and the cost savings to the State.

c) Furlough Time − Furlough time shall be scheduled in a manner that is consistent with the operating needs of the agency. Furlough may be taken in full or ½ day increments only and may be nonconsecutive. Employees on schedules with shortened workweeks shall take furlough time on a prorated basis. Sick time, accumulated holiday time, Earned Equivalent Time (EET), and compensatory time shall not be used to remain in pay status while on furlough. Accrued vacation time and accrued personal time may be used by employees subject to a non-bargaining unit furlough program to remain in pay status while on furlough. Taking a furlough day before or after a holiday shall not result in loss of pay for the holiday. Furlough time shall not count toward overtime. Conflicts regarding scheduling furlough time shall be resolved based first on the operational needs of the agency and second by continuous service date. All furlough time shall be pre-approved. Previously charged unpaid time (unexcused absence, unauthorized absence, excused absence or suspension time) shall not be used to meet an employee's furlough obligation. Employees subject to a non-bargaining unit furlough program may elect to take a furlough day on a holiday; however, an agency shall not mandate that an employee take a furlough day on a holiday.

d) Time Sheets – Furloughs shall be indicated by a daily entry of FD (Furlough Day) on an employee's time sheet. In the event an employee elects to utilize a vacation or personal day in the place of a non-bargaining unit furlough day, the employee's time sheet shall indicate an entry of FV (Furlough, Vacation) or FP (Furlough, Personal).

e) Furlough Time Value – The value of a furlough day is worth exactly the same amount of money regardless of the number of days in the pay period and is computed by dividing the annualized rate of pay by the total number of days in a work year as filed with the Department of Central Management Services. Regularly recurring items, such as longevity pay, shift differential, bilingual pay, and other premium pay items that are paid each month, are included in determining the regular monthly rate. Agencies shall not use temporary or interim assignment pay to determine the value for employees on temporary or interim assignment. The value of the deducted day will be subtracted from the semi-monthly rate. Employees taking furlough on a day when their scheduled number of work hours varies from the employing agency's normal work schedule on that day are only required to furlough the number of hours in that employing agency's normal schedule. For example, an employee who is scheduled to work 10 hours on a furlough day in an agency with a normal work schedule of 7.5 hours will furlough 7.5 hours and either work the remaining 2.5 hours or utilize benefit time (vacation, personal, accumulated holiday, EET or compensatory time) for the remaining 2.5 hours that day. The value of such furloughed hours is determined by computing the annualized hourly rate (i.e., annual salary divided by the hours in a regular annual work schedule, 1957.5, for example), multiplying the rate by the number of furlough hours taken and deducting that amount from the annual salary.

History

• Source: Amended at 35 Ill. Reg. 1587, effective January 14, 2011

80 Ill. Adm. Code 303.125 Leave for Personal Business

a) All employees, excepting those in emergency, per diem or temporary status shall be permitted 3 personal days off each calendar year with pay. Beginning with calendar year 1995, in the event an employee does not use sick leave in any calendar year, the employee shall be awarded 1 additional personal day on January 1 of the next calendar year. Beginning with July 1, 1997, a part-time employee who works at least half-time shall be awarded pro-rated additional personal leave on January 1 when the employee has not used sick leave during the previous calendar year. A calendar year for purposes of this provision is the period beginning January 1 and ending December 31 of each year. Such personal days may be used for such occurrences as observance of religious holidays, Christmas shopping, absence due to severe weather conditions, or for other similar personal reasons, but shall not be used to extend a holiday or annual leave except as permitted in advance by the operating agency through prior written approval. Employees entitled to receive such leave who enter service during the year shall be given credit for such leave at the rate of ½ day for each 2 months service for the calendar year in which hired. Such personal leave may not be used in increments of less than ½ hour at a time. Except for those emergency situations which preclude the making of prior arrangements, such days off shall be scheduled sufficiently in advance to be consistent with operating needs of the employer. Supervisors may, however, grant employee requests to use personal leave in increments of ¼ hour, after a minimum use of ½ hour.

b) Personal leave shall not accumulate from calendar year to calendar year; nor shall any employee be entitled to payment for unused personal leave upon separation from the service except as provided in Section 8c(2) of the Personnel Code. The accrued leave amount paid under this Section of the Personnel Code shall be certified in writing to the employee by the employing agency. This certification may be held by the employee or forwarded to the Retirement System.

c) Employees subject to a non-bargaining unit furlough program may substitute accrued personal leave for furlough time in order to remain in paid status. Utilization of accrued personal leave for furlough must be in ½ day or full day increments and must be in accordance with furlough program requirements.

History

• Source: Amended at 35 Ill. Reg. 1587, effective January 14, 2011

80 Ill. Adm. Code 303.130 Parental Leave

a) All employees will be eligible for 10 weeks (50 work days) of paid parental leave, per twelve (12) month period which begins upon birth, for each pregnancy resulting in births or multiple births. The State shall require proof of pregnancy at least 30 days prior to the expected due date, as well as proof of the birth. In addition, employees will be required to provide proof of a parent-child relationship such as a birth certificate or other appropriate documentation.

b) New Adoption

1. All employees will be eligible for 10 weeks (50 work days) of paid parental leave per twelve (12) month period for a new adoption. If the adoption occurs after foster placement, the leave is permitted only if the child or children has/have not resided with the employee for more than three (3) years. The twelve (12) month leave period begins either:

A) when physical custody of the child or children has been granted to the employee, provided that the employee can show that the formal adoption process is underway; or

B) in cases of adoption following foster placement, upon filing of the Petition for Adoption.

2. The employee must:

A) notify the agency personnel office of intent to take leave as soon as the employee is aware of impending adoption;

B) submit proof of the legal status of the adoption, including proof of finalization; and

C) if applicable, submit documentation from a child welfare agency regarding the length of the child's residency with the employee.

c) Employees using leave under this Section must use the leave benefit in weeklong increments (5 consecutive working days).

d) If both parents are employees, they shall each be eligible for 10 weeks of paid leave, as set out in this Section, which may be taken consecutively or concurrently.

History

• Source: Amended by peremptory rulemaking at 43 Ill. Reg. 8590, effective July 26, 2019

80 Ill. Adm. Code 303.131 Leave in the Event of a Stillborn Child

All employees who provided proof of their pregnancy or that of their partner at least 30 days prior to the expected due date will be eligible for 5 weeks (25 work days) of paid leave in the event of a stillborn child. The State shall require proof of a stillbirth, such as a fetal death certificate or certificate of stillbirth. This leave shall be limited to one leave per employee for each stillbirth. In addition, employees may be required to provide proof of a parent-child relationship. Employees using leave under this Section must use the leave benefit immediately.

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.135 On-the-Job Injury – Industrial Disease

a) An employee who suffers an on-the-job injury or who contracts a service-connected disease shall be allowed full pay during the first 3 working days of absence without utilization of any accumulated sick leave or other benefits. Thereafter the employee shall be permitted to utilize accumulated sick leave or other benefits unless the employee has applied for and been granted temporary total disability benefits in lieu of salary or wages pursuant to provisions of the Workers' Compensation Act [80 ILCS 305] or through the State's self-insurance program.

b) In the event such service-connected injury or illness becomes the subject of payment of benefits provided in the Workers' Compensation Act by the Industrial Commission, the courts, the State self-insurance program or other appropriate authority, the employee shall restore to the State the dollar equivalent which duplicates payment received as sick leave or other accumulated benefit time, and the employee's benefit accounts shall be credited with leave time equivalents.

c) Employees whose compensable service connected injury or illness requires appointments with a doctor, dentist, or other professional medical practitioner shall, with supervisor approval, be allowed to go to such appointments without loss of pay and without utilization of sick leave.

History

• Source: Amended at 28 Ill. Reg. 16308, effective December 3, 2004

80 Ill. Adm. Code 303.140 Leaves of Absence Without Pay

a) Unless otherwise provided in this Subpart, an agency may grant leaves of absence without pay to employees for periods not to exceed 6 months and such leaves may be extended for good cause by the operating agency for additional 6 month periods.

b) Any employee, except an employee in a position or program financed in whole or in part by loans or grants made by the United States or any Federal agency, who is elected to State office, shall, upon request, be granted a leave of absence for the duration of the elected terms.

c) No emergency or temporary employee shall be granted leave of absence.

History

• Source: Amended at 19 Ill. Reg. 8130, effective June 7, 1995

80 Ill. Adm. Code 303.142 Leave to Attend Union Conventions

An employee who is a member of a union representing State employees and who has been selected as delegate, or alternate delegate to attend union conventions shall be allowed a leave of absence without pay, subject to the approval of the head of the agency in which employed, to attend said convention.

80 Ill. Adm. Code 303.145 Disability Leave

a) An employee who is unable to perform a substantial portion of his/her regularly assigned duties due to temporary physical or mental disability shall upon request be granted a leave for the duration of such disability.

b) In granting such leave or use of sick leave as provided in Section 303.90, the agency shall apply the following standards:

1. A substantial portion of regularly assigned duties shall be those duties or responsibilities normally performed by the employee which constitute a significant portion of the employee's time or which constitute the differentiating factors which identify that particular position from other positions, provided the balance of duties can be reassigned by the agency;

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

3. Except for service-connected disability as provided in Section 303.135, the employee shall have exhausted available sick leave provided under Section 303.90 prior to being granted a disability leave; an employee may use other accrued paid time for this purpose but is not required to do so;

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

5. As soon as an employee becomes aware of an impending period of disability, he/she shall notify the appropriate supervisor of such disability and provide a written statement by the attending physician of the approximate date the employee will be unable to perform his/her regularly assigned duties;

6. If the agency has reason to believe that the employee is able or unable to perform a substantial portion of his/her regularly assigned duties, it may seek and rely upon the decision of an impartial physician chosen by agreement of the parties or in the absence of such agreement upon the decision of an impartial physician who is not a State employee and who is selected by the State Employees' Retirement System.

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

d) An employee's disability leave shall terminate when said employee is no longer temporarily disabled from performing his/her regularly assigned duties.

1. An employee is no longer temporarily disabled when he/she is able to perform his/her regularly assigned duties upon advice of the appropriate authority or, in the absence of such authority, the attending physician.

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

3. In determining whether to approve a requested discharge of an employee for failure to return from a disability leave or for physical inability to perform the duties of a position, the Director may seek and rely upon the advice of the State Employees Retirement System or other appropriate authority, including an impartial physician selected in accordance with subsection (b)(6) of this Section.

e) Return from Disability Leave.

1. An employee who returns from a disability leave of 6 months or less shall be returned by the Agency to the same or similar position in the same class in which the employee was incumbent at the time the leave commenced.

2. An employee who returns from a disability leave exceeding 6 months and there is no vacant position available in the same class held by the employee at the commencement of such leave may be laid off in accordance with the Rules on Voluntary Reduction and Layoff, unless such leave resulted from service-connected disability, in which case the employee shall be returned to employment as in subsection (e)(1).

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

g) When the employer has requested a fitness for duty evaluation, pursuant to subsection (b)(6) of this Section, that determines the employee is unfit for duty and the employee's physician certifies the employee is fit for duty, the employer may rely upon the decision of the impartial physician as to the employee's fitness for duty. The examination shall be paid for by the employer.

History

• Source: Amended at 28 Ill. Reg. 16308, effective December 3, 2004

80 Ill. Adm. Code 303.148 Family Responsibility Leave

a) An employee who wishes to be absent from work in order to meet or fulfill responsibilities, as defined in subsection (f), arising from the employee's role in his or her family or as head of the household will normally, upon request and in the absence of another more appropriate form of leave, be granted a Family Responsibility Leave (FRL) for a period not to exceed one year. Employees shall not be required to use any accumulated benefit time prior to taking FRL. Such request shall not be unreasonably denied. The agency head will consider whether the need for the FRL is substantial, whether the action is consistent with the treatment of other similar situations and whether the action is equitable in view of the particular circumstances prompting the request.

b) Any request for FRL shall be submitted in writing by the employee not less than 15 calendar days in advance of the leave unless such notice is precluded by emergency conditions and shall state the purpose of the leave and the expected duration of absence.

c) FRL shall be granted only to a permanent full-time employee, except that an intermittent employee shall be non-scheduled for the duration of the required leave. An employee in temporary, emergency, provisional or trainee status shall not be granted FRL.

d) "Family responsibility", for purposes of this Section, is defined as the duty or obligation perceived by the employee to provide care, full-time supervision, custody or non-professional treatment for a member of the employee's immediate family or household under circumstances temporarily inconsistent with uninterrupted employment in State service [20 ILCS 415/8c(5)].

e) "Family" has the customary and usual definition for this term for purposes of this Section, that is:

1. group of 2 or more individuals living under one roof, having one head of the household and usually, but not always, having a common ancestry, and including the employee's spouse or civil union partner;

2. the natural relation of the employee, even though not living in the same household, as parent, sibling or child; or

3. adoptive, custodial and in-law individuals when residing in the employee's household or any relative or person living in the employee's household for whom the employee has custodial responsibility or persons living in the employee's household who are financially and emotionally dependant on the employee when the presence of the employee is needed, but excluding persons not otherwise related of the same or opposite sex sharing the same living quarters but not meeting any other criteria for family.

f) Standards for granting a Family Responsibility Leave are:

1. to provide nursing (breastfeeding) and/or custodial care for the employee's newborn infant, whether natural born or adopted;

2. to care for a temporarily disabled, incapacitated or bedridden resident of the employee's household or member of the employee's family;

3. to furnish special guidance, care or supervision of a resident of the employee's household or a member of the employee's family in extraordinary need of that guidance, care or supervision;

4. to respond to the temporary dislocation of the family due to a natural disaster, crime, insurrection, war or other disruptive event;

5. to settle the estate of a deceased member of the employee's family or to act as conservator, if so appointed, when providing the exercise of those functions precludes the employee from working; or

6. to perform family responsibilities consistent with the intention of this Section but not otherwise specified.

g) The agency shall require substantiation or verification of the need by the employee for FRL. The substantiation or verification shall be consistent with and appropriate to the reason cited in requesting the leave, such as:

1. a written statement by a physician or medical practitioner licensed under the Medical Practice Act of 1987 [225 ILCS 60] or under similar laws of Illinois or of another state or country or by an individual authorized by a recognized religious denomination to treat by prayer or spiritual means. The verification shall show the diagnosis, prognosis and expected duration of the disability requiring the employee's presence;

2. written report by a social worker, psychologist, or other appropriate practitioner concerning the need for close supervision or care of a child or other family member;

3. written direction by an appropriate officer of the courts, a probation officer or similar official directing close supervision of a member of the employee's household or family; or

4. an independent verification substantiating the need for FRL.

h) FRL shall not be renewed; however, a new leave shall be granted at any time for any reason consistent with subsection (f) other than that for which the original leave was granted.

i) If an agency has reason to believe that the condition giving rise to the given need for FRL no longer exists during the course of the leave, it should require further substantiation or verification and, if appropriate, direct the employee to return to work on a date certain.

j) Failure of an employee, upon request by the employing agency, to provide required verification or substantiation is cause, with due notice, for termination of the leave.

k) FRL shall not be used for purpose of securing alternative employment. An employee, during FRL, may not be gainfully employed full time, otherwise the leave shall terminate.

l) Upon expiration of an FRL or, prior to expiration, by mutual agreement between the employee and the employing agency, the agency shall return the employee to the same or similar position classification that the employee held immediately prior to the commencement of the leave. If such a position is not available, the employee will be subject to layoff in accordance with 80 Ill. Adm. Code 302.Subpart J (Voluntary Reduction, Transfer and Layoffs).

m) Nothing in this Section shall preclude the reallocation or abolition of the position classification of the employee during FRL, nor shall the employee be exempt from 80 Ill. Adm. Code 302.Subpart J by virtue of FRL.

n) The State shall continue payment of its portion of employee and dependent health and dental insurance premiums for up to 6 months while an employee is on a Family Responsibility Leave consistent with the Federal Family and Medical Leave Act of 1993 (29 USC 2601 et seq.) and subsections (f)(1), (2) and (3) of this Section. For leaves defined by subsections (f)(4), (5) and (6) of this Section, the State shall not continue payment of its portion of employee and dependent health and dental insurance premiums.

History

• Source: Amended at 36 Ill. Reg. 16200, effective November 1, 2012

80 Ill. Adm. Code 303.149 Organ Donor Leave

Leaves of absence shall be allowed to employees who donate an organ or bone marrow as provided in 80 Ill. Adm. Code 332.

History

• Source: Added at 27 Ill. Reg. 9008, effective May 23, 2003

80 Ill. Adm. Code 303.150 Employee Rights After Leave

When an employee returns from a leave of absence of six months or less, the agency shall return the employee to the same or similar position in the same class in which the employee was incumbent prior to commencement of such leave. Except for those leaves granted under Sections 303.155 and 303.160, when an employee returns from a leave or leaves exceeding six months and there is no vacant position available to him/her in the same class in which the employee was incumbent to such leave or leaves commencing, the employee may be laid off in accordance with the rules on voluntary reduction and layoffs.

80 Ill. Adm. Code 303.153 Failure to Return

Failure to return from leave within 5 days after the expiration date may be cause for discharge.

80 Ill. Adm. Code 303.155 Leave to Take Exempt Position

An agency may approve leaves of absence for certified employees who accept appointment in a position which is exempt from Jurisdiction B of the Personnel Code. Such leaves of absence may be for a period of one year or less and may be extended for additional periods of one year or less. At the expiration thereof, an employee shall be restored to the same or similar position in the same county from which the leave was granted upon making application of the employing agency with continuous service including the period of such leave.

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.160 Military and Peace Corps Leave

Leave of absence shall be allowed employees who enter military service or the Peace or Job Corps as provided in 80 Ill. Adm. Code 302.220 and 302.250 and as may be required by law.

80 Ill. Adm. Code 303.165 Family Military Leave

a) An employee who is the current spouse, civil union partner, parent, child or grandparent of a person called to military service lasting longer than 30 days with a state or the United States, pursuant to the order of the Governor or the President, who wishes to be absent from work in order to meet or fulfill responsibilities arising from the employee's role in his or her family or as head of the household, is eligible to request up to 30 days of unpaid Family Military Leave (FML) during the time the State or federal deployment orders are in effect.

b) The leave shall be granted to an employee who has been employed for at least 12 months and has worked at least 1,250 hours during the 12-month period immediately preceding the commencement of the leave.

c) Any request for FML shall be in writing by the employee submitted not less than 14 calendar days in advance of the intended date the FML will commence if the leave will consist of 5 or more consecutive workdays. Employees requesting FML for less than 5 consecutive workdays shall give as much advance notice as is practicable. When able, the employee shall consult with the employer to schedule the leave so as not to unduly disrupt the operations of the employer.

d) Except in cases of emergency, FML shall be taken in full day increments only. The employee will be required to document the reason for the emergency nature of the need for leave in writing within two days after the employee's return to work.

e) The employee shall provide certification from the proper military authority to verify eligibility for the FML requested.

f) An employee shall not be eligible to take FML unless he or she has exhausted all accrued vacation leave, personal leave, compensatory leave, equivalent earned time, maternity/paternity leave, and any other time away from work with pay. Exceptions to this exhaustion requirement are sick leave, disability leave and unpaid leave under the Federal Family and Medical Leave Act of 1993 (29 USC 2601 et seq.).

g) Upon expiration of the FML, the employee is entitled to be restored to the position held by the employee when the leave commenced or to an equivalent position. These restoration rights do not apply if the employer establishes that the restoration is denied due to conditions unrelated to the employee's exercise of rights under the Family Military Leave Act [820 ILCS 151].

h) An intermittent employee shall be nonscheduled for the duration of the required leave.

i) This leave will not extend to any type of appointment that is 6 months or less in duration.

j) Time utilized under the Family Military Leave Act is not deducted from an employee's continuous service, vacation accrual or seniority date.

History

• Source: Added at 36 Ill. Reg. 8661, effective May 30, 2012

80 Ill. Adm. Code 303.166 Civil Air Patrol Leave

a) An employee is eligible to request up to 30 days of unpaid Civil Air Patrol Leave (CAPL) to perform a civil air patrol mission.

b) CAPL shall be granted to an employee who has been employed for at least 12 months and has worked at least 1,250 hours during the 12-month period immediately preceding the commencement of the leave.

c) Any request for CAPL shall be in writing by the employee and submitted not less than 14 calendar days in advance of the intended date the CAPL will commence if the leave will consist of 5 or more consecutive workdays. Employees requesting CAPL for less than 5 consecutive workdays shall give as much advance notice as is practicable. When able, the employee shall consult with the employer to schedule the leave so as not to unduly disrupt the operations of the employer.

d) The employee shall provide certification from the Civil Air Patrol authority to verify eligibility for the CAPL requested.

e) An employee eligible to take CAPL shall not be required to have exhausted all accrued vacation leave, personal leave, compensatory leave, equivalent earned time, maternity/paternity leave, sick leave, disability leave, and any other time away from work with pay.

f) Upon expiration of the leave, the employee is entitled to be restored to the position held by the employee when the leave commenced or to an equivalent position. These restoration rights do not apply if the employer establishes that the restoration is denied due to conditions unrelated to the employee's exercise of rights under the Civil Air Patrol Leave Act [820 ILCS 148].

g) During any CAPL, an employee shall be allowed to continue his or her benefits at his or her own expense, unless previously negotiated with the employer.

h) An intermittent employee shall be nonscheduled for the duration of the required leave.

i) This leave will not extend to any type of appointment that is 6 months or less in duration.

j) Time utilized under the Civil Air Patrol Leave Act is not deducted from an employee's continuous service, vacation accrual or seniority date.

History

• Source: Added at 36 Ill. Reg. 8661, effective May 30, 2012

80 Ill. Adm. Code 303.170 Military Reserve Training and Emergency Call-Up

a) Any full-time employee who is a member of a reserve component of the Armed Services, the Illinois National Guard or the Illinois Naval Militia, shall be allowed annual leave with pay for one full pay period and such additions or extensions to fulfill the military reserve obligation. Such leaves will be granted without loss of seniority or other accrued benefits.

b) In the case of an emergency call-up (or order to State active duty) by the Governor, the leave shall be granted for the duration of said emergency with pay and without loss of seniority or other accrued benefit. Military earnings for the emergency call-up paid under "An Act to establish a Military and Naval code for the State of Illinois and to establish in the Executive Branch of the State Government a principal department which shall be known as the Military and Naval Department, State of Illinois and to repeal an Act therein named (Ill. Rev. Stat. 1981, ch. 129, pars. 220.01 et seq.)" must be submitted and assigned to the employing agency, and the employing agency shall return it to the payroll fund from which the employee's payroll check was drawn. If military pay exceeds the employee's earnings for the period, the employing agency shall return the difference to the employee.

c) To be eligible for military reserve leave or emergency call-up pay, the employee must provide the employing agency with a certificate from the commanding officer of his/her unit that the leave taken was for either such purpose.

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

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

History

• Source: Amended at 6 Ill. Reg. 10663, effective August 25, 1982

80 Ill. Adm. Code 303.171 Leave for Military Physical Examinations

Any permanent employee drafted into military service shall be allowed up to three days leave with pay to take a physical examination required by such draft. Upon request, the employee must provide the employing agency with certification by a responsible authority that the period of leave was actually used for such purpose.

80 Ill. Adm. Code 303.175 Disaster Service Leave with Pay

a) Any employee, except those in temporary, emergency or per diem status, who is a certified disaster service volunteer of the American Red Cross or volunteers for assignment to the Illinois Emergency Management Agency in accordance with the Illinois Emergency Management Agency Act [20 ILCS 3305] or the Emergency Management Assistance Compact Act [45 ILCS 151] may be granted leave with pay for up to 20 working days in any 12-month period for disasters within the United States or its territories. The leave may be granted upon request of the American Red Cross or the Illinois Emergency Management Agency for employees to participate in specialized disaster relief services for the American Red Cross or for the Illinois Emergency Management Agency. Leaves under this Section are subject to approval of the employee's agency considering operating needs.

b) Disasters must be either:

1. disasters designated at a Level III and above in the American National Red Cross Regulations and Procedures; or

2. any disaster declared by proclamation of the Governor under Section 7 of the Illinois Emergency Management Agency Act [5 ILCS 335/2].

c) The American Red Cross and the Illinois Emergency Management Agency shall coordinate requests for services outside of Illinois through the Illinois State Emergency Operations Center.

History

• Source: Amended at 36 Ill. Reg. 8661, effective May 30, 2012

80 Ill. Adm. Code 303.176 Disaster Service Leave with Pay - Terrorist Attack

In order to provide needed volunteer assistance in response to the terrorist attack that occurred on September 11, 2001, any employee, excepting those in temporary, emergency or per diem status, may be granted leave with pay for up to 20 working days in any 12 month period if such leave is requested by the American Red Cross or the Illinois Emergency Management Agency and approved by the employee's agency.

History

• Source: Added at 26 Ill. Reg. 1138, effective January 18, 2002

80 Ill. Adm. Code 303.180 Attendance in Court

a) Any permanent employee called for jury duty or subpoenaed by any legislative, judicial or administrative tribunal, shall be allowed time away from work with pay for such purposes. Upon receiving the sum paid for jury service or witness fee, the employee shall submit the warrant, or its equivalent, to the agency to be returned to the fund in the State Treasury from which the original payroll warrant was drawn. Provided, however, an employee may elect to fulfill such call or subpoena on accrued time off and personal leave and retain the full amount received for such service.

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

80 Ill. Adm. Code 303.190 Authorized Holidays

All employees shall have time off, with full salary payment, on the day designated as a holiday for the following:

New Year's Day

Martin Luther King Day

Lincoln's Birthday

Washington's Birthday

Memorial Day

Juneteenth

Independence Day

Labor Day

Columbus Day

Veterans' Day

Thanksgiving Day

Christmas Day

General Election Day

(on which Members of the House of Representatives are elected)

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

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.200 Holiday Observance

Whenever an authorized holiday falls on Saturday, the preceding Friday shall be observed as the holiday and whenever an authorized holiday falls on Sunday, the following Monday shall be so observed.

80 Ill. Adm. Code 303.215 Payment for Holidays

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

80 Ill. Adm. Code 303.220 Holiday During Vacation

When a holiday falls on an employee's regularly scheduled work day during the employee's vacation period, an extra day shall be added to the employee's vacation.

80 Ill. Adm. Code 303.225 Eligibility for Holiday Pay

To be eligible for holiday pay, the employee shall work the employee's last scheduled work day before the holiday and first scheduled work day after the holiday, unless absence on either or both of these work days is for good cause and approved by the operating agency.

80 Ill. Adm. Code 303.250 Vacation Eligibility

a) Employees, except emergency and temporary employees, shall earn vacation time. No employee on leave of absence may earn vacation except when the leave was for the purpose of accepting a temporary working assignment in another class.

b) Eligible employee shall earn vacation time in accordance with the following schedule:

1. From the date of hire until the completion of 5 years of continuous service: 10 workdays per year of employment.

2. From the completion of 5 years of continuous service until the completion of 9 years of continuous service: 15 workdays per year of employment.

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

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

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

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

c) Vacation time shall be earned in workdays and computed in hours. After an employee's earned vacation time has been so computed, if there remains a fractional balance of ½ hour or less, the employee shall be deemed to have earned vacation time of ½ hour in lieu of the fractional balance. If there remains a fractional balance of more than ½ hour, the employee shall be deemed to have earned a full hour of vacation time in lieu of a fractional balance.

d) Computation of vacation time of State employees who have interrupted continuous State service shall be determined as though all previous State service that qualified for earning of vacation benefits is continuous with present service. This subsection (d) applies to vacation time earned on or after October 1, 1972.

e) The Director may establish a plan for the determination of incoming vacation time upon entry to state service for individual employees not subject to a collective bargaining agreement.

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.260 Prorated Vacation for Part-Time Employees

Part-time employees shall earn vacation in accordance with the schedule set forth in Section 303.250 on a prorated basis determined by a fraction the numerator of which shall be the hours worked by the employee and the denominator of which shall be normal working hours in the year required by the position.

80 Ill. Adm. Code 303.270 Vacation Schedule and Loss of Earned Vacation

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

b) In any calendar year in which an employee is subject to one or more non-bargaining unit furlough programs and completes full participation as verified by the employing agency in all such programs to which the employee was subject, vacation time that would have been lost will instead be permitted to accumulate for an additional 12 months.

c) Vacation time may be taken in increments of not less than ¼ hour after a minimum use of ½ hour any time after it is earned. Employees subject to a non-bargaining unit furlough program may substitute accrued vacation time for furlough time in order to remain in paid status. Utilization of accrued vacation time for furlough must be in ½ day or full day increments and must be in accordance with furlough program requirements.

History

• Source: Amended at 35 Ill. Reg. 1587, effective January 14, 2011

80 Ill. Adm. Code 303.290 Payment in Lieu of Vacation

a) Upon termination of employment by means of resignation, retirement, indeterminate layoff, or discharge, provided the employee is not employed in another position in state service within 4 calendar days of such termination, an employee is entitled to be paid for any vacation earned but not taken or forfeited pursuant to Section 303.270, provided the employee has at least 6 months of continuous service since the latest date of appointment. No other payment in lieu of vacation shall be made except as provided by Section 303.295.

b) The payment provided in subsection (a) above shall not be deemed to extend the effective date of termination by the number of days represented by said payment.

c) The payment provided in subsection (a) above shall be computed by multiplying the number of days (hours) of accumulated vacation by the employee's daily (hourly) rate as determined in accordance with 80 Ill. Adm. Code 310.520(a).

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

e) The accrued leave amount shall be certified in writing to the employee by the employing agency. This certification may be held by the employee or forwarded to the Retirement System.

History

• Source: Amended at 16 Ill. Reg. 8368, effective May 21, 1992

80 Ill. Adm. Code 303.295 Vacation Benefits on Death of Employee

a) Upon the death of a State employee, the person or persons specified in Section 14a of "An Act in relation to State Finance" (Ill. Rev. Stat. 1981, ch. 127, par. 150a), as amended, shall be entitled to receive from the appropriation for personal services theretofore available for payment of the employee's compensation such sum for any accrued vacation period to which the employee was entitled at the time of death.

b) Such sum shall be computed by multiplying the employee's daily rate by the number of days of accrued vacation due.

80 Ill. Adm. Code 303.300 Work Schedules

Each operating agency shall establish its regular work schedule and submit it to the Department for approval. No work schedules of less than 37½ hours per week shall be approved as a regular work week. Any schedule varying from the regular work schedule shall be submitted to the Department for approval. Upon approval, such schedule shall become the work schedule for the employees affected by it for the time period so approved.

80 Ill. Adm. Code 303.310 Emergency Shut-Down

a) An agency may request an emergency shut-down of a facility when there occurs a disruption of work at the work site caused by a condition beyond the control of the agency, such as equipment failure, fire, flood, snow, tornado or other natural disaster, or interruption of essential services such as water or electricity.

b) An emergency shut-down may not exceed five consecutive work days, and requires prior approval of the Director or may be directed by the Governor's Office. It is the responsibility of the requesting agency to notify affected employees of this action. The agency shall attempt to reassign affected employees to alternative work locations during the period the facility is shut down. For employees the agency is unable to reassign, time in non-work status as a result of the emergency shut down is with pay. Those employees on approved sick leave or vacation at time of shut-down shall be reported in accordance with the prior approved absence.

History

• Source: Amended at 23 Ill. Reg. 13815, effective November 4, 1999

80 Ill. Adm. Code 303.320 Overtime

a) For those positions approved by the Director and designated on lists maintained by the Director, authorized work in excess of an approved work schedule shall be overtime. Such work may be compensated for in cash or compensatory time as determined by the agency provided such designation is in accordance with the Fair Labor Standards Act, as amended. Overtime work shall be distributed as equitably as possible among qualified employees competent to perform the services required, when overtime is required, and employees shall be given as much advance notice as possible.

b) Compensatory time, if any is earned hereunder, shall be scheduled at the convenience of the agency after consideration of the employee's preference, but within the fiscal year during which such time was earned. If such compensatory time is not liquidated within the fiscal year during which earned, it shall be liquidated in cash at the end of the fiscal year.

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.330 Overtime Payable Upon Death

Upon death of a State employee, the person or persons specified in Section 14a of the State Finance Act [30 ILCS 105/14a] as now or hereafter amended, shall be entitled to receive from the appropriation for personal services theretofore available for payment of the employee's compensation such sum for accrued overtime as would have been paid or allowed to such employee had the employee survived.

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.340 Attendance Records

Each operating agency shall maintain accurate, daily attendance records.

80 Ill. Adm. Code 303.350 Notification of Absence

An employee shall, whenever possible, provide advance notice of absence from work. Absence of an employee for five consecutive workdays without reporting to the operating agency may be cause for discharge.

80 Ill. Adm. Code 303.355 Review of Attendance Records

An employee shall have the right to review his/her attendance record on file in his/her operating agency.

80 Ill. Adm. Code 303.360 Undated Forms

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

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.370 Incomplete Forms

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

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.380 Reason for Separation

Employees resigning from state employment must set forth their reason(s) for resignation in writing. The document effecting such resignation from state employment shall contain or have attached the reason for the separation. If an employee fails to provide written notice of resignation from state employment, documentation of such failure shall be attached to the document effecting such resignation from state employment.

History

• Source: Amended at 48 Ill. Reg. 9537, effective June 20, 2024

80 Ill. Adm. Code 303.385 Repayment of Benefit Time

An employee who returns to employment in any capacity with the same agency within 30 days after termination of previous employment must, as a condition of employment, repay the lump sum amount paid for accrued vacation, overtime and sick leave within 30 days after employment commences. The amount repaid shall be deposited into the fund from which the payment was made or the General Revenue Fund. Upon repayment, the leave time shall be credited to the account of the employee.

History

• Source: Added at 16 Ill. Reg. 8368, effective May 21, 1992

80 Ill. Adm. Code 303.390 Tuition Reimbursement

a) Tuition reimbursement is intended to serve as a management tool for the development of employees and for the attainment of agency goals. It should be administered as a mechanism through which mutual advantages are gained by both the employee and the State. Tuition reimbursement is not an unconditional or unilateral employee right or benefit.

b) Each agency is responsible for providing budgetary funding for its tuition reimbursement program. The policy administered pursuant to these rules is not intended to alter, replace or diminish the content or use of Federal Grant in Aid, agency sponsored stipend or educational leave of absence programs. In administering this policy, other programs should be distinguished from tuition reimbursement programs and treated separately.

c) Policy Guidelines.

The following tuition reimbursement guidelines have been developed so as to provide maximum flexibility and a framework within which a decentralized, but uniform, policy can be administered. These guidelines do not preclude agencies from imposing additional requirements or procedures with regard to tuition reimbursement in response to unique training requirements or budgetary restrictions.

1. Eligibility: Any full time employee is eligible for reimbursement consideration. Employees hired on a temporary or emergency basis are not eligible for consideration.

2. Tuition and Fees: Reimbursement will apply only toward tuition and lab fees. Additional costs such as for books, matriculation, activity and health fees will not be reimbursable expenses.

3. Reimbursement: Reimbursement is not to exceed 100% of tuition and lab costs at public institutions, and 80% at private institutions. Agencies may establish an annual dollar cap per employee, depending upon funds available for the program.

4. Satisfactory Course Completion: Reimbursement for an approved course is contingent upon the employee submitting evidence of satisfactory completion (e.g., at least a grade of "C") together with receipts documenting the amount of tuition moneys paid. Reimbursement will be accomplished by means of a standard invoice voucher. At no time shall tuition be paid or reimbursed prior to completion of the course.

5. Course Load: Course load should be mutually agreed upon by the employee and his or her supervisor and should not harm an employee's on-the-job effectiveness.

6. Course Scheduling: Education and/or career development work should be scheduled as an off-duty activity. When a desired course is not available as an off-duty activity, an employee may use vacation or personal time. An employee and his or her supervisor may also arrange a flexible work schedule, provided such a schedule does not adversely affect work loads in his or her unit of assignment.

7. Full Participation: Priority should be given to those courses in which full participation is required on a regular basis and where final grades are issued since such conditions provide a reasonable basis against which satisfactory completion can be measured. In those cases where facilities for full participation in classroom instruction are not available or where attendance creates undue hardship, an agency director may approve enrollment in V.A. approved correspondence courses.

8. Degree Program: Reimbursement may be approved for work-related courses which are taken to complete requirements for a grammar school certificate or high school diploma, and for courses that lead to the upgrading of skills for the performance of an employee's assigned work responsibilities. Reimbursement may also be approved for work-related courses toward completion of college or graduate level degree programs.

9. Enrollment: Applicants will be required to gain approval from their supervisors and agency director (or authorized representative) prior to course enrollment.

10. Aid From Other Source: In applying for tuition reimbursement, an employee will indicate whether (s)he is or is not receiving aid from other sources (such as the G.I. bill, Federal Grants, Scholarships, etc.). The fact that an employee is eligible for or receiving aid from another source does not render him or her ineligible for participation in the Tuition Reimbursement Program. However, tuition reimbursement should be made only toward the balance between the outside aid awarded and the remaining tuition due.

11. Exclusions: Reimbursement is not intended to apply to in-service training conducted within the agency, nor is it intended to apply to workshops, professional conferences, seminars, or other short term programs.

d) Work Commitment/Pay Back. Employees receiving tuition reimbursement from the State shall incur a work commitment to the State.

1. Except as provided in subsection (d)(6) below, if State-paid training did not lead to a post secondary degree, employees shall be obligated to continue in the employ of the State for a period of at least 18 months following completion of the most recent course.

2. If State-paid training did lead to a post secondary degree (i.e., Bachelors, Masters or other higher level professional or post graduate degree) and the State paid for 50% or more of the hours required to earn the degree, employees shall be obligated to continue in the employ of the State for a minimum of four (4) years after receiving the degree. Course work begun before January 1, 1992, shall not be counted as part of the 50% requirement under this Section.

3. The tuition reimbursement agreement that is executed pursuant to this Section may require the employee to provide written status reports on his/her progress toward receiving a post secondary degree.

4. If the employee voluntarily leaves State employment prior to fulfilling this work commitment, the agency that paid the tuition may recover payments in addition to interest at the rate of 1% per month from the time the State makes the payment until the time the State recovers the payment.

5. The amount owed by an employee shall be reduced by 25% for each year the employee works for the State after the employee receives a post secondary degree, or by 1/18th of the gross amount for each month the employee works for the State after completing the most recent course which does not lead to a post secondary degree.

6. This Section may not be used as the basis for recovering payments for course work that was started before January 1, 1992; was completed as a requirement for a grammar school certificate or a high school diploma; was to prepare for a high school level General Educational Development Test or to improve literacy or numeracy; specialized training in the form of a conference, seminar, workshop or similar arrangement offered by public or private organizations; was provided as part of the Upward Mobility Program administered by the Department of Central Management Services; or was a condition of continued employment.

History

• Source: Added at 19 Ill. Reg. 8130, effective June 7, 1995

Part 304 General Provisions

80 Ill. Adm. Code 304.10 Public Records

Except as otherwise provided in this Part, all records of the Department of Central Management Services, including eligible lists, shall be public records and shall be available for inspection on request to the Director.

80 Ill. Adm. Code 304.20 Time and Manner of Inspection

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

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

80 Ill. Adm. Code 304.30 Employee Records

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

History

• Source: Amended at 48 Ill. Reg. 8757, effective June 5, 2024

80 Ill. Adm. Code 304.40 Confidential Records

The following records of the Department of Central Management Services shall be confidential and not available for public inspection.

a) Personal history of employee. The employee or authorized agent may inspect the employee's personal history and personnel file.

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

c) All parts of examinations. An employee or applicant may inspect the employee's answer sheet or equivalent.

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

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

History

• Source: Amended at 48 Ill. Reg. 8757, effective June 5, 2024

80 Ill. Adm. Code 304.45 Examination Material

All test and/or examination materials are confidential and are the property of the Department of Central Management Services. No examination candidate shall copy, record or transcribe any examination or answer, nor remove from the examination room, or equivalent, any test booklet, answer sheet or other papers or materials related to the content of such examination, under penalties as set forth in the Personnel Code. No person shall remove any examination materials from the State premises or designee premises, nor shall any Department of Central Management Services employee communicate the content of any examination or answers to questions therein, orally or in writing, to any other person except in the usual course of the employee's duties or by direction of lawful authority, under penalties of the Personnel Code.

History

• Source: Amended at 48 Ill. Reg. 8757, effective June 5, 2024

80 Ill. Adm. Code 304.50 Portability of Certain Benefits

Vacation and sick leave earned but not taken by State employees in the course of State employment not subject to the Personnel Code shall be deemed to have been earned by them at the time he/she becomes subject to such jurisdiction to the extent such benefits are provided and would have been earned hereunder.

History

• Source: Amended at 4 Ill. Reg. 11, p. 67, effective March 1, 1980

80 Ill. Adm. Code 304.55 Prohibited Disclosure (repealed)

History

• Source: Repealed at 48 Ill. Reg. 8757, effective June 5, 2024

80 Ill. Adm. Code 304.60 Provisions: Grant-in-Aid Agencies

To the extent required for grant eligibility by Federal laws, any State department or agency administering a program financed in whole or in part by Federal funds shall have personnel rules or regulations applicable to such grant-in-aid programs including:

a) the authority to make appointments to vacancies, promotions, reassignments and transfers, including geographical transfers, demotions, suspensions, discharges, and to take any other disciplinary actions; except that all employees shall retain such rights of appeal and hearing to the Civil Service Commission as provided in the Personnel Code and the Personnel Rules.

b) prohibition of exemption of positions pursuant to the provisions of Section 4d(3) of the Personnel Code, except those specifically permitted under the "Federal Standards for a Merit System of Personnel Administration" of the United States Department of Labor.

c) the authority to make provisional and temporary appointments in the absence of a register of eligibles, and then only pending competitive examination. Each such appointee must meet the minimum qualifications established for the class of positions, and no individual may receive successive provisional, temporary or emergency appointments.

80 Ill. Adm. Code 304.70 Effective Date of Rules

These rules and amendments thereto shall become effective upon filing copies with the Secretary of State, except that, in case of emergency, these rules and 80 Ill. Adm. Code 301, 302, 303 and 305, or amendments thereto, may become effective immediately upon such filing if accompanied by a certificate executed by the Director pursuant to applicable provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.).

80 Ill. Adm. Code 304.80 Savings Clause

If any Section, or part of any Section, of 80 Ill. Adm. Code 304, Subtitle B, Chapter I and 80 Ill. Adm. Code 301, 302, 303 and 305 shall be held invalid, the remaining provisions of these Parts shall have, and be given, full force and effect as completely as if the invalidated part had not been included therein.

80 Ill. Adm. Code 304.110 Interpretation and Application of Rules

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

Part 305 Extensions of Jurisdiction

80 Ill. Adm. Code 305.50 Extends Jurisdiction A, B & C

a) Professional Service of the State Library, July 1, 1964, the Business Machines Professional Service of the Driver's License Division in the Office of the Secretary of State, August 16, 1964.

b) Banking Division of the Office of the State Treasurer, August 2, 1966.

c) Data Processing Division in the Internal Auditing Division and in the Municipal County Public Moneys Code Auditing Division in the Office of the Auditor of Public Accounts, March 7, 1968.

80 Ill. Adm. Code 305.60 Extends Jurisdiction A, B & C (july 1, 1970)

Switchboard Operator Section of the Office of the Secretary of State transferred to the Telecommunications Division of the Department of General Services pursuant to P.A. 76-1029 (Ill. Rev. Stat. 1981, ch. 127, par. 63(b)13.18).

80 Ill. Adm. Code 305.70 Extends Jurisdiction A, B & C (july 1, 1970)

Federal Surplus Property Unit of the Department of General Services.

80 Ill. Adm. Code 305.80 Extends Jurisdiction A, B & C (august 1, 1970)

Office Supply Section of the Division of Purchases and Supplies, Department of General Services as the result of the passage of P.A. 76-1397 (Ill. Rev. Stat. 1981, ch. 127, par. 63(b)13.9) and P.A. 76-1398 (Ill. Rev. Stat. 1981, ch. 127, par. 144.16).

80 Ill. Adm. Code 305.90 Extends Jurisdiction A, B & C (august 1, 1971)

Illinois Law Enforcement Commission.

80 Ill. Adm. Code 305.100 Extends Jurisdiction A, B & C (november 16, 1971)

Division of Investigation of the Secretary of State.

80 Ill. Adm. Code 305.110 Extends Jurisdiction A, B & C (april 1, 1972)

The following Divisions, Bureaus, and Offices of the Secretary of State, except as otherwise herein provided:

Motor Vehicle Services for which code coverage does not currently exist, and the offices or divisions of Court of Claims, Personnel, Fiscal Control, Research, Corporation, Securities, Index, Uniform Commercial Code, Archives and Records, State Library, and Accounting Revenue and the Office of Building Management.

80 Ill. Adm. Code 305.120 Extends Jurisdiction A, B & C (may 1, 1972)

Technical and engineering positions hitherto exempt by virtue of the provisions of Section 4c(12) of the Personnel Code and among those specified in Public Act 77-246 in the Division of Real Estate and the Engineering Section of the Telecommunications Division of the Department of General Services.

80 Ill. Adm. Code 305.130 Extends Jurisdiction a & C (october 1, 1972)

Technical and engineering positions hitherto exempt by virtue of the provisions of Section 4c(12) of the Personnel Code, in the Construction Management Division of the Department of General Services.

80 Ill. Adm. Code 305.140 Extends Jurisdiction a & C (october 1, 1972)

Public Utility Accountants and Public Utility Engineers in the Public Utility Division of the Illinois Commerce Commission.

80 Ill. Adm. Code 305.150 Extends Jurisdiction A, B and C (november 1, 1972)

Motor Carrier Enforcement Officers including the Assistant Supervisor and Supervisor, in the Motor Carrier Enforcement Section of the Motor Carrier of Property Division of the Illinois Commerce Commission.

80 Ill. Adm. Code 305.160 Extends Jurisdiction B, Except 8b.1, 8b.3 and 8b.5 (january 1, 1973)

All Chaplain positions in the Department of Corrections, the Department of Mental Health, and the Department of Children and Family Services.

80 Ill. Adm. Code 305.170 Extension of Jurisdiction

Effective June 1, 1977, Jurisdiction A, B and C of the Personnel Code will be extended to all non-Code employees of the Divisions of Cash Management, Time Deposit and Collateral, Accounting, Warrant, and Electronic Data Processing of the State Treasurer's Office. Employees of these divisions serving prior to June 1, 1977, will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All appointments subsequent to June 1, 1977, will be made pursuant to provisions of the Illinois Personnel Code and the Rules of the Department of Central Management Services. No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and Rules of the Department of Central Management Services will apply to employees of the above named divisions effective June 1, 1977.

80 Ill. Adm. Code 305.180 Termination of Extension of Jurisdiction

As provided for in Section 4b(4) of the Personnel Code, effective January 1, 1978, Jurisdiction A, B and C of the Personnel Code is terminated for those positions in the Office of the State Comptroller (formerly Auditor of Public Accounts) which were extended Jurisdiction as reflected in Section 305.50(c). No provision of this Section will affect the certified status of employees in their current positions.

80 Ill. Adm. Code 305.190 Extension of Jurisdiction

Effective January 1, 1979, Jurisdiction A, B and C of the Personnel Code will be extended to all employees in the Governor's Office of Manpower and Human Development. Employees employed prior to January 1, 1979, will be required to qualify within six months in the same kind of examinations as those required for entrance examinations for comparable positions. All appointments subsequent to January 1, 1979, will be made pursuant to provision of the Illinois Personnel Code and Rules of the Department of Central Management Services. No provision of this Section, in any way, affects the status of employees in the agency already holding certified status under the Illinois Personnel Code pursuant to Federal Merit System requirements. All other provisions of the Personnel Code and Rules of the Department of Central Management Services will apply to the employees being brought under the Code effective January 1, 1979.

History

• Source: Added at 3 Ill. Reg. 1, p. 61, effective January 1, 1979

80 Ill. Adm. Code 305.200 Third Extension of Jurisdiction to Office of the Treasurer

Effective December 15, 1986, Jurisdiction A, B and C of the Personnel Code will be extended to all non-Code employees in the Division of Administrative Services and the Division of Security of the Office of the State Treasurer. Employees of these divisions serving prior to December 15, 1986, will be required to qualify within six months in the same kind of examination as the entrance examination for a comparable position. All appointments in these divisions made subsequent to December 15, 1986, will be made pursuant to provisions of the Illinois Personnel Code and the Personnel Rules of the Department of Central Management Services. No provision of this Section in any way affects the status of any employee in the Office of the State Treasurer already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and the Personnel Rules of the Department of Central Management Services will apply to the employees of above named divisions effective December 15, 1986.

History

• Source: Added at 10 Ill. Reg. 21643, effective December 15, 1986

80 Ill. Adm. Code 305.210 Extends Jurisdiction A, B and C (december 1, 1998)

Effective December 1, 1998, Jurisdiction A, B and C of the Personnel Code will be extended to all current Military Security Guard I and II employees in the Department of Military Affairs. Employees of these positions serving prior to December 1, 1998 will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All appointments subsequent to December 1, 1998 will be made pursuant to provisions of the Illinois Personnel Code and Rules of the Department of Central Management Services.

History

• Source: Added at 22 Ill. Reg. 21302, effective December 1, 1998

80 Ill. Adm. Code 305.220 Extends Jurisdiction A, B and C (december 1, 1998)

Effective December 1, 1998, Jurisdictions A, B and C of the Personnel Code will be extended to previously non-Code employees of the Illinois Racing Board who are in positions identified by the Board, with concurrence of the Director of Central Management Services and the Civil Service Commission, as not meeting the criteria for exemption set forth in 230 ILCS 5/9(h). Employees serving, as of December 1, 1998, in positions to which the Personnel Code is extended will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All appointments subsequent to December 1, 1998 in such positions will be made pursuant to provisions of the Illinois Personnel Code and the Personnel Rules of the Department of Central Management Services. No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and Personnel Rules of the Department of Central Management Services will apply to employees covered by the above provisions effective December 1, 1998.

History

• Source: Added at 22 Ill. Reg. 21302, effective December 1, 1998

80 Ill. Adm. Code 305.230 Extends Jurisdiction A, B and C (july 16, 2002)

Effective July 16, 2002, Jurisdictions A, B and C of the Personnel Code will be extended to all non-Code, non-supervisory positions in the Capital Development Board Office of Information Systems, which includes the professional and technical specialist positions responsible for information technology services at the Board. Employees of this office serving prior to July 16, 2002, will be required to qualify within six months in the same kind of examination as the entrance examination for a comparable position. All appointments in these divisions made subsequent to July 16, 2002, will be made pursuant to provisions of the Illinois Personnel Code and the Personnel Rules of the Department of Central Management Services. No provision of this Section in any way affects the status of any employee in the Capital Development Board already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and the Personnel Rules of the Department of Central Management Services will apply to the employees of the above named office effective July 16, 2002.

History

• Source: Added at 26 Ill. Reg. 16150, effective October 18, 2002

80 Ill. Adm. Code 305.240 Extends Jurisdiction A, B and C (april 7, 2005)

Effective April 7, 2005, Jurisdictions A, B and C of the Personnel Code [20 ILCS 415] will be extended to all non-Code, non-supervisory positions in the Capital Development Board Office of Legal Counsel, which includes the para-professional positions responsible for paralegal services in the Capital Development Board, Office of Legal Counsel; Office of Information Management, which includes the technical positions responsible for recording, filing and retrieval of documents for design and construction projects at the Capital Development Board; Office of Fiscal Management, which includes the para-professional positions responsible for processing obligations, vouchers, and other administrative fiscal activities at the Capital Development Board; Office of Fair Employment Practices, which includes the professional positions responsible for monitoring minority and female workforce compliance activities at the Capital Development Board; Office of Contract Administration, which includes the para-professional positions responsible for the review and certification, but not the negotiation, of contracts under the Illinois Procurement Code [30 ILCS 500] and procurement rules (44 Ill. Adm. Code 1) and Capital Development Board rules (44 Ill. Adm. Code 910, 950, 980 and 1000); Construction Administration, Division of Professional Services, which includes the para-professional positions responsible for the administrative support services to the technical unit of the Capital Development Board; Construction Administration, which includes para-professional positions responsible for monitoring the flow of project documents and tracking of projects throughout construction stage for the Capital Development Board; Office of Public Affair, which includes the technical position responsible for the duplication and reproduction of printed material at the Capital Development Board; Office of Art-in-Architecture, which includes the technical position responsible for the design of Art-in-Architecture publications and administrative support to the Art-in-Architecture Program of the Capital Development Board; Office of Quality Based Selection, which includes para-professional positions responsible for reviewing prequalification applications, establishing and processing prequalifications and retaining relevant prequalification information for the project procurement process of the Capital Development Board. Employees of these offices serving prior to April 7, 2005 will be required to qualify within 6 months in the same kind of examination as the entrance examination for a comparable position. All appointments in these divisions made subsequent to April 7, 2005 will be made pursuant to provisions of the Illinois Personnel Code [20 ILCS 415] and the personnel rules (80 Ill. Adm. Code 301-303) of the Department of Central Management Services. No provision of this Section in any way affects the status of any employee in the Capital Development Board already holding certified status under the Illinois Personnel Code [20 ILCS 415]. All other provisions of the Illinois Personnel Code [20 ILCS 415] and the personnel rules (80 Ill. Adm. Code 301-303) of the Department of Central Management Services will apply to the employees of the above named offices effective April 7, 2005.

History

• Source: Added at 29 Ill. Reg. 14530, effective September 14, 2005

80 Ill. Adm. Code 305.250 Extends Jurisdiction A, B and C (january 16, 2006)

Effective January 16, 2006, Jurisdictions A, B and C of the Personnel Code [20 ILCS 415] will be extended to all non-Code, non-supervisory positions that include the classifications of Administrative Assistant I, Administrative Assistant II and Administrative Assistant III in the Capital Development Board and the Illinois Commerce Commission; all non-code, non-supervisory positions that include the classifications of Desktop Technician, General Services Technician, Business Analyst II, System Engineer I, System Engineer II, System Engineer III, System Developer I, System Developer II, System Developer III and Administrative Coordinator in the Illinois Commerce Commission; all non-code, non-supervisory positions that include the classification of Nuclear Safety Policy Analyst I who perform the functions of review of agency records management policies in the Illinois Emergency Management Agency. Employees of these offices serving prior to January 16, 2006 will be required to qualify within 6 months in the same kind of examination as the entrance examination for a comparable position. All appointments in these divisions made subsequent to January 16, 2006 will be made pursuant to provisions of the Illinois Personnel Code and the Personnel Rules (80 Ill. Adm. Code 301-303). No provision of this Section in any way affects the status of any employee in the Capital Development Board, the Illinois Commerce Commission or the Illinois Emergency Management Agency already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and the Personnel Rules of the Department of Central Management Services will apply to the employees of the above named offices effective January 16, 2006.

History

• Source: Added at 30 Ill. Reg. 9321, effective May 4, 2006

80 Ill. Adm. Code 305.260 Extends Jurisdiction A, B and C (november 30, 2008)

a) Effective November 30, 2008, the Personnel Code Jurisdictions A, B and C will be extended to the Capital Development Board positions in the non-code classifications of Assistant Personnel Officer, responsible for a range of human resources services; Coordinator of Administrative Services, who supervises and assists with office support activities and advertises, schedules and checks bid openings and documents for the Office of Operations; Executive Assistant 1, who provides secretarial and administrative support services to program managers at the Board; and Fiscal Executive, responsible for performing advanced accounting, financial reporting and analyses.

b) Effective November 30, 2008, the Personnel Code Jurisdictions A, B and C will be extended to the Illinois Commerce Commission positions in the non-code classifications of Accounts Processing Analyst, performing account technician work.

c) Employees of these divisions serving prior to November 30, 2008 will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All appointments subsequent to November 30, 2008 will be made pursuant to provisions of the Illinois Personnel Code and the Rules of the Department of Central Management Services (80 Ill. Adm. Code 301 through 303). No provision of this Section in any way affects the status of employees already holding certified status under the Personnel Code. All other provisions of the Personnel Code and Rules of the Department of Central Management Services (80 Ill. Adm. Code 301 through 303) will apply to employees of the above-named divisions, effective November 30, 2008.

History

• Source: Added at 32 Ill. Reg. 18931, effective November 30, 2008

80 Ill. Adm. Code 305.270 Extends Jurisdiction A, B and C (december 30, 2009)

a) Effective December 30, 2009, the Personnel Code Jurisdictions A, B and C will be extended to the Department of Central Management Service's Bureau of Communication and Computer Services positions performing work as network or systems engineers, managers and fiscal and support staff that were transferred into the Department from the Board of Higher Education's Illinois Century Network or information technology staff consolidated from the Illinois Department of Transportation.

b) With the exception of those employees who have already been determined qualified, the foregoing affected employees in the Bureau will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All other appointments subsequent to December 30, 2009 will be made pursuant to provisions of the Illinois Personnel Code and the rules of the Department of Central Management Services (see 80 Ill. Adm. Code 301, 302, 303, 304, 310 and 320). No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and rules of the Department of Central Management Services will apply to the affected employees effective December 30, 2009.

History

• Source: Added at 34 Ill. Reg. 834, effective December 30, 2009

80 Ill. Adm. Code 305.280 Extends Jurisdiction A, B and C (june 1, 2011)

a) Effective June 1, 2011, the Personnel Code Jurisdictions A, B and C will be extended to the Department of Central Management Services' Bureau of Communication and Computer Services positions performing work as Program Manager, Technical Manager V or Network Engineer Manager II; to the Department of Central Management Services' Illinois Office of Communication and Information position performing work as Technical Manager V, and to the Department of Central Management Services' Bureau of Benefits position performing work as Technical Manager V.

b) With the exception of those employees who have already been determined qualified, the affected employees cited in subsection (a) will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All other appointments subsequent to June 1, 2011 will be made pursuant to provisions of the Illinois Personnel Code and the rules of the Department of Central Management Services (see 80 Ill. Adm. Code 301, 302, 303, 304, 310 and 320). No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and rules of the Department of Central Management Services will apply to the affected employees effective June 1, 2011.

History

• Source: Added at 35 Ill. Reg. 8982, effective June 1, 2011

80 Ill. Adm. Code 305.290 Extends Jurisdiction A, B and C (july 25, 2012)

a) Effective July 25, 2012, the Personnel Code Jurisdictions A, B and C will be extended to the Department of Central Management Services' Illinois Office of Communication and Information position performing work as a Nuclear Safety Information Specialist II and to the Illinois Commerce Commission positions performing work as Management Secretary I, Human Resource Analyst, Senior Financial and Budget Assistant, Human Resource Clerk, or Transportation Industry Customer Service Representative I.

b) With the exception of those employees who have already been determined qualified, the affected employees cited in subsection (a) will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All other appointments subsequent to July 25, 2012 will be made pursuant to provisions of the Illinois Personnel Code and the rules of the Department of Central Management Services (see 80 Ill. Adm. Code 301, 302, 303, 304, 310 and 320). No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and rules of the Department of Central Management Services will apply to the affected employees effective July 25, 2012.

History

• Source: Added at 36 Ill. Reg. 12811, effective July 25, 2012

80 Ill. Adm. Code 305.300 Extends Jurisdiction A, B and C (march 31, 2013)

a) Effective March 31, 2013, the Personnel Code Jurisdictions A, B and C will be extended to the Illinois Commerce Commission positions currently classified as Human Resources Coordinator or Manager (position number 81550-31-73-200-00-01 only).

b) With the exception of those employees who have already been determined qualified, the affected employees cited in subsection (a) will be required to qualify within six months in the same kind of examinations as those required for entrance examinations for comparable positions. All other appointments subsequent to March 31, 2013 will be made pursuant to provisions of the Illinois Personnel Code and the rules of the Department of Central Management Services (see 80 Ill. Adm. Code 301, 302, 303, 304, 310 and 320). No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and rules of the Department of Central Management Services will apply to the affected employees effective March 31, 2013.

History

• Source: Added at 37 Ill. Reg. 4231, effective March 31, 2013

80 Ill. Adm. Code 305.310 Extends Jurisdiction B

a) The Personnel Code Jurisdiction B will be extended to the Illinois Department of Transportation positions currently classified as Sign Hanger and Sign Hanger Foreman.

b) With the exception of those employees who have already been determined qualified, the foregoing affected employees will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All other appointments will be made pursuant to provisions of the Illinois Personnel Code and rules of the Department of Central Management Services (see 80 Ill. Adm. Code 301, 302, 303, 304, 310 and 320). No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and rules of the Department of Central Management Services will apply to the affected employees.

History

• Source: Added at 40 Ill. Reg. 13604, effective September 13, 2016

80 Ill. Adm. Code 305.320 Extends Jurisdiction A, B and C (january 1, 2016)

a) Effective January 1, 2016, the Personnel Code Jurisdictions A, B and C will be extended to the Illinois Commerce Commission positions of Financial and Budget Assistant, 9-1-1 Analyst III, and Manager 9-1-1. These positions will be reclassified by CMS as Accountant, Executive II, and Public Service Administrator, Option 1, respectively.

b) With the exception of those employees who have already been determined qualified, the affected employees cited in subsection (a) will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All other appointments subsequent to January 1, 2016 will be made pursuant to provisions of the Personnel Code and the rules of the Department of Central Management Services (80 Ill. Adm. Code 301, 302, 303, 304, 310 and 320). No provision of this Section in any way affects the status of employees already holding certified status under the Personnel Code. All other provisions of the Personnel Code and rules of the Department of Central Management Services will apply to the affected employees effective January 1, 2016.

History

• Source: Added at 42 Ill. Reg. 12967, effective June 25, 2018

80 Ill. Adm. Code 305.330 Extends Jurisdiction A, B and C (february 1, 2020)

a) Effective February 1, 2020, the Personnel Code Jurisdictions A, B and C will be extended to the Illinois Emergency Management Agency positions of Nuclear Safety Information Systems Specialist I and Nuclear Safety Information Systems Specialist II.

b) With the exception of those employees who have already been determined qualified, the affected employees cited in subsection (a) will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All other appointments subsequent to the effective date will be made pursuant to provisions of the Illinois Personnel Code and the rules of the Department of Central Management Services (see 80 Ill. Adm. Code 301, 302, 303, 304, 310 and 320). No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and rules of the Department of Central Management Services will apply to the affected employees effective February 1, 2020.

History

• Source: Added at 44 Ill. Reg. 16763, effective September 30, 2020

80 Ill. Adm. Code 305.340 Extends Jurisdiction A, B and C (april 20, 2021)

a) Effective April 20, 2021, the Personnel Code Jurisdictions A, B and C will be extended to the Illinois Department of Human Services position of Tobacco Compliance Specialist.

b) With the exception of those employees who have already been determined qualified, the affected employees cited in subsection (a) will be required to qualify within six months in the same kind of examination as those required for entrance examinations for comparable positions. All other appointments subsequent to the effective date will be made pursuant to provisions of the Illinois Personnel Code and the rules of the Department of Central Management Services (see 80 Ill. Adm. Code 301, 302, 303, 304, 310 and 320). No provision of this Section in any way affects the status of employees already holding certified status under the Illinois Personnel Code. All other provisions of the Illinois Personnel Code and rules of the Department of Central Management Services will apply to the affected employees effective April 20, 2021.

History

• Source: Added at 47 Ill. Reg. 14438, effective October 2, 2023

80 Ill. Adm. Code 305.350 Extension of Jurisdiction After Effective Date of Amendments to the Personnel Code

Pursuant to Public Act 103-108, for all positions for which the Director of the Department of Central Management Services approves extension of Personnel Code jurisdiction on or after June 28, 2023, the Department shall maintain records of the extension but need not promulgate administrative rules reflecting that extension. Records of extension of jurisdiction shall be shared with the Civil Service Commission.

History

• Source: Added at 48 Ill. Reg. 7686, effective May 13, 2024

80 Ill. Adm. Code 310.20 Policy and Responsibilities

a) It is the policy of the State of Illinois to provide fair and reasonable compensation to employees for service rendered.

b) The policy and procedures expressed herein are controlling in matters of employee pay administration. It shall be the responsibility of each agency head:

1. To submit promptly all proper and required personnel actions with justifications or other notices of changes affecting employee pay or pay status.

2. To cause, within the agency head's agency, full compliance with all the provisions of this Part.

History

• Source: Amended at 34 Ill. Reg. 9759, effective July 1, 2010

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.30 Jurisdiction

All positions of employment in the service of the State of Illinois shall be subject to the provisions of this Part unless specifically excluded under Section 4(c) (General Exemptions) or Section 4(d) (Partial Exemptions), when the partial exemption is from Jurisdiction A [20 ILCS415/4(a)(1)], of the Personnel Code [20 ILCS 415/4(c) or (d)] or other pertinent legislation. Those positions to which jurisdiction of the Personnel Code has been or may be later extended shall also be subject to the provisions of this Part.

History

• Source: Amended at 30 Ill. Reg. 12761, effective July 17, 2006

80 Ill. Adm. Code 310.40 Pay Schedules

The attached Negotiated Rates of Pay (Appendix A), Schedule of Rates (Subpart B), and the Merit Compensation System (Subpart C) are hereby made a part of this Part. Each employee subject to this Part, except those whose rates of pay is determined under the Schedule of Rates (Subpart B) or the Merit Compensation System (Subpart C) of this Part, or Section 8(a) of the Personnel Code [20 ILCS 415/8a], shall be paid at a rate of pay or step in the appropriate pay grade in the Negotiated Rates of Pay (Appendix A) for the class of position in which the employee is employed.

History

• Source: Amended at 34 Ill. Reg. 9759, effective July 1, 2010

80 Ill. Adm. Code 310.45 Comparison of Pay Grades or Salary Ranges Assigned to Classifications

a) What Classifications to Compare When an Employee Moves – The movement of an employee subject to the Personnel Code to a vacant position (subject to the Personnel Code) is between two positions. The employee moves from the former position to the targeted position. The targeted position may be the former position allocated to a different classification title (80 Ill. Adm. Code 320.80) or may be the former position assigned substantial additional responsibilities in the same broad-band title (Section 310.495(c)). The former and targeted positions have the same or different classification titles. The former position is in the former classification and the targeted position is in the targeted classification. The former and targeted classifications are used in the comparison when an employee moves.

b) Definitions of Employee Movements –

1. When the Former and Targeted Classification Titles are the Same – When the former and targeted classifications are the same, the employee movement is an interim assignment (80 Ill. Adm. Code 302.150(j)), a transfer (80 Ill. Adm. Code 302.400), geographical transfer (80 Ill. Adm. Code 302.430) or where in the broad-band classification title the targeted position has substantial additional responsibilities compared to the former position (Section 310.495(c)).

2. When the Former and Targeted Classification Titles are Different – When the former and targeted classifications are different, the employee movement is an interim assignment (80 Ill. Adm. Code 302.150(j)), a transfer (80 Ill. Adm. Code 302.400), geographical transfer (80 Ill. Adm. Code 302.430), demotion (80 Ill. Adm. Code 302.470), voluntary reduction (80 Ill. Adm. Code 302.500), promotion (Sections 310.50 and 310.500), based on the position being allocated to another class (80 Ill. Adm. Code 301.20 and 301.41) or based on the positions in a class being reclassified (Sections 310.50 and 310.500).

c) What to Compare in Each Classification – This pertains whether comparing former and targeted classifications, the pay grades or salary ranges assigned to the former and targeted classifications, or the maximum permissible salary or rate assigned to the former and targeted classifications.

1. When the Former and Targeted Classification Titles are the Same – When the former and targeted classification titles are the same, no comparison beyond the titles, which are the same, is needed.

2. When Both Former and Targeted Classifications are Different – When both former and targeted classifications are different, determine whether both classes are whole, divided or one is whole and one is divided. The definitions for whole and divided classes are found in Section 310.50.

A) When Both Classes are Whole – When both classes are whole, follow the flow chart provided in Appendix C.Illustration A by beginning with the oval with the word "start" in it, move through the flow chart by the arrows based on the information known about the two classes and finally reaching the diamond shape indicating what to compare. The definitions of bargaining unit and bargaining representative are found in Section 310.50. In that same Section, the definition of "pay plan code" assists in identifying whether regular or alternative rates are assigned to the classes listed in the ALPHABETIC INDEX OF POSITION TITLES. The ALPHABETIC INDEX OF POSITION TITLES provides the highest rates.

B) When One Class is Whole and One Class is Divided – When one class is whole and one class is divided, follow the flow chart provided in Appendix C.Illustration B by beginning with the oval with the word "start" in it, move through the flow chart by the arrows based on the information known about the two classes and finally reaching the diamond shape indicating what to compare. The definitions of bargaining unit and bargaining representative are found in Section 310.50. In that same Section, the definition of "pay plan code" assists in identifying whether regular or alternative rates are assigned to the classes as listed in the ALPHABETIC INDEX OF POSITION TITLES. The ALPHABETIC INDEX OF POSITION TITLES provides the highest rates.

C) When Both Classes are Divided – When both classes are divided, follow the flow chart provided in Appendix C.Illustration C by beginning with the oval with the word "start" in it, move through the flow chart by the arrows based on the information known about the two classes and finally reaching the diamond shape indicating what to compare. In moving through the flow chart, the classification titles containing an option (found in the definition of option in Section 310.50) do not apply. The definitions of bargaining unit and bargaining representative are found in Section 310.50. In that same Section, the definition of "pay plan code" assists in identifying whether regular or alternative rates are assigned to the classes as listed in the ALPHABETIC INDEX OF POSITION TITLES. The ALPHABETIC INDEX OF POSITION TITLES provides the highest rates.

d) The Comparison Determines the Type of Employee Movement and Pay – Comparing the highest of the maximum base salaries set forth in subsection (c) for each classification establishes whether the former classification is higher than, lower than or the same as the targeted classification. This information determines (or assists in determining) which type of employee movement in subsection (b) is occurring. From that determination, the pay treatment is set in following Sections of the Pay Plan.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.47 In-Hire Rate

a) Use – No employee in a position in which the position and/or the employee meet the criteria of an in-hire rate receives less than the in-hire rate. The in-hire rate is used when a candidate only meets the minimum requirements of the class specification upon entry to State service (Section 310.100(b)(1), 310.490(b)(1) or 310.495(b)(1)), when an employee moves to a vacant position (Section 310.45) or when an MS salary range is assigned to a Trainee Program (Section 310.415(b)).

b) Request –

1. Agency Head Request for Other Than a Merit-Compensation-System-only Trainee Program – An agency head may request in writing that the Director approve or negotiate an in-hire rate. The in-hire rate is a Step or dollar amount depending on whether the classification title is assigned to a negotiated full scale rate, negotiated pay grade, merit compensation salary range or broad-band salary range. The in-hire rate may be for the classification title or limited within the classification title to the agency, facilities, counties or other criteria. The supporting justifications for the requested in-hire rate and the limitations are included in the agency request. An effective date may be included in the request.

2. Agency Head Request for a Merit-Compensation-System-only Trainee Program – The Department determined in-hire rates for existing trainee programs assigned only MS-salary ranges to be used by agencies as the anticipated starting salaries. The in-hire rates are tied to the targeted title and in one case the county in which the trainee position is located. Some targeted titles have been determined to be inappropriate for some trainee titles. If an agency is unable to locate an in-hire rate for its trainee program's targeted title, the targeted title is inappropriate. Agencies using inappropriate targeted titles shall allow employees in the trainee titles targeting the inappropriate targeted titles to finish their training and be promoted if successful. Then, the agency shall not use the inappropriate targeted title again for that trainee program. Questions about the best titles to use for training shall be addressed by CMS. When an agency submits for approval the establishment of a new or a targeted title revision for an existing Trainee or Apprenticeship Program form (CMS-705), the agency head shall request in writing that the Director approve an in-hire rate. The in-hire rate is a dollar amount within the merit compensation salary range assigned to the trainee title. The in-hire rate may be for the trainee title limited for the targeted title and the agency, facilities, counties or other criteria. The supporting justifications for the requested in-hire rate and the limitations shall be included in the agency request. An effective date may be included in the request.

c) Review – The Director shall review the supporting justifications, the turnover rate, the length of vacancies, the currently filled positions for the classification title, and the market starting rates for similar classes, and consult with other agencies using the classification title. Other factors may be included in the review and negotiation of negotiated in-hire rates.

d) Approval or Negotiated –

1. Approval − The Director indicates in writing the approved in-hire rate and effective date, which is either the date requested by the agency or the beginning of the next pay period after the approval.

2. Negotiated – The Director and the bargaining unit representative indicate in writing the in-hire rates and effective date, which is either the date indicated in the agreement, the date of the agreement's signature or the beginning of the next pay period after the signatures are secured on the agreement.

e) Implementation – In the classification title or within the limitations of the classification title and when the in-hire rate is above the normal minimum of the assigned salary range or pay grade, an employee paid below the in-hire rate receives the in-hire rate on the approved effective date. The in-hire rate remains in effect for any employee entering the title or the limits within the title until the title is abolished or an agency request to rescind the in-hire rate is approved by the Director or negotiated by the Director and the bargaining unit representative.

f) Approved or Negotiated In-Hire Rates –

1. Assigned to a Classification –

A) Approved and Assigned to a Pay Grade or Salary Range −

Title

Pay Grade or Salary Range

Effective Date

In-Hire Rate

Correctional Officer

RC-006-09

January 1, 2008

Step 1

Correctional Officer Trainee

RC-006-07

January 1, 2008

Step 1

Environmental Engineer I

RC-063-15

January 1, 2008

Step 2

Environmental Protection Engineer I

RC-063-15

January 1, 2008

Step 5

Environmental Protection Engineer II

RC-063-17

January 1, 2008

Step 4

B) Negotiated and Assigned to a Full Scale Rate – The rates are located in Appendix A Table A for bargaining unit RC-104, in Appendix A Table D for bargaining unit HR-001, in Appendix A Table E for bargaining unit RC-020, in Appendix A Table F for RC-019 and in Appendix A Table G for bargaining unit RC-045.

Title

Bargaining Unit

Effective Date

In-Hire Rate

Auto & Body Repairer

RC-045

July 1, 2013

75%

Automotive Attendant I

RC-045

July 1, 2013

75%

Automotive Attendant II

RC-045

July 1, 2013

75%

Automotive Mechanic

RC-045

July 1, 2013

75%

Automotive Parts Warehouse Specialist

RC-045

July 1, 2013

75%

Automotive Parts Warehouser

RC-045

July 1, 2013

75%

Bridge Mechanic

RC-019

July 8, 2013

75%

Bridge Mechanic

RC-020

June 26, 2013

75%

Bridge Tender

RC-019

July 8, 2013

75%

Bridge Tender

RC-020

June 26, 2013

75%

Building Services Worker

HR-001

July 24, 2013

75%

Conservation Police Lieutenant

RC-104

July 31, 2019

Conservation Police Sergeant

RC-104

July 31, 2019

Deck Hand

RC-019

July 8, 2013

75%

Elevator Operator

HR-001

July 24, 2013

75%

Ferry Operator I

RC-019

July 8, 2013

75%

Ferry Operator II

RC-019

July 8, 2013

75%

Grounds Supervisor

HR-001

July 24, 2013

75%

Heavy Construction Equipment Operator

HR-001

July 24, 2013

75%

Heavy Construction Equipment Operator

RC-020

June 26, 2013

75%

Highway Maintainer

HR-001

November 1, 2009

75%

Highway Maintainer

RC-019

July 8, 2013

75%

Highway Maintainer

RC-020

June 26, 2013

75%

Highway Maintenance Lead Worker

HR-001

July 24, 2013

75%

Highway Maintenance Lead Worker

RC-019

July 8, 2013

75%

Highway Maintenance Lead Worker

RC-020

June 26, 2013

75%

Highway Maintenance Lead Worker (Lead Lead Worker)

RC-019

July 8, 2013

75%

Highway Maintenance Lead Worker (Lead Lead Worker)

RC-020

June 26, 2013

75%

Janitor I (Including Office of Administration)

RC-019

July 8, 2013

75%

Janitor II (Including Office of Administration)

RC-019

July 8, 2013

75%

Labor Maintenance Lead Worker

RC-019

July 8, 2013

75%

Labor Maintenance Lead Worker

RC-020

June 26, 2013

75%

Laborer (Maintenance)

HR-001

July 24, 2013

75%

Laborer (Maintenance)

RC-019

July 8, 2013

75%

Laborer (Maintenance)

RC-020

June 26, 2013

75%

Maintenance Equipment Operator

HR-001

July 24, 2013

75%

Maintenance Equipment Operator

RC-019

July 8, 2013

75%

Maintenance Equipment Operator

RC-020

June 26, 2013

75%

Maintenance Worker

HR-001

July 24, 2013

75%

Maintenance Worker

RC-019

July 8, 2013

75%

Maintenance Worker

RC-020

June 26, 2013

75%

Power Shovel Operator (Maintenance)

HR-001

July 24, 2013

75%

Power Shovel Operator (Maintenance)

RC-019

July 8, 2013

75%

Power Shovel Operator (Maintenance)

RC-020

June 26, 2013

75%

Security Guard I

RC-019

July 8, 2013

75%

Security Guard II

RC-019

July 8, 2013

75%

Silk Screen Operator

RC-019

July 8, 2013

75%

Silk Screen Operator

RC-020

June 26, 2013

75%

Small Engine Mechanic

RC-045

July 1, 2013

75%

Storekeeper I**

RC-045

July 1, 2013

75%

Storekeeper II**

RC-045

July 1, 2013

75%

• New bargaining unit members, regardless of their current rank, shall be hired at 33% of the differential between a Conservation Police Officer II and the new member's new rank at the appropriate longevity level.

** Storekeeper I & Storekeeper II serving as Automotive Parts Warehouser in Cook County.

2. Based on the Position's Work Location or Employee's Credential or Residency –

Title

Pay Grade or Salary Range

Location or Residency

Credential

Effective Date

In-Hire Rate

Civil Engineer Trainee

NR-916

None identified

Bachelor's degree in accredited civil engineering program

January 1, 2008

Add to minimum monthly rate $40/quarter work experience up to 8

Civil Engineer Trainee

NR-916

None identified

Passed Engineering Intern exam

January 1, 2008

Add to minimum monthly rate $60/month

Civil Engineer Trainee

NR-916

None identified

Job-Related Master's degree

January 1, 2012

Add to minimum monthly rate $40/month for each year of full-time graduate study as a substitute for job-related experience up to two years

Engineering Technician I

NR-916

None identified

Completed 2 years of college in civil engineering or job related technical/ science curriculum (60 semester /90 quarter hours credit)

January 1, 2012

$2,845

Engineering Technician I

NR-916

None identified

Completed 3 years of college in areas other than civil engineering or job related technical/ science curriculum (90 semester /135 quarter hours credit)

January 1, 2012

$2,730

Engineering Technician I

NR-916

None identified

Associate Degree from an accredited 2 year civil engineering technology program

January 1, 2012

$2,975

Engineering Technician I

NR-916

None identified

Completed 3 years of college courses in civil engineering or job related technical/ science curriculum (90 semester/ 135 quarter hours credit)

January 1, 2012

$2,975

Engineering Technician I

NR-916

None identified

Completed 4 years of college courses in areas other than civil engineering or job related technical/ science curriculum (120 semester /180 quarter hours credit)

January 1, 2012

$2,845

Engineering Technician I

NR-916

None identified

Completed 4 years of college in civil engineering or job related technical/ science curriculum (120 semester/180 quarter hours credit includes appointees from unaccredited engineering programs and those who have not yet obtained a degree)

January 1, 2012

$3,095

Engineering Technician I and II

NR-916

None identified

Bachelor of Science Degree from an accredited 4 year program in civil engineering technology, industrial technology, and construction technology

January 1, 2012

$3,510

Forensic Scientist Trainee

RC-062-15

None identified

Meets minimum class requirements or completed Forensic Science Residency Program at the U of I-Chicago

January 1, 2008

Step 1

Information Services Intern

RC-063-15

Work outside Cook County

Computer Science degree at 4-year college

January 1, 2008

Step 4

Information Services Intern

RC-063-15

Work in Cook County

Computer Science degree at 4-year college

January 1, 2008

Step 6

Information Services Intern

RC-063-15

Work outside Cook County

Computer Science degree at 2-year technical school

January 1, 2008

Step 2

Information Services Intern

RC-063-15

Work in Cook County

Computer Science degree at 2-year technical school

January 1, 2008

Step 4

Information Services Intern

RC-063-15

Work in Cook County

Non-Computer Science degree at 4-year college

January 1, 2008

Step 3

Information Services Specialist I

RC-063-17

Work in Cook County

None identified beyond class requirements

January 1, 2008

Step 2

Juvenile Justice Specialist

RC-006-14

None identified

Master's degree

September 1, 2008

Step 2

Juvenile Justice Specialist Intern

RC-006-11

None identified

Master's degree

September 1, 2008

Step 2

Meat & Poultry Inspector Trainee

RC-029

Work in Regions 1 and 6

None identified beyond class requirements

May 15, 2014

Step 1

Physician Specialist, Option C

RC-063-MD-C

Work in Alton, Chester, Choate, Ludeman, McFarland, and Murray facilities

None identified beyond class requirements

May 1, 2018

Step 5

Physician Specialist, Option D

RC-063-MD-D

Work in Alton, Chester, Choate, Ludeman, McFarland, and Murray facilities

None identified beyond class requirements

May 1, 2018

Step 5

Telecommunicator

RC-014-12

Work in District 2

None identified beyond class requirements

January 1, 2008

Step 2

Telecommunicator Trainee

RC-014-10

Work in Kane County

None identified beyond class requirements

January 1, 2008

Step 3

Telecommunicator Trainee

RC-014-10

Work in Cook County

None identified beyond class requirements

January 1, 2008

Step 7

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

80 Ill. Adm. Code 310.50 Definitions

The following definitions of terms are for purposes of clarification only. They affect the Schedule of Rates (Subpart B), and Negotiated Rates of Pay (Appendix A). Section 310.500 contains definitions of terms applying specifically to the Merit Compensation System.

"Adjustment in Salary" – A change in salary rate occasioned by a previously committed error or oversight, or required in the best interest of the State as defined in Sections 310.80 and 310.90.

"Agency" means an agency (e.g., Department, Board, Commission, etc.) of Illinois State government whose employees are subject to this Part.

"Anticipated Starting Salary" – A position-specific rate or range within the pay grade or salary range assigned to the classification title to which the position being filled is allocated and based on the value of the work to be performed in the position description. The anticipated starting salary is published in the posting of a position opening. When valuing the work to be performed in the position description, agencies, boards and commissions shall consider questions based on the factors located in Section 310.80(e). The factors are: is the valuation consistent with the treatment of other similar situations; is the valuation equitable in view of the particular circumstances; what are the staffing needs and requirements of the employing agency; and are there labor market influences on recruitment for the classification or position. Some of the questions to be considered are: how are others in this title in the agency compensated; how many staff does the position supervise; what is the scope of the position's area of responsibility; is the position similar to positions at other agencies and, if so, how are those employees compensated; what types of subordinates report to the position and how are they compensated; does this position require a license that is difficult to obtain; has the agency unsuccessfully attempted to fill the position and if so, how many times; and if the position has private sector counterparts, how are they compensated? This is a non-exhaustive list of factors and questions for agencies, boards and commissions to consider when developing an anticipated starting salary.

"Bargaining Representative" – The sole and exclusive labor organization (union, chapter, lodge or association) recognized, as noted in an agreement with the State of Illinois, to negotiate for one or more bargaining units and may include one or more locals.

"Bargaining Unit" – The sole and exclusive labor organization that represents and includes at least one position and its appointed employee as specified in a Certification of Representative, Certification of Clarified Unit or corrected certification issued by the Illinois Labor Relations Board as authorized by Sections 6(c) and 9(d) of the Illinois Public Labor Relations Act [5 ILCS 315].

"Base Salary" – A dollar amount of pay specifically designated in the Negotiated Rates of Pay (Appendix A) or Schedule of Rates (Subpart B). Base salary does not include commission, incentive pay, bilingual pay, longevity pay, overtime pay, shift differential pay or deductions for time not worked.

"Bilingual Pay" – The dollar amount per month, or percentage of the employee's monthly base salary, paid in addition to the employee's base salary when the individual position held by the employee has a job description that requires the use of sign language, Braille, or another second language (e.g., Spanish), or that requires the employee to be bilingual.

"Classification" – The classification established by the Department and approved by the Civil Service Commission based on Section 8a(1) of the Personnel Code [20 ILCS 415] and to which one or more positions are allocated based upon similarity of duties performed, responsibilities assigned and conditions of employment. Classification may be abbreviated to "class" and referred to by its title or title code.

"Class Specification" – The document comprising the title, title code, effective date, distinguishing features of work, illustrative examples of work and desirable requirements.

"Comparable Classes" – Two or more classes that are in the same pay grade.

"Creditable Service" – All service in full or regularly scheduled part-time pay status beginning with the date of initial employment or the effective date of the last salary increase that was at least equivalent to a full step.

"Demotion" – The assignment for cause of an employee to a vacant position in a class in a lower pay grade than the former class.

"Department" or "CMS" means the Department of Central Management Services.

"Differential" – The additional compensation added to the base salary of an employee resulting from conditions of employment imposed on the employee during normal schedule of work.

"Director" means the Director of the Department of Central Management Services.

"Divided Class" – The classification established by Section 8a(1) of the Personnel Code [20 ILCS 415], represented by more than one bargaining unit as certified by the Illinois Labor Relations Board. The divided classes effective January 24, 2023 are:

Title

Title Code

Apparel/Dry Goods Specialist III

01233

Automotive Shop Supervisor

03749

Bridge Mechanic

05310

Bridge Tender

05320

Civil Engineer I

07601

Civil Engineer II

07602

Civil Engineer III

07603

Clinical Laboratory Associate

08200

Clinical Laboratory Technician I

08215

Clinical Laboratory Technician II

08216

Educator

13100

Educator Aide

13130

Educator – Career and Technical

13103

Engineering Technician II

13732

Engineering Technician III

13733

Engineering Technician IV

13734

Heavy Construction Equipment Operator

18465

Highway Maintainer

18639

Highway Maintenance Lead Worker

18659

Housekeeper

19600

Human Resources Trainee

19694

Labor Maintenance Lead Worker

22809

Laboratory Assistant

22995

Laboratory Associate I

22997

Laboratory Associate II

22998

Laborer (Maintenance)

23080

Licensed Practical Nurse I

23551

Licensed Practical Nurse II

23552

Maintenance Equipment Operator

25020

Maintenance Worker

25500

Pest Control Operator

31810

Power Shovel Operator (Maintenance)

33360

Property and Supply Clerk II

34792

Property and Supply Clerk III

34793

Public Service Administrator

37015

Silk Screen Operator

41020

Social Service Aide Trainee

41285

Storekeeper I

43051

Storekeeper II

43052

Storekeeper III

43053

Stores Clerk

43060

"Entrance Base Salary" – The initial base salary assigned to an employee upon entering State service.

"Hourly Pay Grade" – The designation for hourly negotiated pay rates is "H".

"In Between Pay Grade" – The designation for negotiated pay rates in between pay grades is ".5".

"In-hire Rate" – An in-hire rate is a minimum rate/step for a class that is above or below the normal minimum of the range or full scale rate, as approved by the Director after a review of competitive market starting rates for similar classes or as negotiated between the Director and a bargaining unit.

"Midpoint Salary" – The rate of pay that is the maximum rate and the minimum rate in the salary range added together divided by two and rounded up or down to the nearest whole dollar.

"Option" – The denotation of directly-related education, experience and/or knowledge, skills and abilities required to qualify for the position allocated to the classification. The requirements may meet or exceed the requirements indicated in the class specification. The following options are for the Public Service Administrator classification and have a negotiated pay grade and/or a broad-banded salary range assigned:

1

=

General Administration/Business/Marketing/Labor/Personnel

2

=

Fiscal Management/Accounting/Budget/Internal Audit/Insurance/Financial

2B

=

Financial Regulatory

2C

=

Economist

3

=

Management Information System/Data Processing/Telecommunications

3J

=

Java Application Developer

3N

=

Networking

4

=

Physical Sciences/Environment

6

=

Health and Human Services

6B

=

Day Care Quality Assurance

6C

=

Health Statistics

6D

=

Health Promotion/Disease Prevention

6E

=

Laboratory Specialist

6F

=

Infectious Disease

6G

=

Disaster/Emergency Medical Services

6H

=

Illinois Council on Developmental Disabilities Program Specialist

6I

=

Rehabilitation Counseling

7

=

Law Enforcement/Correctional

7A

=

Sworn Law Enforcement

8A

=

Special License − Architect License

8B

=

Special License − Boiler Inspector License

8C

=

Special License − Certified Public Accountant

8D

=

Special License − Federal Communications Commission License/National Association of Business and Educational Radio

8E

=

Special License − Engineer (Professional)

8F

=

Special License − Federal Aviation Administration Medical Certificate/First Class

8G

=

Special License − Clinical Professional Counselor

8H

=

Special License − Environmental Health Practitioner

8I

=

Special License − Professional Land Surveyor License

8J

=

Special License - Registered American Dietetic Association/Public Health Food Sanitation Certificate/Licensed Dietician

8K

=

Special License − Licensed Psychologist

8L

=

Special License − Law License

8N

=

Special License − Registered Nurse License

8O

=

Special License − Occupational Therapist License

8P

=

Special License − Pharmacist License

8Q

=

Special License − Religious Ordination by Recognized Commission

8R

=

Special License − Dental Hygienist

8S

=

Special License − Social Worker/Clinical Social Worker

8T

=

Special License − Professional Educator License and Administrative Endorsement

8U

=

Special License − Physical Therapist License

8V

=

Special License − Audiologist License

8W

=

Special License − Speech-Language Pathologist License

8Y

=

Special License − Plumbing License

8Z

=

Special License − Special Metrologist Training

9A

=

Special License – Certified Internal Auditor

9B

=

Special License – Certified Information Systems Auditor

9C

=

Special License – Landscape Architect

9D

=

Special License – Certified Real Estate Appraisal License

9G

=

Special License − Registered Professional Geologist License

The following options are for the Senior Public Service Administrator classification and have a broad-banded salary range assigned:

1

=

General Administration/Business/Marketing/Labor/Personnel

2

=

Fiscal Management/Accounting/Budget/ Internal Audit/Insurance/Financial

2A

=

Revenue Audit Field Manager

2B

=

Financial Regulatory

3

=

Management Information System/Data Processing/Telecommunications

4

=

Physical Sciences/Environment

5

=

Agriculture/Conservation

6

=

Health and Human Services

6H

=

Illinois Council on Developmental Disabilities Program Policy

7

=

Law Enforcement/Correctional

7A

=

Sworn Law Enforcement

8A

=

Special License – Architect License

8B

=

Special License – Boiler Inspector License

8C

=

Special License – Certified Public Accountant/Certified Internal Auditor

8D

=

Special License – Dental License

8E

=

Special License – Engineer (Professional)

8F

=

Special License – Clinical Professional Counseling

8G

=

Special License – Geologist

8H

=

Special License – Environmental Health Practitioner

8I

=

Special License – Illinois Auctioneer License

8K

=

Special License – Licensed Psychologist

8L

=

Special License – Law License (Illinois)

8M

=

Special License – Veterinary Medicine License

8N

=

Special License – Registered Nurse License (Illinois)

8O

=

Special License – Occupational Therapist License

8P

=

Special License – Pharmacist License

8Q

=

Special License – Nursing Home Administrator License

8R

=

Special License – Real Estate Broker License

8S

=

Special License – Social Worker/Clinical Social Worker

8T

=

Special License – Professional Educator License and Administrative Endorsement

8U

=

Special License – Landscape Architect

8Z

=

Special License – Certified Real Estate Appraisal License

Other classification titles contain an option and the option also may denote differences in the distinguishing features of work indicated in the classification specification. The classification titles containing an option are:

Children and Family Service Intern, Option 1

Children and Family Service Intern, Option 2

Health Services Investigator I, Option A – General

Health Services Investigator II, Option A – General

Health Services Investigator II, Option C – Pharmacy

Juvenile Justice Youth and Family Specialist Option 1

Juvenile Justice Youth and Family Specialist Option 2

Medical Administrator I Option C

Medical Administrator I Option D

Medical Administrator II Option C

Medical Administrator II Option D

Physician Specialist − Option A

Physician Specialist − Option B

Physician Specialist − Option C

Physician Specialist − Option D

Physician Specialist − Option E

Research Fellow, Option B

"Pay Grade" – The numeric designation used for an established set of steps or salary range.

"Pay Plan Code" – The designation used in assigning a specific salary rate based on a variety of factors associated with the position. Pay Plan Codes used in the Pay Plan are:

B

=

Negotiated regular pension formula rate for the State of Illinois

E

=

Educator – Career and Technical for the Department of Juvenile Justice and Educator title for the State of Illinois AFSCME negotiated 12-month regular pension formula rate

J

=

Negotiated regular pension formula rate for states other than Illinois, California or New Jersey

L

=

Educator – Career and Technical for the Department of Juvenile Justice and Educator title for the State of Illinois AFSCME negotiated 12-month alternative pension formula rate

M

=

Educator title AFSCME negotiated 9-month regular pension formula rate at the Illinois School for the Visually Impaired

N

=

Educator and Educator – Career and Technical titles Illinois Federation of Teachers negotiated 9-month regular pension formula rate for the Illinois School for the Deaf

O

=

Educator title AFSCME negotiated 9-month regular pension formula rate at the Illinois Center for Rehabilitation and Education-Roosevelt

P

=

Educator – Career and Technical for the Department of Juvenile Justice and Educator title for the State of Illinois AFSCME negotiated 12-month maximum-security institution rate

Q

=

Negotiated alternative pension formula rate for the State of Illinois

S

=

Negotiated maximum-security institution rate for the State of Illinois

U

=

Negotiated regular pension formula rate for the state of California or New Jersey

V

=

Educator title AFSCME negotiated 9-month regular pension formula rate at the Department of Juvenile Justice

W

=

Educator title AFSCME negotiated 9-month alternative pension formula rate at the Department of Juvenile Justice

X

=

Educator title AFSCME negotiated 9-month maximum security rate at the Department of Juvenile Justice

"Promotion" – The appointment of an employee, with the approval of the agency and the Department of Central Management Services, to a vacant position in a class in a higher pay grade than the former class.

"Reallocation" – A position action in which gradual changes in a single position's assigned duties and responsibilities accumulate and result in the assignment of the position to another class.

"Reclassification" − A position action that occurs subsequent to approval of a new or revised classification by the Civil Service Commission and results in the assignment of a position or positions to a different class.

"Reevaluation" – The assignment of a different pay grade to a class based upon change in relation to other classes or to the labor market.

"Salary Range" – The dollar value represented by Steps 1c or the Step with the lowest salary through 8 or the Step with the highest salary of a pay grade assigned to a class title.

"Satisfactory Performance Increase" – An upward revision in the base salary from one designated step to the next higher step in the pay grade for that class as a result of having served the required amount of time at the former rate with not less than a satisfactory level of competence. (Satisfactory level of competence shall mean work, the level of which, in the opinion of the agency head, is above that typified by the marginal employee.)

"Transfer" – The assignment of an employee to a vacant position having the same pay grade.

"Whole Class" – The classification established by Section 8a(1) of the Personnel Code [20 ILCS 415], represented by no more than one bargaining unit as certified by the Illinois Labor Relations Board and to which no more than one bargaining unit pay grade is assigned.

"Work Year" – That period of time determined by the agency and filed with the Department in accordance with 80 Ill. Adm. Code 303.300.

History

• Source: Amended at 47 Ill. Reg. 10482, effective July 1, 2023

80 Ill. Adm. Code 310.60 Conversion of Base Salary to Pay Period Units

For purposes of converting a base salary to an amount applicable for one pay period, the following methods of computation shall apply:

a) An annual base salary shall be divided by the number of pay periods in one assigned year.

b) A monthly base salary shall be divided by two on a semi-monthly payment schedule or shall be multiplied by twelve and the result divided by the number of pay periods in a work year on a payment schedule other than semi-monthly.

c) A weekly base salary shall be multiplied by 52 and the result divided by the number of pay periods in a work year.

d) A daily base salary shall be multiplied by the number of days actually worked in a pay period.

e) An hourly base salary shall be multiplied by the number of hours actually worked in a pay period.

80 Ill. Adm. Code 310.70 Conversion of Base Salary to Daily or Hourly Equivalents

For purposes of determining the hourly or daily equivalent of a base salary, the following methods of computation shall apply:

a) Payment for Vacation, Sick Leave* and Unused Compensatory Overtime Credits – A daily (hourly) equivalent shall be determined by converting the base salary to an annual salary and dividing the result by the number of days (hours) usually worked in a year, according to the agency's normal work schedule as filed with the Department of Central Management Services.

*Sick leave earned prior to January 1, 1984 and after December 31, 1997 is not compensable. Sick leave earned and not used between January 1, 1984 and December 31, 1997 will be compensable at the current base daily rate times one-half of the total number of sick days earned and retained during that time period.

b) Deductions from a Specific Pay Period – Employees working full time or a regular part of a full time schedule and who work less than the total number of days/hours in a specific pay period due to furlough days/hours or other noncompensated days/hours, as per Section 302.510 of the Personnel Rules (see 80 Ill. Adm. Code 302.510), shall have the value of the days/hours derived by dividing the annualized rate of pay by the total number of days/hours in a work year as filed by the agency with the Department of Central Management Services. The value of the deducted days/hours is subtracted from the semi-monthly rate.

c) Payment for Fractional Part of a Specific Pay Period – In those instances in which an employee is to be compensated at a rate that represents a number of work days (hours) that is less than the actual number of work days (hours) in the pay period, other than when authorized for deduction in accordance with subsection (b), the formula to be used is: monthly rate divided by two equal pay period rate; pay period rate divided by days (hours) scheduled equals daily (hourly) rate; daily (hourly) rate multiplied by days (hours) worked equals gross amount earned.

d) Part-Time Work – Part-time employees, whose base salary is other than an hourly or daily basis, shall be paid on a daily rate basis which will be computed from annual rates of salary and the total number of work days in the year.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.80 Increases in Pay

Except as otherwise provided for in this Section, for employees occupying positions in classes that are paid in conformance with the Schedule of Negotiated Rates (Appendix A) and without a negotiated provision in the currently effective bargaining unit agreement, increases shall be granted as follows and will become effective the first day of the pay period following the date of approval:

a) Satisfactory Performance Increase –

1. Each employee who has not attained Step 8 of the relevant pay grade, and whose level of performance has been at a satisfactory level of competence, shall be successively advanced in pay to the next higher step in the pay grade after one year of creditable service in the same class.

2. A satisfactory performance increase shall become effective on the first day of the month within which the required period of creditable service is reached.

3. No satisfactory performance increase may be given after the effective date of separation.

b) Withholding Satisfactory Performance Increase – As an inducement toward attainment of satisfactory level of competence, satisfactory performance increases may be withheld from the employee who has not achieved a satisfactory level of performance. Such action must be supported by:

1. A performance record showing less than satisfactory performance. This must be prepared by the appropriate supervisor, discussed with the employee and approved by the agency head prior to the date the increase would otherwise become effective. The performance record will not be invalidated by refusal of an employee to sign. In such cases, an explanatory comment shall be made on the record by the supervisor. This record will be preserved by the agency.

2. Notice of withholding of satisfactory performance increases to the Department – It shall be reported upon completion of action required by subsection (b)(1), but not later than the submission of the payroll reflecting the denial of the increase.

c) Redetermination – A satisfactory performance increase previously withheld shall be granted when the cause for withholding has been eliminated. Redetermination must be made at least annually. In such cases the increases will be effective the first day of the month following date of approval and will be preceded by the preparation and filing of a Performance Record within the agency indicating the attainment of satisfactory level of competence.

d) Other Pay Increases –

1. Promotion −

A) Standard Procedures –

i) From Other Than Step 8 – Normally, upon promotion, an employee shall be advanced to the lowest step in the targeted pay grade that represents at least a full step increase in the former pay grade. The promotion shall not change the creditable service date if the increase is less than one step for the bargaining unit employees.

ii) From Step 8 – The employee shall be paid at the lowest step rate in the targeted pay grade that results in an increase equal to at least the dollar difference between Step 7 and Step 8 in the former pay grade. To compute this, add the dollar difference between Step 7 and Step 8 in the former pay grade to the employee's current rate at Step 8 (then include longevity if the employee is receiving an increased rate based on longevity). Then place the employee on the lowest step in the targeted pay grade that is at least equivalent to that amount. Otherwise, when an employee is promoted from Step 8, the employee shall be paid at the lowest step rate in the targeted pay grade that results in an increase equal to at least 3%. To compute this, add 3% to the employee's current rate at Step 8 (then include longevity if the employee is receiving an increased rate based on longevity). Then place the employee on the lowest step in the targeted pay grade that is at least equivalent to that amount. The promotion shall not change the creditable service date if the increase is less than one step for the bargaining unit employees.

B) Exception – Any deviation is a special salary adjustment (see subsection (e)).

2. Reallocation –

A) Standard Procedures −

i) From Other Than Step 8 − Normally, upon reallocation, an employee shall be advanced to the lowest step in the targeted pay grade that represents at least a full step increase in the former pay grade.

ii) From Step 8 − When an employee is reallocated from Step 8, the employee shall be paid at the lowest step rate in the targeted pay grade that results in an increase equal to at least 3%. To compute this, add 3% to the employee's current rate at Step 8 (then include longevity if the employee is receiving an increased rate based on longevity). Then place the employee on the lowest step in the targeted pay grade that is at least equivalent to that amount. The reallocation shall not change the creditable service date for non-bargaining-unit employees or if the increase is less than one step for the bargaining unit employees.

B) Exception − Any deviation is a special salary adjustment (see subsection (e)).

3. Reevaluation – If a higher pay grade is assigned to a class, the employee occupying the position in the class shall be advanced to the lowest step in the new grade that represents an increase in pay. If an employee becomes eligible for a satisfactory performance increase as a result of the reevaluation, a one-step increase will be granted immediately. The reevaluation shall not change the creditable service date if the increase is less than one step for the bargaining unit employees.

4. Separation and Subsequent Appointment – Upon separation from a position of a given class and appointment within four calendar days to a position in a higher pay grade, an increase shall be given under the conditions and requirements applicable to promotions (see subsection (d)(1)).

5. Reclassification – If the class to which the position is being moved has a higher pay grade, the employee's base salary is advanced to the salary in the new pay grade that represents the least increase in pay. If this new salary is less than the difference between Step 7 and Step 8 in the new pay grade and the employee has been paid the base salary in Step 8 of the previous pay grade for longer than one year, the new salary is advanced one step from the salary in the new pay grade representing the least increase. The reclassification shall not change the creditable service date if the increase is less than one step for the bargaining unit employees.

e) Adjustment – An employee may receive an upward adjustment in the employee's base salary for the purpose of correcting a previous error, oversight or when the best interest of the agency and the State of Illinois will be served. Adjustments shall have the prior approval of the Director. An adjustment at the time of entrance into State government shall have supporting documentation in the candidate's employment application. In determining the appropriateness of a request for a salary adjustment by an employing agency, the Director shall consider whether the need for the adjustment is substantial, whether the action is consistent with the treatment of other similar situations, and whether the action is equitable in view of the particular circumstances prompting the request. The Director's approval of an adjustment at the time of entrance into State government shall be based on the candidate's documented directly‑related education and experience exceeding the minimum requirements in the class specification, prior base salary history, staffing needs and requirements of the employing agency, and labor market influences on the recruitment for the position classification or position. The adjustment shall not change the creditable service date if the increase is less than one step for the bargaining unit employees. When a payroll adjustment is made for an AFSCME represented employee covered by the collective bargaining agreement signed August 21, 2019, upon request, an explanation for the adjustment shall be given to the employee.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.90 Decreases in Pay

Employees other than those whose base salaries are determined by the Schedule of Rates (Subpart B) shall have their salaries reduced only as specified below and shall become effective the first day of the pay period following date of approval:

a) Demotion for Cause to a Lower Class − Upon demotion, the employee's base salary will be reduced to Step 8 of the pay grade for the lower class if the current base salary is in excess of that pay grade, or to the step in the lower pay grade that provides the salary nearest in amount, but less than, the current base salary, except that an employee demoted during a probationary period following promotion will have the employee's salary reduced to the step in the lower pay grade that represents the salary had the employee not been promoted, and the employee's previous creditable service date will be restored.

b) Position Reallocated to a Lower Class − The employee's base salary will be reduced to Step 8 of the lower pay grade, if in excess of that pay grade, or to the step in the lower pay grade nearest in amount to, but in no case more than, the current base salary. However, as provided in Section 8(a) of the Personnel Code [20 ILCS 415], the pay for an employee whose position is reallocated because of loss of duties and responsibilities after the employee's appointment to that position shall not be required to be lowered to an exact step for a period of one year. When the base salary is identical to an exact step in the lower range, the employee shall be placed on this step with no further reduction required. An employee's creditable service date will not be affected.

c) Voluntary Reduction to a Lower Class − Upon the voluntary reduction of an employee to a vacant position in a class having a lower pay grade than the class from which the reduction was made, the employee's base salary will be reduced to Step 8 of the lower pay grade if in excess of that pay grade, or to the step in the lower pay grade that provides the base salary nearest in amount, but less than, the current base salary, except that an employee who voluntarily requests a reduction to a lower class during a probationary period following promotion will have the employee's salary reduced to the step in the pay grade that represents the salary had the employee not been promoted, and the employee's previous creditable service date will be restored.

d) Assignment of a Lower Pay Grade to a Class − Upon assignment, an employee's base salary will be that step in the new pay grade nearest to, but not greater in amount than, the step being vacated in the former pay grade. The reevaluation shall not change the creditable service date.

e) Adjustment – An employee may receive a downward adjustment in the employee's base salary for the purpose of correcting a previous error or oversight or when the best interest of the agency and the State of Illinois will be served. Adjustments must have the prior approval of the Director in writing. In determining the appropriateness of a request for a salary adjustment by an employing agency, the Director will consider whether the need for the adjustment is substantial, whether the action is consistent with the treatment of other similar situations, and whether the action is equitable in view of the particular circumstances prompting the request. The adjustment shall not change the creditable service date.

f) Reclassification – If the class to which the position is being moved has a lower pay grade, the employee's base salary will be the salary in the new pay grade nearest to, but not greater than, the employee's former salary. As provided in Section 8(a) of the Personnel Code, the pay for an employee whose position is reclassified shall not be lowered for a period of one year. If the base salary is identical to an exact step in the lower range, the employee shall be placed on this step with no further reduction required. An employee's creditable service date will not be affected.

History

• Source: Amended at 44 Ill. Reg. 12146, effective July 13, 2020

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.100 Other Pay Provisions

a) Transfer – Upon the assignment of an employee to a vacant position in a class with the same pay grade as the class for the position being vacated, the employee's base salary will not be changed. Upon separation from a position in a given class and subsequent appointment to a position in the same pay grade, no increase in salary will be given.

b) Entrance Base Salary – State agencies shall not seek, request or require a candidate's current wage or salary history. Agencies shall not use an applicant's current wage or salary history to screen applicants or request or require current wage or salary history information as a condition for being considered for employment or for an offer of employment. Agencies shall not verify a candidate's current wage or salary history. Each agency shall not request current or past wage or salary at any location (website, form or process). If a candidate inadvertently or voluntarily without prompting discloses the candidate's current or past wage or salary, including benefits or other compensation, the agency shall not consider or rely on the information in a current or future salary offer and shall disregard the information.

1. Qualifications Only Meet Minimum Requirements – When a candidate only meets the minimum requirements of the class specification upon entry to State service, an employee's entrance base salary is the in-hire rate or the minimum base salary of the pay grade.

2. Qualifications Above Minimum Requirements – If a candidate possesses directly-related education and experience in excess of the minimum requirements of the class specification, the employing agency may offer the candidate an entrance base salary that is not more than 5% above the candidate's current base salary. Any deviation from the 5% maximum is a special salary adjustment (see Section 310.80(e)).

3. Area Differential – For positions for which additional compensation is required because of dissimilar economic or other conditions in the geographical area in which the positions are established, a higher entrance step may be authorized by the Director of Central Management Services. Present employees receiving less than the new rate shall be advanced to the new rate.

c) Geographical Transfer – Upon geographical transfer from or to an area for which additional compensation has been authorized, an employee will receive an adjustment to the appropriate salary level for the new geographical area of assignment effective the first day of the month following date of approval.

d) Differential and Overtime Pay – An eligible employee may have an amount added to the employee's base salary for a given pay period for work performed in excess of the normal requirements for the position and work schedule, as follows:

1. Shift Differential Pay –An employee may be paid an amount in addition to the employee's base salary for work performed on a regularly scheduled second or third shift. The additional compensation will be at a rate and in a manner approved by the Department. The Director will approve the manner and rate of this provision after considering the need of the employing agency, the treatment of other similar situations, prevailing practices of other employers, and the equity of the particular circumstances.

2. Overtime Pay –

A) Eligibility − The Director will maintain a list of titles and their overtime eligibility as determined by labor contracts, Federal Fair Labor Standards Act (29 USC 203), or State law or regulations. Overtime shall be paid in accordance with the labor contracts, Federal Fair Labor Standards Act, and State law or regulations.

B) Compensatory Time –When Contract Contains No Provision − Employees who are eligible for compensatory time may request that time, which may be granted by the agency at its discretion, considering, among other things, its operating needs. Compensatory time shall be taken within the fiscal year it was earned at a time convenient to the employee and consistent with the operating needs of the agency. Compensatory time shall be accrued at the rate in which it is earned (straight time or time and a half), but shall not exceed 120 hours in any fiscal year. Compensatory time approved for non-union employees will be earned after 40 actual work hours in a workweek. Compensatory time not used by the end of the fiscal year in which it was earned shall be liquidated and paid in cash at the rate it was earned. Time spent in travel outside the normal work schedule shall not be accrued as compensatory time except as provided by labor contracts and the Federal Fair Labor Standards Act. At no time are overtime hours or compensatory time to be transferred from one agency to another agency.

3. Incentive Pay – An employee may be paid an amount in addition to the employee's base salary for work performed in excess of the normal work standard as determined by agency management. The additional compensation shall be at a wage rate and in a manner approved by the Director. The Director will approve the manner and rate of this provision after considering the need of the employing agency, the treatment of other similar situations, prevailing practices of other employers, and the equity of the particular circumstances.

4. Temporary Assignment Pay –

A) When Assigned to a Higher-Level Position Classification – A bargaining unit employee may be temporarily assigned to a bargaining unit position in a position classification having a higher pay grade and shall be eligible for temporary assignment pay. To be eligible for temporary assignment pay, the employee must be directed to perform the duties that distinguish the higher-level position classification and be held accountable for the responsibility of the higher classification. Employees shall not receive temporary assignment pay for paid days off except if the employee is given the assignment for 30 continuous days or more, the days off fall within the period of time and the employee works 75% of the time of the temporary assignment. Temporary assignment pay shall be calculated as if the employee received a promotion (see Section 310.80(d)(1)) into the higher pay grade. In no event is the temporary assignment pay to be lower than the minimum rate of the higher pay grade or greater than the maximum rate of the higher pay grade.

B) When Required to Use Second Language Ability – Employees who are bilingual or have the ability to use sign language, Braille, or another second language (e.g., Spanish) and whose job descriptions do not require that they do so shall be paid temporary assignment pay when required to perform duties requiring the ability. The temporary assignment pay received is prorated based on 5% or $100 per month, whichever is greater, in addition to the employee's base rate.

e) Out-of-State Assignment – Employees who are assigned to work out-of-state on a temporary basis may receive an appropriate differential during the period of the assignment, as approved by the Director. The Director will approve the manner and rate of this provision after considering the need of the employing agency, the treatment of other similar situations, prevailing practices of other employers, and the equity of the particular circumstances.

f) Part-Time Work – Part-time employees whose base salary is other than an hourly or daily basis shall be paid on a daily basis computed by dividing the annual rate of salary by the total number of work days in the year.

g) Lump Sum Payment – Lump sum payment shall be provided for accrued vacation, sick leave, and unused compensatory overtime at the current base rate to those employees separated from employment under the Personnel Code. Leaves of absence and temporary layoff (per 80 Ill. Adm. Code 302.510) are not separations and therefore lump sum cannot be given in these transactions. Method of computation is explained in Section 310.70(a).

AGENCY NOTE – The method to be used in computing the lump sum payment for accrued vacation, sick leave and unused compensatory overtime payment for an incumbent entitled to shift differential during the employee's regular work hours will be to use the employee's current base salary plus the shift differential pay. Sick leave earned prior to January 1, 1984 and after December 31, 1997 is not compensable. Sick leave earned and not used between January 1, 1984 and December 31, 1997 will be compensable at the current base daily rate times one-half of the total number of compensable sick days.

h) Salary Treatment Upon Return From Leave –

1. An employee returning from Military Leave (80 Ill. Adm. Code 302.220 and 303.170), Peace Corps Leave (80 Ill. Adm. Code 302.230), Service-Connected Disability Leave (80 Ill. Adm. Code 303.135), Educational Leave (80 Ill. Adm. Code 302.215), Disaster Service Leave With Pay (80 Ill. Adm. Code 303.175), Disaster Service Leave With Pay – Terrorist Attack (80 Ill. Adm. Code 303.176), Family Responsibility Leave (80 Ill. Adm. Code 303.148), leave to accept a temporary, emergency, provisional, exempt (80 Ill. Adm. Code 303.155) or trainee position, leave to serve in domestic peace or job corps (80 Ill. Adm. Code 302.230) or leave to serve in an interim assignment will be placed on the step that reflects satisfactory performance increases to which the employee would have been entitled during the employee's period of leave. Creditable service date will be maintained.

2. An employee returning to the employee's former pay grade from any other leave (not mentioned in subsection (i)(1)) of over 14 days will be placed at the step on which the employee was situated prior to the employee's leave, and the employee's creditable service date will be extended by the duration of the leave.

i) Salary Treatment Upon Reemployment –

1. Upon the reemployment of an employee in a class with the same pay grade as the class for the position held before layoff, the employee will be placed at the same salary step as held at the time of the layoff, and the employee's creditable service date will be adjusted to reflect that time on layoff does not count as creditable service time.

2. Upon the reemployment of an employee in a class at a lower salary range than the range of the class for the position held before layoff, the employee will be placed at the step in the lower pay grade that provides the base salary nearest in amount to, but less than, the current value of the step held at the time of layoff, and the employee's creditable service date will be adjusted to reflect that time on layoff does not count as creditable service time.

j) Reinstatement –

1. For Former State Employees Subject to the Personnel Code Who Had Intervening Employment Outside of State Government – For former State employees subject to the Personnel Code who had intervening employment outside of State government shall be paid under the conditions and requirements applicable to entrance base salary (see subsection (b)).

2. For Former State Employees Subject to the Personnel Code Who Had No Intervening Employment or Only Had Intervening State Government Employment – For former State employees subject to the Personnel Code who had no intervening employment or only had intervening State government employment, the salary upon reinstatement should not provide more than a 5% increase over the candidate's current base salary or exceed the current value of the salary step held in the position for which previously certified without prior approval by the Director. In no event is the resulting salary to be lower than the minimum rate or higher than the maximum rate of the pay grade. Any deviation from the 5% maximum, except when the resulting salary is the minimum rate of the pay grade, is a special salary adjustment (see Section 310.80(e)).

k) Longevity Pay or Longevity Step and Bonus –The Step 8 rate shall be increased by $25 per month for those employees who have attained 10 years of service and have three years of creditable service on Step 8 in the same pay grade. The Step 8 rate shall be increased by $50 per month for those employees who have attained 15 years of service and have three years of creditable service on Step 8 in the same pay grade.

l) Bilingual Pay – Individual positions whose job descriptions require the use of sign language, Braille, or another second language (e.g., Spanish) shall receive 5% or $100 per month, whichever is greater, in addition to the employee's base rate.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.110 Implementation of Pay Plan Changes (repealed)

History

• Source: Repealed at 34 Ill. Reg. 9759, effective July 1, 2010

80 Ill. Adm. Code 310.120 Interpretation and Application of Pay Plan

The Director of Central Management Services shall determine the proper interpretation and application of each provision of the Plan. The decision of the Director as to the proper interpretation or application of any such provision shall be final and binding upon all agencies and employees affected thereby, and all agencies and employees shall comply with the Director's decision, in the absence of a written opinion of the Attorney General or a written directive of the Civil Service Commission or a court order declaring the Director's decision to be unlawful.

80 Ill. Adm. Code 310.130 Effective Date

This Pay Plan Narrative (Subpart A), Schedule of Rates (Subpart B), Merit Compensation System (Subpart C), Negotiated Rates of Pay (Appendix A), Merit Compensation System Salary Schedule (Appendix D), Comparison of Pay Grades or Salary Ranges Assigned to Classifications (Appendix C) and Broad-Band Pay Range Classes Salary Schedule (Appendix G) shall be effective for Fiscal Year 2024.

History

• Source: Amended at 47 Ill. Reg. 10482, effective July 1, 2023

80 Ill. Adm. Code 310.140 Reinstitution of Within Grade Salary Increases (repealed)

History

• Source: Repealed at 22 Ill. Reg. 16158, effective August 31, 1998

80 Ill. Adm. Code 310.150 Fiscal Year 1985 Pay Changes in Schedule of Salary Grades Effective July 1, 1984 (repealed)

History

• Source: Repealed at 9 Ill. Reg. 10663, effective July 1, 1985

80 Ill. Adm. Code 310.205 Introduction

An employee occupying a position for which the rate of pay is determined by one of the methods enumerated in this Subpart shall be paid a wage as specified.

80 Ill. Adm. Code 310.210 Prevailing Rate

a) Classes − The following are prevailing rate classes:

Baker

Plumber

Barber

Plumbing Foreman

Brickmason

Roofer

Carpenter

Sewage Plant Operator

Carpenter Foreman

Sign Painter

Cosmetologist

Sign Painter Helper

Electrician

Stationary Engineer

Electrician Foreman

Stationary Engineer – Assistant Chief

Highway Construction Equipment Operator

Stationary Engineer – Chief

Laborer

Stationary Fireman

Laborer (Building)

Steamfitter

Laborer Foreman

Teacher of Barbering

Machinist

Teacher of Beauty Culture

Maintenance Worker (Power Plant)

Tinsmith

Painter

Trades Tender

Painter Foreman

Water Plant Operator

b) Boiler Safety Specialist – This section shall apply to employees occupying positions in the Boiler Safety Specialist class that are represented by the RC-008 bargaining unit (see Appendix A, Table L).

c) Rate Certification Process and Effective Date – Copies of signed agreements between contractors or other employers and the respective union shall be certified to the Illinois State Department of Labor by the international representative of the respective union and shall be considered adequate proof of the prevailing rate of wages to be paid, minus the per hour costs of fringe benefits so designated by agreement, if any, in keeping with past practice. The Illinois Department of Labor shall notify the Department of Central Management Services of the prevailing rate. The effective date of changes in wage rates shall be on the date of certification by the Illinois Department of Labor.

d) Pension Formula Adjustment − Effective January 1, 2006, employees shall be paid an additional 4.00% above the prevailing rate of wages for employees on the standard pension formula and 5.5% above the prevailing rate of wages for employees on the alternative pension formula, minus the per hour costs of fringe benefits. New prevailing rate employees hired on or after December 1, 2013, shall be paid the appropriate/certified prevailing rate which shall not include the additional 4.00% above the prevailing rate of wages on the standard pension formula and 5.5% above the prevailing rate of wages for employees on the alternative pension formula.

e) Maximum Security Rates – Positions in maximum security institutions shall receive a $75 a month adjustment to the employee's monthly wages for all employees with seven or more years of continuous service with the Department of Corrections. Employees shall receive the adjustment as long as they remain employees at a maximum-security facility.

f) FY2020 Signing Bonus – Upon ratification of the contract, all bargaining unit employees on active payroll effective June 30, 2020 shall receive a one-time signing bonus of $2,500 within fiscal year 2020. Only employees on active status shall receive the bonus payable after ratification of the collective bargaining agreement. The signing shall be paid as soon as practicable after the ratification of the agreement.

g) Employee Bonus in Lieu of Merit Incentive Bonus – Those employees who in the past have received a Merit Incentive Bonus and who were employed from July 1, 2018 to June 30, 2019 will receive in the second year of the contract a $600 bonus to be paid on July 1, 2020. Those employees who in the past have received a Merit Incentive Bonus and who were employed from July 1, 2018 to June 30, 2019 will receive in the third year of the contract a $330 bonus to be paid on July 1, 2021.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.220 Negotiated Rate

a) Rates by Geographic Area, Agency or Agency Area − The rate of pay for a class in any specific area or agency, or in a specific area for an agency, is established and approved by the Director of Central Management Services after having conducted negotiations for this purpose, or as certified as being correct and reported to the Director of Central Management Services by the Director of the Illinois Department of Labor for designated classifications.

b) Rates for Positions Excluded from Bargaining Unit Representation − An employee occupying a position in a class normally subject to contract, but whose position is excluded from the bargaining unit, shall be assigned to the Merit Compensation System (Subpart C) and receive the rates, within the Merit Compensation System Salary Schedule (Appendix D) based on the salary range assigned to the classification title in Section 310.410 or within the Broad-Band Pay Range Classes Salary Schedule (Appendix G) based on the salary range assigned to the classification title.

c) Rates for Higher Duties − As provided in certain collective bargaining agreements, an employee may be paid at an appropriate higher rate when assigned to perform the duties of a higher level position. Eligibility for and the amount of this pay will be as provided in the contract.

d) Promotion from Step 8 − The employee shall be paid as provided in Section 310.80(d)(1)(A)(ii).

e) To Locate Rates − The negotiated rates of pay for classifications in specified operating agencies, in specified agency facilities or with specified duties shall be as indicated in Appendix A, unless the rates are red-circled.

f) Red-Circled Rates – Red-circled rates are the negotiated or arbitrator assigned base salaries not otherwise on a step in the pay grade assigned to a classification or in the Pay Plan. The base salaries may be above the pay grade's maximum base salary or between two base salaries on consecutive steps. An employee who takes a position in a Trainee Program (see 80 Ill. Adm. Code 302.170) classification that represents a reduction when comparing classifications (see Section 310.45) shall receive the higher amount of either the in-hire rate or the base salary red-circled at the amount of the former classification. Upon completion of a trainee period, the employee who is promoted to a targeted title shall receive the rate on a step that results in a minimum of one dollar increase based on the difference between the two steps, which the red-circled rate is between, added to the red-circled rate. If through negotiation of a classification assignment to a pay grade where the base salary exceeds Step 8, the base salary shall be red-circled at its current rate and may receive contractual adjustments.

History

• Source: Amended at 44 Ill. Reg. 12146, effective July 13, 2020

80 Ill. Adm. Code 310.230 Part-Time Daily or Hourly Special Services Rate (repealed)

History

• Source: Repealed at 32 Ill. Reg. 9881, effective July 1, 2008

80 Ill. Adm. Code 310.240 Daily or Hourly Rate Conversion

Rates of pay for employees whose work is of an irregular nature and whose compensation is based on a daily or hourly rate shall be computed as follows:

a) Daily Rate Conversion – Conversion of the applicable monthly salary to an annual amount and dividing the result by the number of working days in a year according to the normal work schedule of that class for the agency.

b) Hourly Rate Conversion – Conversion of the applicable monthly salary to an annual amount and dividing the result by the number of working hours in a year according to the normal work schedule of that class for the agency.

History

• Source: Amended at 30 Ill. Reg. 7857, effective April 17, 2006

80 Ill. Adm. Code 310.250 Member, Patient and Inmate Rate (repealed)

History

• Source: Repealed at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.260 Trainee Rate

Rates of pay for employees working in classes pursuant to a Trainee Program (80 Ill. Adm. Code 302.170) shall conform to those set forth: in negotiated pay grades within Negotiated Rates of Pay (Appendix A) unless the rate is red-circled (Section 310.220(f)); in salary ranges within the Merit Compensation System Salary Schedule (Appendix D) for a class also assigned a bargaining unit pay grade; or as in-hire rates (Section 310.47(f)(3)) for a class only assigned a Merit Compensation System salary range. The process of assigning merit compensation salary ranges to Trainee Program classifications is in Section 310.415(b). The Trainee Program classifications are:

Title

Title Code

Negotiated Pay Grade

Merit Compensation Salary Range

Account Technician Trainee

00118

None

MS-04

Accounting and Fiscal Administration Career Trainee

00140

RC-062-12

MS-09

Actuarial Examiner Trainee

00196

RC-062-13

MS-10

Administrative Services Worker Trainee

00600

RC-014-02

MS-02

Animal and Animal Products Investigator Trainee

01075

None

MS-09

Appraisal Specialist Trainee

01255

None

MS-09

Arson Investigations Trainee

01485

None

MS-12

Behavior Analyst Associate

04375

RC-062-15

MS-12

Cannabis Regulator Trainee

06005

Pending RC-029 Negotiations

MS-13

Child Support Specialist Trainee

07200

RC-062-12

MS-09

Children and Family Service Intern, Option 1

07241

RC-062-12

MS-09

Children and Family Service Intern, Option 2

07242

RC-062-15

MS-12

Civil Engineer Trainee

07607

NR-916

MS-16

Clerical Trainee

08050

RC-014-01

MS-01

Clinical Laboratory Technologist Trainee

08229

RC-062-14

MS-11

Clinical Psychology Associate

08255

RC-063-18

MS-19

Commerce Commission Police Officer Trainee

08455

None

MS-10

Conservation Police Officer Trainee

09345

RC-061

MS-06

Correctional Officer Trainee

09676

RC-006-07

MS-08

Corrections Nurse Trainee

09836

RC-023-17

MS-16

Corrections Treatment Officer Trainee

09866

RC-006-11

MS-13

Criminal Justice Specialist Trainee

10236

RC-062-13

MS-10

Data Processing Operator Trainee

11428

RC-014-02

MS-02

Data Processing Technician Trainee

11443

RC-028-06

MS-04

Disability Claims Adjudicator Trainee

12539

RC-062-13

MS-10

Economist Associate

12940

None

MS-12

Economic Development Representative Trainee

12939

None

MS-10

Educator Intern

13135

None

MS-10

Energy and Natural Resources Specialist Trainee

13715

RC-062-12

MS-09

Environmental Health Specialist I

13768

RC-062-14

MS-11

Financial Institutions Examiner Trainee

14978

RC-062-13

MS-10

Fingerprint Technician Trainee

15209

None

MS-05

Fire Prevention Inspector Trainee

15320

RC-029-12

MS-10

Firearms Eligibility Analyst Trainee

15375

RC-062-11

MS-08

Forensic Scientist Trainee

15897

RC-062-15

MS-12

Gaming Special Agent Trainee

17195

RC-062-14

MS-11

Geographic Information Trainee

17276

RC-063-15

MS-12

Governmental Career Trainee

17325

None

MS-09

Graduate Pharmacist

17345

RC-063-20

MS-23

Hearing and Speech Associate

18231

RC-063-18

MS-19

Human Resources Trainee

19694

RC-014-07

MS-04

Human Rights Investigator Trainee

19768

RC-062-12

MS-09

Human Services Grants Coordinator Trainee

19796

RC-062-12

MS-09

Industrial Services Consultant Trainee

21125

RC-062-11

MS-08

Industrial Services Hygienist Trainee

21133

RC-062-12

MS-09

Information Technology Trainee

21163

Pending RC-063 Negotiations

MS-12

Insurance Analyst Trainee

21566

RC-014-07

MS-04

Insurance Company Financial Examiner Trainee

21610

RC-062-13

MS-10

Insurance Performance Examiner Trainee

21680

None

MS-09

Internal Auditor Trainee

21726

RC-062-13

MS-09

Juvenile Justice Specialist Intern

21976

RC-006-11

MS-13

Land Reclamation Specialist Trainee

23137

None

MS-09

Liability Claims Adjuster Trainee

23375

None

MS-09

Life Sciences Career Trainee

23600

RC-062-12

MS-09

Liquor Control Inspector Trainee

23744

RC-029-12

MS-10

Liquor Control Investigator Trainee

23756

RC-062-14

MS-11

Management Operations Analyst Trainee

25545

None

MS-12

Manpower Planner Trainee

25597

RC-062-12

MS-09

Meat and Poultry Inspector Trainee

26075

RC-029-09

MS-07

Medicaid Management Intern

26305

None

MS-13

Mental Health Administrator Trainee

26817

RC-062-16

MS-14

Mental Health Specialist Trainee

26928

RC-062-11

MS-08

Mental Health Technician Trainee

27020

RC-009-13

MS-03

Methods and Procedures Career Associate Trainee

27137

RC-062-09

MS-06

Natural Resources Coordinator Trainee

28830

None

MS-09

Office Occupations Trainee

30075

None

MS-01

Polygraph Examiner Trainee

33005

None

MS-12

Portable Scales Operator Trainee

33022

Pending HR-001 Negotiations

MS-14

Products and Standards Inspector Trainee

34605

None

MS-09

Program Integrity Auditor Trainee

34635

RC-062-12

MS-09

Psychologist Associate

35626

RC-063-15

MS-12

Psychology Intern

35660

None

MS-15

Public Administration Intern

35700

None

MS-11

Public Aid Investigator Trainee

35874

RC-062-14

MS-11

Public Health Program Specialist Trainee

36615

RC-062-12

MS-09

Public Safety Inspector Trainee

37010

RC-062-10

MS-07

Rehabilitation Counselor Trainee

38159

RC-062-15

MS-12

Rehabilitation/Mobility Instructor Trainee

38167

RC-063-15

MS-12

Research Fellow, Option B

38211

None

MS-19

Resident Physician

38270

None

MS-15

Residential Care Worker Trainee

38279

RC-009-11

MS-05

Retirement Benefits Representative Trainee

38316

RC-062-10

MS-07

Revenue Auditor Trainee (IL)

38375

RC-062-12

MS-09

Revenue Auditor Trainee (states other than IL and not assigned to RC-062-15)

38375

RC-062-13

MS-09

Revenue Auditor Trainee (see Note in Appendix A Table W)

38375

RC-062-15

MS-09

Revenue Collection Officer Trainee

38405

RC-062-12

MS-09

Revenue Special Agent Trainee

38565

RC-062-14

MS-11

Revenue Tax Specialist Trainee

38575

RC-062-10

MS-07

Security Therapy Aide Trainee

39905

RC-009-14

RC-009-13

MS-06

Seed Analyst Trainee

39953

None

MS-07

Social Service Aide Trainee

41285

RC-006-01 RC-009-02

MS-03

Social Services Career Trainee

41320

RC-062-12

MS-09

Social Worker Intern

41430

None

MS-15

Student Intern

43190

None

MS-01

Student Worker

43200

None

MS-01

Telecommunications Systems Technician Trainee

45314

None

MS-05

Telecommunicator Trainee

45325

RC-014-10

MS-07

Terrorism Research Specialist Trainee

45375

RC-062-14

MS-11

Weatherization Specialist Trainee

49105

RC-062-12

MS-09

Well Inspector Trainee

49425

None

MS-09

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

80 Ill. Adm. Code 310.270 Legislated Rate (repealed)

History

• Source: Repealed at 39 Ill. Reg. 7878, effective May 22, 2015

80 Ill. Adm. Code 310.280 Designated Rate

a) Requirements – The rate of pay for a specific position or class of positions excluded from the other requirements of this Pay Plan shall be only as designated by the Governor. A designated rate is the fixed rate of pay assigned usually to one position within a position classification. The fixed rate is above the maximum of the salary range assigned to the position classification. The fixed rate is the value the employing agency determines for the uniquely combined position and employee or the candidate recruited to be the employee. A designated rate may be assigned to a position classification and, therefore, all positions within the position classification. The establishment of or change to a designated rate requires a request from the head of the employing agency to the Director.

b) Request from the Head of the Employing Agency – The request from the employing agency head shall explain the unique nature of the employee's education and experience combined with the position's scope, responsibility, and reporting that warrant the requested designated rate, how the requested designated rate was determined, and the requested effective date. The employing agency shall attach to the request the current position description and the candidate's or employee's current State employment or promotional employment application.

c) Review and Approval – The Director shall review the requested designated rate by comparing the value given to other positions and employees in the employing agency, the State, and other states when available. Following the review, the Director shall seek the Governor's approval for the designated rate and its effective date.

d) Employee Payment – When the rate is approved, this Section shall be amended to include the approved designated rate. Once amended, the employing agency shall pay the employee the designated rate retroactively to the effective date approved by the Governor.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.290 Out-of-State Rate (repealed)

History

• Source: Repealed at 32 Ill. Reg. 9881, effective July 1, 2008

80 Ill. Adm. Code 310.295 Foreign Service Rate (repealed)

History

• Source: Repealed at 32 Ill. Reg. 9881, effective July 1, 2008

80 Ill. Adm. Code 310.300 Educator Schedule for Rc-063 and Hr-010

The rates of pay for employees in an Educator or Educator - Career and Technical position shall be as determined in this Section and as shown in Appendix A, Tables T and Y.

a) Selection of the appropriate salary lane will be based on the level of academic status attained by the incumbent that relates to the educational programs of the employing agency. All hours beyond bachelor's level must be approved by the employing agency as being applicable to its programs.

b) All provisions of Subpart A shall apply to incumbents of the Educator positions, with the following exceptions:

1. For HR-010 only, Section 310.100(b) and (l) shall not apply.

2. For both RC-063 and HR-010: Section 310.100(d)(3) and (4), (e) and (f) shall not apply.

c) Upon furnishing evidence of the satisfactory completion of required course work, the employee shall be advanced in pay to the same numbered step in the appropriate salary lane. Increases in the rate of pay shall be effective on the first day of the pay period following approval.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.310 Physician Specialist Rate

Upon furnishing evidence of American Board Certification in accordance with the requirements provisions of the class specification for Physician Specialist, an incumbent shall advance from a step in the residency option to the same numbered step of the certification option of their specialty. Such increase in the rate of pay shall be effective on the first day of the pay period following the date of approval.

History

• Source: Peremptory Amendment at 11 Ill. Reg. 13675, effective July 29, 1987

80 Ill. Adm. Code 310.320 Annual Compensation Ranges for Executive Director and Assistant Executive Director, State Board of Elections (repealed)

History

• Source: Repealed at 29 Ill. Reg. 13540, effective August 22, 2005

80 Ill. Adm. Code 310.330 Excluded Classes Rate (repealed)

History

• Source: Repealed at 8 Ill. Reg. 22844, effective November 14, 1984

80 Ill. Adm. Code 310.410 Jurisdiction

The Merit Compensation System shall apply to classes of positions, or positions excluded from bargaining unit representation, designated below and Broad-Band classes in Appendix G. In addition, the classes are listed in the ALPHABETIC INDEX OF POSITION TITLES. Also see Section 310.495 for the application of the Merit Compensation System for those Broad-Band titles listed with their salary ranges in Appendix G.

Title

Title Code

Salary Range

Account Clerk I

00111

MS-03

Account Clerk II

00112

MS-04

Account Technician I

00115

MS-07

Account Technician II

00116

MS-09

Account Technician Trainee

00118

MS-04

Accountant

00130

MS-11

Accountant Advanced

00133

MS-14

Accountant Supervisor

00135

MS-19

Accounting and Fiscal Administration Career Trainee

00140

MS-09

Activity Program Aide I

00151

MS-04

Activity Program Aide II

00152

MS-05

Activity Therapist

00157

MS-12

Activity Therapist Coordinator

00160

MS-16

Activity Therapist Supervisor

00163

MS-23

Actuarial Assistant

00187

MS-14

Actuarial Examiner

00195

MS-14

Actuarial Examiner Trainee

00196

MS-10

Actuarial Senior Examiner

00197

MS-21

Actuary I

00201

MS-23

Actuary II

00202

MS-31

Actuary III

00203

MS-33

Administrative Assistant I

00501

MS-16

Administrative Assistant II

00502

MS-21

Administrative Services Worker Trainee

00600

MS-02

Agricultural Executive

00800

MS-23

Agricultural Land and Water Resources Supervisor

00811

MS-25

Agricultural Market News Assistant

00804

MS-09

Agricultural Marketing Reporter

00807

MS-19

Agricultural Marketing Representative

00810

MS-19

Agriculture Land and Water Resource Specialist I

00831

MS-11

Agriculture Land and Water Resource Specialist II

00832

MS-16

Agriculture Land and Water Resource Specialist III

00833

MS-23

Aircraft Dispatcher

00951

MS-09

Aircraft Lead Dispatcher

00952

MS-11

Aircraft Pilot I

00955

MS-21

Aircraft Pilot II

00956

MS-28

Aircraft Pilot II – Dual Rating

00957

MS-29

Amusement Ride Safety Inspector

01061

MS-14

Animal and Animal Products Investigator

01072

MS-11

Animal and Animal Products Investigator Trainee

01075

MS-09

Apiary Inspector

01215

MS-03

Apparel/Dry Goods Specialist I

01231

MS-04

Apparel/Dry Goods Specialist II

01232

MS-05

Apparel/Dry Goods Specialist III

01233

MS-10

Appraisal Specialist I

01251

MS-11

Appraisal Specialist II

01252

MS-14

Appraisal Specialist III

01253

MS-19

Appraisal Specialist Trainee

01255

MS-09

Arbitrator

01401

MS-33

Architect

01440

MS-28

Arson Investigations Trainee

01485

MS-12

Arson Investigator I

01481

MS-15

Arson Investigator II

01482

MS-20

Arts Council Associate

01523

MS-09

Arts Council Program Coordinator

01526

MS-19

Arts Council Program Representative

01527

MS-12

Assignment Coordinator

01530

MS-23

Assistant Automotive Shop Supervisor

01565

MS-11

Assistant Reimbursement Officer

02424

MS-05

Audio Visual Technician I

03501

MS-04

Audio Visual Technician II

03502

MS-06

Auto and Body Repairer

03680

MS-13

Automotive Attendant I

03696

MS-03

Automotive Attendant II

03697

MS-03

Automotive Mechanic

03700

MS-13

Automotive Parts Warehouse Specialist

03734

MS-11

Automotive Parts Warehouser

03730

MS-11

Automotive Shop Supervisor

03749

MS-18

Bank Examiner I

04131

MS-14

Bank Examiner II

04132

MS-21

Bank Examiner III

04133

MS-28

Behavior Analyst Associate

04375

MS-12

Behavior Analyst I

04371

MS-16

Behavior Analyst II

04372

MS-21

Blasting Expert

04720

MS-27

Blasting Specialist

04725

MS-25

Blasting Supervisor

04730

MS-29

Boat Safety Inspection Supervisor

04850

MS-22

Boiler Safety Audit Specialist

04900

MS-30

Boiler Safety Chief Inspector

04907

MS-34

Boiler Safety Specialist

04910

MS-26

Boiler Safety Supervisor

04915

MS-31

Breath Alcohol Analysis Technician

05170

MS-15

Bridge Mechanic

05310

MS-17

Bridge Tender

05320

MS-18

Building Construction Inspector I

05541

MS-18

Building Construction Inspector II

05542

MS-20

Building Services Worker

05616

MS-05

Building/Grounds Laborer

05598

MS-08

Building/Grounds Lead I

05601

MS-10

Building/Grounds Lead II

05602

MS-12

Building/Grounds Maintenance Worker

05613

MS-09

Building/Grounds Supervisor

05605

MS-12

Business Administrative Specialist

05810

MS-14

Business Manager

05815

MS-19

Buyer

05900

MS-19

Buyer Assistant

05905

MS-07

Cannabis Regulator

06000

MS-18

Cannabis Regulator Supervisor

06004

MS-23

Cannabis Regulator Trainee

06005

MS-13

Cancer Registrar I

05951

MS-11

Cancer Registrar II

05952

MS-14

Cancer Registrar III

05953

MS-23

Cancer Registrar Assistant Manager

05954

MS-27

Cancer Registrar Manager

05955

MS-31

Canine Specialist

06500

MS-20

Capital Development Board Account Technician

06515

MS-08

Capital Development Board Art In Architecture Technician

06533

MS-09

Capital Development Board Construction Support Analyst

06520

MS-08

Capital Development Board Media Technician

06525

MS-11

Capital Development Board Project Technician

06530

MS-09

Cartographer III

06673

MS-28

Chaplain I

06901

MS-16

Chaplain II

06902

MS-23

Check Issuance Machine Operator

06920

MS-06

Check Issuance Machine Supervisor

06925

MS-08

Chemist I

06941

MS-14

Chemist II

06942

MS-21

Chemist III

06943

MS-25

Child Development Aide

07184

MS-07

Child Protection Advanced Specialist

07161

MS-21

Child Protection Associate Specialist

07162

MS-14

Child Protection Specialist

07163

MS-19

Child Support Specialist I

07198

MS-14

Child Support Specialist II

07199

MS-16

Child Support Specialist Trainee

07200

MS-09

Child Welfare Administrative Case Reviewer

07190

MS-29

Child Welfare Advanced Specialist

07215

MS-21

Child Welfare Associate Specialist

07216

MS-14

Child Welfare Court Facilitator

07196

MS-28

Child Welfare Nurse Specialist

07197

MS-22

Child Welfare Senior Specialist

07217

MS-28

Child Welfare Specialist

07218

MS-19

Child Welfare Staff Development Coordinator IV

07204

MS-28

Children and Family Service Intern, Option 1

07241

MS-09

Children and Family Service Intern, Option 2

07242

MS-12

Civil Engineer I

07601

MS-22

Civil Engineer II

07602

MS-26

Civil Engineer III

07603

MS-30

Civil Engineer IV

07604

MS-31

Civil Engineer Trainee

07607

MS-16

Clerical Trainee

08050

MS-01

Clinical Laboratory Associate

08200

MS-05

Clinical Laboratory Phlebotomist

08213

MS-04

Clinical Laboratory Technician I

08215

MS-07

Clinical Laboratory Technician II

08216

MS-09

Clinical Laboratory Technologist I

08220

MS-19

Clinical Laboratory Technologist II

08221

MS-21

Clinical Laboratory Technologist Trainee

08229

MS-11

Clinical Pharmacist

08235

MS-32

Clinical Psychologist

08250

MS-29

Clinical Psychology Associate

08255

MS-19

Clinical Services Supervisor

08260

MS-31

Commerce Commission Police Officer I

08451

MS-18

Commerce Commission Police Officer II

08452

MS-22

Commerce Commission Police Officer Trainee

08455

MS-10

Commerce Commission Police Sergeant

08457

MS-24

Commodities Inspector

08770

MS-08

Communications Dispatcher

08815

MS-06

Communications Equipment Technician I

08831

MS-16

Communications Equipment Technician II

08832

MS-21

Communications Equipment Technician III

08833

MS-23

Communications Systems Specialist

08860

MS-29

Community Management Specialist I

08891

MS-12

Community Management Specialist II

08892

MS-16

Community Management Specialist III

08893

MS-21

Community Planner I

08901

MS-12

Community Planner II

08902

MS-16

Community Planner III

08903

MS-21

Compliance Officer

08919

MS-11

Computer Evidence Recovery Specialist

08980

MS-32

Conservation Education Representative

09300

MS-09

Conservation Grant Administrator I

09311

MS-19

Conservation Grant Administrator II

09312

MS-23

Conservation Grant Administrator III

09313

MS-28

Conservation Police Lieutenant

09339

MS-23

Conservation Police Officer I

09341

MS-18

Conservation Police Officer II

09342

MS-19

Conservation Police Officer Trainee

09345

MS-06

Conservation Police Sergeant

09347

MS-22

Conservation/Historic Preservation Worker

09317

MS-01

Construction Program Assistant

09525

MS-09

Construction Supervisor

09560

MS-14

Contract Specialist I

09566

MS-08

Contract Specialist II

09567

MS-11

Contract Specialist III

09568

MS-14

Cook I

09601

MS-04

Cook II

09602

MS-07

Correctional Casework Supervisor

09655

MS-25

Correctional Counselor I

09661

MS-12

Correctional Counselor II

09662

MS-16

Correctional Counselor III

09663

MS-21

Correctional Lieutenant

09673

MS-24

Correctional Officer

09675

MS-11

Correctional Officer Trainee

09676

MS-08

Correctional Sergeant

09717

MS-16

Corrections Apprehension Specialist

09750

MS-21

Corrections Assessment Specialist

09758

MS-21

Corrections Clerk I

09771

MS-11

Corrections Clerk II

09772

MS-13

Corrections Clerk III

09773

MS-18

Corrections Command Center Supervisor

09500

MS-32

Corrections Family Services Coordinator

09600

MS-32

Corrections Food Service Supervisor I

09793

MS-13

Corrections Food Service Supervisor II

09794

MS-18

Corrections Food Service Supervisor III

09795

MS-21

Corrections Grounds Supervisor

09796

MS-16

Corrections Identification Supervisor

09800

MS-24

Corrections Identification Technician

09801

MS-13

Corrections Industries Marketing Representative

09803

MS-16

Corrections Industry Lead Worker

09805

MS-16

Corrections Industry Supervisor

09807

MS-21

Corrections Intelligence Program Unit Manager

09798

MS-31

Corrections Laundry Manager I

09808

MS-18

Corrections Laundry Manager II

09809

MS-20

Corrections Law Library Assistant

09819

MS-11

Corrections Leisure Activities Specialist I

09811

MS-12

Corrections Leisure Activities Specialist II

09812

MS-16

Corrections Leisure Activities Specialist III

09813

MS-21

Corrections Leisure Activities Specialist IV

09814

MS-25

Corrections Locksmith

09818

MS-16

Corrections Maintenance Craftsman

09821

MS-16

Corrections Maintenance Supervisor

09822

MS-20

Corrections Maintenance Worker

09823

MS-12

Corrections Nurse I

09825

MS-20

Corrections Nurse II

09826

MS-25

Corrections Nurse Trainee

09836

MS-16

Corrections Parole Agent

09842

MS-16

Corrections Placement Resources Regional Supervisor

09839

MS-31

Corrections Program Administrator

09849

MS-31

Corrections Psychologist Administrator

09855

MS-32

Corrections Regional Mental Health Services Administrator

09857

MS-32

Corrections Residence Counselor I

09837

MS-13

Corrections Residence Counselor II

09838

MS-20

Corrections Senior Parole Agent

09844

MS-21

Corrections Supply Supervisor I

09861

MS-13

Corrections Supply Supervisor II

09862

MS-18

Corrections Supply Supervisor III

09863

MS-21

Corrections Training Program Supervisor

09860

MS-32

Corrections Transportation Officer I

09871

MS-13

Corrections Transportation Officer II

09872

MS-20

Corrections Treatment Officer

09864

MS-20

Corrections Treatment Officer Supervisor

09865

MS-27

Corrections Treatment Officer Trainee

09866

MS-13

Corrections Treatment Senior Security Supervisor

09867

MS-31

Corrections Unit Superintendent

09868

MS-32

Corrections Utilities Operator

09875

MS-16

Corrections Vocational Instructor

09879

MS-16

Corrections Vocational School Supervisor

09880

MS-20

Court Reporter

09900

MS-12

Court Reporter Supervisor

09903

MS-26

Crime Scene Investigator

09980

MS-25

Criminal Intelligence Analyst I

10161

MS-19

Criminal Intelligence Analyst II

10162

MS-23

Criminal Intelligence Analyst Specialist

10165

MS-28

Criminal Intelligence Analyst Supervisor

10169

MS-32

Criminal Justice Specialist I

10231

MS-14

Criminal Justice Specialist II

10232

MS-23

Criminal Justice Specialist Trainee

10236

MS-10

Data Processing Administrative Specialist

11415

MS-11

Data Processing Assistant

11420

MS-04

Data Processing Operator

11425

MS-03

Data Processing Operator Trainee

11428

MS-02

Data Processing Specialist

11430

MS-09

Data Processing Supervisor I

11435

MS-08

Data Processing Supervisor II

11436

MS-11

Data Processing Supervisor III

11437

MS-19

Data Processing Technician

11440

MS-06

Data Processing Technician Trainee

11443

MS-04

Day Care Licensing Representative I

11471

MS-14

Day Care Licensing Representative II

11472

MS-19

Deck Hand

11500

MS-15

Dental Assistant

11650

MS-07

Dental Hygienist

11700

MS-11

Dentist I

11751

MS-29

Dentist II

11752

MS-33

Developmental Disabilities Council Program Planner I

12361

MS-09

Developmental Disabilities Council Program Planner II

12362

MS-14

Developmental Disabilities Council Program Planner III

12363

MS-19

Developmental Psychological Services Administrator

12380

MS-32

Dietary Manager I

12501

MS-14

Dietary Manager II

12502

MS-19

Dietitian

12510

MS-12

Disability Appeals Officer

12530

MS-28

Disability Claims Adjudicator I

12537

MS-14

Disability Claims Adjudicator II

12538

MS-19

Disability Claims Adjudicator Trainee

12539

MS-10

Disability Claims Analyst

12540

MS-25

Disability Claims Specialist

12558

MS-21

Disaster Services Planner

12585

MS-21

Document Examiner

12640

MS-28

Drafting Worker

12749

MS-08

Drug Compliance Investigator

12778

MS-31

Economic Development Representative I

12931

MS-16

Economic Development Representative II

12932

MS-21

Economic Development Representative Trainee

12939

MS-10

Economist Associate

12940

MS-12

Educational Diagnostician

12965

MS-09

Educational Media Program Specialist

12980

MS-16

Educator

13100

MS-26

Educator – Career and Technical

13103

MS-16

Educator – Career and Technical Provisional

13104

MS-15

Educator Aide

13130

MS-08

Educator Intern

13135

MS-10

Electrical Engineer

13180

MS-28

Electroencephalograph Technician

13300

MS-05

Electronic Equipment Installer/Repairer

13340

MS-07

Electronic Equipment Installer/Repairer Lead Worker

13345

MS-09

Electronics Technician

13360

MS-12

Elevator Inspector

13495

MS-21

Elevator Operator

13500

MS-05

Emergency Response Lead Telecommunicator

13540

MS-10

Emergency Response Telecommunicator

13543

MS-08

Employee Benefits Associate

13554

MS-09

Employee Benefits Representative

13555

MS-12

Employee Benefits Specialist

13556

MS-16

Employment Security Field Office Supervisor

13600

MS-23

Employment Security Manpower Representative I

13621

MS-09

Employment Security Manpower Representative II

13622

MS-11

Employment Security Program Representative

13650

MS-11

Employment Security Program Representative – Intermittent

13651

MS-11

Employment Security Service Representative

13667

MS-14

Employment Security Specialist I

13671

MS-11

Employment Security Specialist II

13672

MS-14

Employment Security Specialist III

13673

MS-21

Employment Security Tax Auditor I

13681

MS-16

Employment Security Tax Auditor II

13682

MS-21

End-User Computer Services Specialist I

13691

MS-24

End-User Computer Services Specialist II

13692

MS-28

End-User Computer Systems Analyst

13693

MS-30

Energy and Natural Resources Specialist I

13711

MS-12

Energy and Natural Resources Specialist II

13712

MS-16

Energy and Natural Resources Specialist III

13713

MS-21

Energy and Natural Resources Specialist Trainee

13715

MS-09

Engineering Technician I

13731

MS-10

Engineering Technician II

13732

MS-13

Engineering Technician III

13733

MS-20

Engineering Technician IV

13734

MS-30

Environmental Engineer I

13751

MS-12

Environmental Engineer II

13752

MS-16

Environmental Engineer III

13753

MS-21

Environmental Engineer IV

13754

MS-28

Environmental Equipment Operator I

13761

MS-09

Environmental Equipment Operator II

13762

MS-11

Environmental Health Specialist I

13768

MS-11

Environmental Health Specialist II

13769

MS-14

Environmental Health Specialist III

13770

MS-19

Environmental Protection Associate

13785

MS-09

Environmental Protection Engineer I

13791

MS-12

Environmental Protection Engineer II

13792

MS-16

Environmental Protection Engineer III

13793

MS-21

Environmental Protection Engineer IV

13794

MS-28

Environmental Protection Geologist I

13801

MS-12

Environmental Protection Geologist II

13802

MS-16

Environmental Protection Geologist III

13803

MS-21

Environmental Protection Legal Investigator I

13811

MS-10

Environmental Protection Legal Investigator II

13812

MS-11

Environmental Protection Legal Investigator Specialist

13815

MS-13

Environmental Protection Specialist I

13821

MS-11

Environmental Protection Specialist II

13822

MS-14

Environmental Protection Specialist III

13823

MS-19

Environmental Protection Specialist IV

13824

MS-28

Environmental Protection Technician I

13831

MS-05

Environmental Protection Technician II

13832

MS-07

Epidemiology Research and Investigation Scientist

13833

MS-29

Equal Pay Specialist

13837

MS-16

Equine Investigator

13840

MS-09

Executive I

13851

MS-19

Executive II

13852

MS-23

Executive Secretary I

14031

MS-08

Executive Secretary II

14032

MS-11

Executive Secretary III

14033

MS-14

Explosives Inspector I

14051

MS-11

Explosives Inspector II

14052

MS-18

Facility Assistant Fire Chief

14430

MS-10

Facility Fire Chief

14433

MS-13

Facility Fire Safety Coordinator

14435

MS-09

Facility Firefighter

14439

MS-07

Ferry Operator I

14801

MS-18

Ferry Operator II

14802

MS-19

Financial Institutions Examiner I

14971

MS-14

Financial Institutions Examiner II

14972

MS-21

Financial Institutions Examiner III

14973

MS-28

Financial Institutions Examiner Trainee

14978

MS-10

Fingerprint Technician

15204

MS-10

Fingerprint Technician Supervisor

15208

MS-18

Fingerprint Technician Trainee

15209

MS-05

Firearms Eligibility Administrator

15280

MS-32

Firearms Eligibility Analyst I

15371

MS-10

Firearms Eligibility Analyst II

15372

MS-14

Firearms Eligibility Analyst Trainee

15375

MS-08

Fire Certification Specialist I

15281

MS-16

Fire Certification Specialist II

15282

MS-18

Fire Certification Specialist Supervisor

15283

MS-22

Fire Prevention Inspector I

15316

MS-13

Fire Prevention Inspector II

15317

MS-20

Fire Prevention Inspector Trainee

15320

MS-10

Fire Protection Engineer

15340

MS‐28

Fire Protection Specialist I

15351

MS-14

Flight Safety Coordinator

15640

MS-28

Florist II

15652

MS-08

Food Services Program Manager

15800

MS-31

Foreign Service Economic Development Executive I

15871

MS-32

Foreign Service Economic Development Executive II

15872

MS-34

Foreign Service Economic Development Representative

15875

MS-30

Forensic Science Administrator I

15911

MS-31

Forensic Science Administrator II

15912

MS-32

Forensic Science Administrator III

15913

MS-33

Forensic Scientist I

15891

MS-19

Forensic Scientist II

15892

MS-23

Forensic Scientist III

15893

MS-28

Forensic Scientist Trainee

15897

MS-12

Gaming Licensing Analyst

17171

MS-12

Gaming Licensing Specialist

17172

MS-16

Gaming Operations Supervisor

17181

MS-33

Gaming Senior Special Agent

17191

MS-29

Gaming Shift Supervisor

17187

MS-31

Gaming Special Agent

17192

MS-21

Gaming Special Agent Trainee

17195

MS-11

Gaming Unit Supervisor

17201

MS-33

Geographic Information Specialist I

17271

MS-21

Geographic Information Specialist II

17272

MS-29

Geographic Information Trainee

17276

MS-12

Governmental Career Trainee

17325

MS-09

Graduate Pharmacist

17345

MS-23

Graphic Arts Designer

17366

MS-11

Graphic Arts Designer Advanced

17370

MS-14

Graphic Arts Designer Supervisor

17365

MS-19

Graphic Arts Technician

17400

MS-09

Grounds Supervisor

17549

MS-18

Guard I

17681

MS-04

Guard II

17682

MS-06

Guard III

17683

MS-09

Guard Supervisor

17685

MS-11

Guardianship Representative

17710

MS-16

Guardianship Supervisor

17720

MS-24

Habilitation Program Coordinator

17960

MS-16

Handicapped Services Representative I

17981

MS-08

Health Facilities Surveillance Nurse

18150

MS-22

Health Facilities Surveyor I

18011

MS-14

Health Facilities Surveyor II

18012

MS-21

Health Facilities Surveyor III

18013

MS-23

Health Information Associate

18045

MS-07

Health Information Technician

18047

MS-09

Health Services Investigator I

18179

MS-21

Health Services Investigator II, Option A – General

18185

MS-28

Health Services Investigator II, Option C – Pharmacy

18187

MS-32

Hearing and Speech Advanced Specialist

18227

MS-28

Hearing and Speech Associate

18231

MS-19

Hearing and Speech Specialist

18233

MS-23

Hearing and Speech Technician II

18262

MS-06

Hearings Referee

18300

MS-29

Hearings Referee – Intermittent

18301

MS-29

Heavy Construction Equipment Operator

18465

MS-18

Highway Construction Supervisor I

18525

MS-25

Highway Construction Supervisor II

18526

MS-30

Highway Maintainer

18639

MS-18

Highway Maintenance Lead Worker

18659

MS-18

Historical Actor

18977

MS-14

Historical Documents Conservator

18984

MS-10

Historical Exhibits Designer

18985

MS-12

Historical Library Chief Of Acquisitions

18987

MS-21

Historical Research Editor

19006

MS-11

Historical Research Specialist

19008

MS-23

Housekeeper

19600

MS-03

Human Relations Representative

19670

MS-14

Human Resources Assistant

19690

MS-05

Human Resources Associate

19691

MS-08

Human Resources Trainee

19694

MS-04

Human Rights Investigator I

19774

MS-14

Human Rights Investigator II

19775

MS-19

Human Rights Investigator III

19776

MS-21

Human Rights Investigator Trainee

19768

MS-09

Human Rights Mediation Supervisor

19769

MS-23

Human Rights Mediator

19771

MS-16

Human Rights Specialist I

19778

MS-11

Human Rights Specialist II

19779

MS-14

Human Rights Specialist III

19780

MS-19

Human Services Casework Manager

19788

MS-23

Human Services Caseworker

19785

MS-14

Human Services Grants Coordinator I

19791

MS-11

Human Services Grants Coordinator II

19792

MS-16

Human Services Grants Coordinator III

19793

MS-23

Human Services Grants Coordinator Trainee

19796

MS-09

Human Services Sign Language Interpreter

19810

MS-14

Iconographer

19880

MS-09

Industrial and Community Development Representative I

21051

MS-16

Industrial and Community Development Representative II

21052

MS-21

Industrial Commission Reporter

21080

MS-14

Industrial Commission Technician

21095

MS-08

Industrial Services Consultant I

21121

MS-11

Industrial Services Consultant II

21122

MS-14

Industrial Services Consultant Trainee

21125

MS-08

Industrial Services Hygienist

21127

MS-21

Industrial Services Hygienist Technician

21130

MS-14

Industrial Services Hygienist Trainee

21133

MS-09

Information Services Specialist I

21161

MS-16

Information Services Specialist II

21162

MS-21

Information Systems Analyst I

21165

MS-25

Information Systems Analyst II

21166

MS-29

Information Systems Analyst III

21167

MS-32

Information Technology/Communications Systems Specialist I

21216

MS-21

Information Technology/Communications Systems Specialist II

21217

MS-31

Information Technology Trainee

21163

MS-12

Inhalation Therapist

21259

MS-05

Inhalation Therapy Supervisor

21260

MS-08

Institutional Maintenance Worker

21465

MS-05

Instrument Designer

21500

MS-19

Insurance Analyst

21571

MS-09

Insurance Analyst Specialist

21572

MS-11

Insurance Analyst Trainee

21566

MS-04

Insurance Company Claims Examiner I

21601

MS-16

Insurance Company Claims Examiner II

21602

MS-21

Insurance Company Field Staff Examiner

21608

MS-14

Insurance Company Financial Examiner Trainee

21610

MS-10

Insurance Financial Specialist

21613

MS-23

Insurance Performance Examiner I

21671

MS-11

Insurance Performance Examiner II

21672

MS-16

Insurance Performance Examiner III

21673

MS-23

Insurance Performance Examiner Trainee

21680

MS-09

Insurance Senior Analyst

21573

MS-14

Intermittent Clerk

21686

MS-02

Intermittent Laborer (Maintenance)

21687

MS-08

Intermittent Unemployment Insurance Representative

21689

MS-09

Intermittent Unemployment Insurance Technician

21690

MS-04

Internal Auditor I

21721

MS-16

Internal Auditor II

21727

MS-23

Internal Auditor Trainee

21726

MS-09

Internal Investigations Principal Evaluation Supervisor

21735

MS-31

Internal Investigations Supervisor

21740

MS-31

Internal Security Investigator I

21731

MS-22

Internal Security Investigator II

21732

MS-28

International Marketing Representative I

21761

MS-11

Janitor I

21951

MS-13

Janitor II

21952

MS-14

Juvenile Justice Chief of Security

21965

MS-31

Juvenile Justice Psychologist Administrator

21967

MS-32

Juvenile Justice School Counselor

21970

MS-26

Juvenile Justice Specialist

21971

MS-20

Juvenile Justice Specialist Intern

21976

MS-13

Juvenile Justice Supervisor

21980

MS-27

Juvenile Justice Unit Superintendent

21985

MS-32

Juvenile Justice Vocational Instructor

21987

MS-16

Juvenile Justice Youth and Family Specialist Option 1

21991

MS-19

Juvenile Justice Youth and Family Specialist Option 2

21992

MS-23

Juvenile Justice Youth and Family Specialist Supervisor

21995

MS-28

Kidcare Supervisor

22003

MS-23

Labor Conciliator

22750

MS-23

Labor Maintenance Lead Worker

22809

MS-16

Laboratory Assistant

22995

MS-03

Laboratory Associate I

22997

MS-07

Laboratory Associate II

22998

MS-09

Laboratory Equipment Specialist

22990

MS-19

Laboratory Quality Specialist I

23021

MS-21

Laboratory Quality Specialist II

23022

MS-25

Laboratory Research Scientist

23025

MS-29

Laboratory Research Specialist I

23027

MS-21

Laboratory Research Specialist II

23028

MS-25

Laborer (Maintenance)

23080

MS-15

Land Acquisition Agent I

23091

MS-12

Land Acquisition Agent II

23092

MS-19

Land Acquisition Agent III

23093

MS-25

Land Reclamation Specialist I

23131

MS-11

Land Reclamation Specialist II

23132

MS-16

Land Reclamation Specialist Trainee

23137

MS-09

Landscape Architect

23145

MS-28

Landscape Planner

23150

MS-21

Laundry Manager I

23191

MS-10

Law Enforcement Training Administrator

23260

MS-32

Legal Research Assistant

23350

MS-10

Liability Claims Adjuster I

23371

MS-11

Liability Claims Adjuster II

23372

MS-19

Liability Claims Adjuster Trainee

23375

MS-09

Librarian I

23401

MS-14

Librarian II

23402

MS-19

Library Aide I

23421

MS-03

Library Associate

23430

MS-09

Library Technical Assistant

23450

MS-07

Licensed Practical Nurse I

23551

MS-09

Licensed Practical Nurse II

23552

MS-10

Licensed Practical Nurse – Corrections

23549

MS-12

Licensing Assistant

23568

MS-05

Licensing Investigations Supervisor

23577

MS-32

Licensing Investigator I

23571

MS-10

Licensing Investigator II

23572

MS-13

Licensing Investigator III

23573

MS-15

Licensing Investigator IV

23574

MS-20

Life Sciences Career Trainee

23600

MS-09

Liquor Control Inspector

23741

MS-13

Liquor Control Inspector Trainee

23744

MS-10

Liquor Control Investigator

23753

MS-21

Liquor Control Investigator Trainee

23756

MS-11

Local Housing Advisor I

24031

MS-11

Local Housing Advisor II

24032

MS-14

Local Housing Advisor III

24033

MS-19

Local Revenue and Fiscal Advisor I

24101

MS-12

Local Revenue and Fiscal Advisor II

24102

MS-16

Local Revenue and Fiscal Advisor III

24103

MS-21

Lock and Dam Tender

24290

MS-07

Locksmith

24300

MS-16

Lottery Commodities Distributor II

24402

MS-09

Lottery Drawing Senior Specialist

24413

MS-11

Lottery Drawing Specialist

24410

MS-09

Lottery Regional Coordinator

24504

MS-21

Lottery Sales Representative

24515

MS-14

Lottery Telemarketing Representative

24520

MS-06

Maintenance Equipment Operator

25020

MS-18

Maintenance Worker

25500

MS-16

Management Operations Analyst I

25541

MS-19

Management Operations Analyst II

25542

MS-23

Management Operations Analyst Trainee

25545

MS-12

Management Systems Specialist

25583

MS-25

Manpower Planner I

25591

MS-11

Manpower Planner II

25592

MS-16

Manpower Planner III

25593

MS-23

Manpower Planner Trainee

25597

MS-09

Manuscripts Manager

25610

MS-21

Meat and Poultry Inspector

26070

MS-10

Meat and Poultry Inspector Supervisor

26073

MS-13

Meat and Poultry Inspector Trainee

26075

MS-07

Mechanical Engineer I

26201

MS-12

Mechanical Engineer II

26202

MS-16

Mechanical Engineer III

26203

MS-21

Medicaid Management Analyst

26301

MS-20

Medicaid Management Intern

26305

MS-13

Medical Administrator I Option C

26400

MS-60

Medical Administrator I Option D

26401

MS-62

Medical Administrator II Option C

26402

MS-61

Medical Administrator II Option D

26403

MS-64

Medical Administrator III

26404

MS-65

Medical Administrator IV

26405

MS-66

Medical Assistance Consultant I

26501

MS-10

Medical Assistance Consultant II

26502

MS-14

Medical Assistance Consultant III

26503

MS-21

Mental Health Administrator I

26811

MS-19

Mental Health Administrator II

26812

MS-23

Mental Health Administrator Trainee

26817

MS-14

Mental Health Program Administrator

26908

MS-63

Mental Health Recovery Support Specialist I

26921

MS-16

Mental Health Recovery Support Specialist II

26922

MS-19

Mental Health Specialist I

26924

MS-09

Mental Health Specialist II

26925

MS-11

Mental Health Specialist III

26926

MS-14

Mental Health Specialist Trainee

26928

MS-08

Mental Health Technician I

27011

MS-04

Mental Health Technician II

27012

MS-05

Mental Health Technician III

27013

MS-06

Mental Health Technician IV

27014

MS-07

Mental Health Technician V

27015

MS-08

Mental Health Technician VI

27016

MS-09

Mental Health Technician Trainee

27020

MS-03

Meteorologist

27120

MS-19

Methods and Procedures Advisor I

27131

MS-11

Methods and Procedures Advisor II

27132

MS-14

Methods and Procedures Advisor III

27133

MS-23

Methods and Procedures Career Associate I

27135

MS-08

Methods and Procedures Career Associate II

27136

MS-09

Methods and Procedures Career Associate Trainee

27137

MS-06

Metrologist Associate

27146

MS-12

Microbiologist I

27151

MS-14

Microbiologist II

27152

MS-21

Microfilm Laboratory Technician I

27175

MS-04

Microfilm Laboratory Technician II

27176

MS-06

Microfilm Operator I

27181

MS-03

Microfilm Operator II

27182

MS-04

Microfilm Operator III

27183

MS-05

Mine Rescue Station Assistant

28150

MS-07

Motorist Assistance Specialist

28490

MS-05

Museum Theater Systems Technician

28700

MS-12

Narcotics and Currency Unit Supervisor

28750

MS-32

Natural Resources Advanced Specialist

28833

MS-23

Natural Resources Coordinator

28831

MS-12

Natural Resources Coordinator Trainee

28830

MS-09

Natural Resources Education Program Coordinator

28834

MS-23

Natural Resources Grant Coordinator

28835

MS-20

Natural Resources Manager I

28836

MS-23

Natural Resources Manager II

28837

MS-26

Natural Resources Manager III

28838

MS-30

Natural Resources Site Manager I

28841

MS-23

Natural Resources Site Manager II

28842

MS-26

Natural Resources Specialist

28832

MS-19

Natural Resources Technician I

28851

MS-07

Natural Resources Technician II

28852

MS-10

Nursing Act Assistant Coordinator

29731

MS-25

Nutritionist

29820

MS-19

Occupational Therapist

29900

MS-16

Occupational Therapist Program Coordinator

29908

MS-21

Occupational Therapist Supervisor

29910

MS-25

Office Administrative Specialist

29990

MS-09

Office Administrator I

29991

MS-04

Office Administrator II

29992

MS-06

Office Administrator III

29993

MS-08

Office Administrator IV

29994

MS-11

Office Administrator V

29995

MS-12

Office Aide

30005

MS-02

Office Assistant

30010

MS-04

Office Associate

30015

MS-05

Office Clerk

30020

MS-03

Office Coordinator

30025

MS-06

Office Occupations Trainee

30075

MS-01

Office Specialist

30080

MS-08

Oral Health Consultant

30317

MS-19

Paralegal Assistant

30860

MS-11

Pest Control Operator

31810

MS-07

Pharmacy Lead Technician

32009

MS-06

Pharmacy Manager

32025

MS-33

Pharmacy Services Coordinator

32010

MS-32

Pharmacy Technician

32011

MS-04

Photographer

32080

MS-11

Photographic Technician I

32091

MS-08

Photographic Technician II

32092

MS-11

Photographic Technician III

32093

MS-12

Physical Therapist

32145

MS-16

Physical Therapist Program Coordinator

32153

MS-21

Physical Therapy Aide II

32192

MS-05

Physical Therapy Aide III

32193

MS-08

Physician

32200

MS-36

Physician Assistant

32210

MS-27

Physician Specialist – Option A

32221

MS-37

Physician Specialist – Option B

32222

MS-38

Physician Specialist – Option C

32223

MS-61

Physician Specialist – Option D

32224

MS-63

Physician Specialist – Option E

32225

MS-65

Plant and Pesticide Specialist I

32501

MS-15

Plant and Pesticide Specialist II

32502

MS-20

Plant and Pesticide Specialist Supervisor

32506

MS-20

Plumbing Consultant

32910

MS-28

Plumbing Inspector

32915

MS-22

Podiatrist

32960

MS-11

Police Lieutenant

32977

MS-31

Police Officer I

32981

MS-15

Police Officer II

32982

MS-20

Police Officer III

32983

MS-24

Police Training Specialist

32990

MS-16

Polygraph Examiner I

33001

MS-20

Polygraph Examiner II

33002

MS-24

Polygraph Examiner III

33003

MS-28

Polygraph Examiner Trainee

33005

MS-12

Portable Scales Coordinator

33020

MS-21

Portable Scales Operator

33021

MS-18

Portable Scales Operator Trainee

33022

MS-14

Portable Scales Senior Operator

33023

MS-20

Power Shovel Operator

33360

MS-18

Private Secretary I

34201

MS-14

Private Secretary II

34202

MS-18

Procurement Representative

34540

MS-06

Products and Standards Inspector

34603

MS-11

Products and Standards Inspector Trainee

34605

MS-09

Program Integrity Auditor I

34631

MS-14

Program Integrity Auditor II

34632

MS-21

Program Integrity Auditor Trainee

34635

MS-09

Project Designer

34725

MS-21

Property and Supply Clerk I

34791

MS-03

Property and Supply Clerk II

34792

MS-04

Property and Supply Clerk III

34793

MS-05

Property Consultant

34900

MS-12

Psychologist Associate

35626

MS-12

Psychologist I

35611

MS-16

Psychologist II

35612

MS-23

Psychologist III

35613

MS-28

Psychology Intern

35660

MS-15

Public Administration Intern

35700

MS-11

Public Aid Eligibility Assistant

35825

MS-05

Public Aid Investigator

35870

MS-21

Public Aid Investigator Trainee

35874

MS-11

Public Aid Lead Casework Specialist

35880

MS-16

Public Aid Program Quality Analyst

35890

MS-21

Public Aid Quality Control Reviewer

35892

MS-16

Public Aid Quality Control Supervisor

35900

MS-21

Public Aid Staff Development Specialist I

36071

MS-12

Public Aid Staff Development Specialist II

36072

MS-16

Public Aid Staff Development Specialist III

36073

MS-22

Public Health Educator

36430

MS-21

Public Health Educator Associate

36434

MS-11

Public Health Program Specialist I

36611

MS-11

Public Health Program Specialist II

36612

MS-14

Public Health Program Specialist III

36613

MS-21

Public Health Program Specialist Trainee

36615

MS-09

Public Information Coordinator

36750

MS-19

Public Information Officer III

37003

MS-21

Public Information Officer IV

37004

MS-25

Public Safety Drug Screening Specialist

37006

MS-16

Public Safety Inspector

37007

MS-14

Public Safety Inspector Trainee

37010

MS-07

Public Service Executive

37017

MS-31

Public Service Supervisor

37016

MS-28

Race Track Maintainer I

37551

MS-10

Race Track Maintainer II

37552

MS-12

Radiologic Technologist

37500

MS-08

Radiologic Technologist Chief

37505

MS-17

Radiologic Technologist Program Coordinator

37507

MS-09

Railroad Safety Specialist I

37601

MS-21

Railroad Safety Specialist II

37602

MS-25

Railroad Safety Specialist III

37603

MS-29

Railroad Safety Specialist IV

37604

MS-32

Ranger

37725

MS-10

Real Estate Investigator

37730

MS-21

Real Estate Professions Examiner

37760

MS-28

Recreation Worker I

38001

MS-09

Recreation Worker II

38002

MS-11

Refrigeration and Air Conditioning Repairer

38119

MS-12

Registered Nurse – Advanced Practice

38135

MS-26

Registered Nurse I

38131

MS-18

Registered Nurse II

38132

MS-22

Rehabilitation Case Coordinator I

38141

MS-05

Rehabilitation Case Coordinator II

38142

MS-07

Rehabilitation Counselor

38145

MS-16

Rehabilitation Counselor Aide I

38155

MS-06

Rehabilitation Counselor Aide II

38156

MS-08

Rehabilitation Counselor Senior

38158

MS-21

Rehabilitation Counselor Trainee

38159

MS-12

Rehabilitation Services Advisor I

38176

MS-23

Rehabilitation Workshop Instructor I

38192

MS-05

Rehabilitation Workshop Instructor II

38193

MS-09

Rehabilitation Workshop Supervisor I

38194

MS-09

Rehabilitation Workshop Supervisor II

38195

MS-11

Rehabilitation Workshop Supervisor III

38196

MS-14

Rehabilitation/Mobility Instructor

38163

MS-21

Rehabilitation/Mobility Instructor Trainee

38167

MS-12

Reimbursement Officer I

38199

MS-11

Reimbursement Officer II

38200

MS-14

Reproduction Service Supervisor I

38201

MS-10

Reproduction Service Technician I

38203

MS-03

Reproduction Service Technician II

38204

MS-06

Reproduction Service Technician III

38205

MS-08

Research Economist

38209

MS-18

Research Fellow, Option B

38211

MS-19

Research Scientist I

38231

MS-10

Research Scientist II

38232

MS-14

Research Scientist III

38233

MS-23

Resident Physician

38270

MS-15

Residential Care Program Supervisor I

38271

MS-22

Residential Care Worker

38277

MS-09

Residential Care Worker Trainee

38279

MS-05

Resource Planner I

38281

MS-16

Resource Planner II

38282

MS-21

Resource Planner III

38283

MS-28

Retirement Benefits Representative

38313

MS-09

Retirement Benefits Representative Supervisor

38314

MS-11

Retirement Benefits Representative Trainee

38316

MS-07

Retirement System Benefits Technician I

38321

MS-11

Retirement System Benefits Technician II

38322

MS-21

Retirement System Disability Specialist

38310

MS-21

Revenue Audit Supervisor

38369

MS-32

Revenue Auditor I

38371

MS-14

Revenue Auditor II

38372

MS-21

Revenue Auditor III

38373

MS-28

Revenue Auditor Trainee

38375

MS-09

Revenue Collection Officer I

38401

MS-12

Revenue Collection Officer II

38402

MS-16

Revenue Collection Officer III

38403

MS-21

Revenue Collection Officer Trainee

38405

MS-09

Revenue Computer Audit Specialist

38425

MS-29

Revenue Senior Special Agent

38557

MS-29

Revenue Special Agent

38558

MS-21

Revenue Special Agent Trainee

38565

MS-11

Revenue Tax Specialist I

38571

MS-09

Revenue Tax Specialist II

38572

MS-11

Revenue Tax Specialist III

38573

MS-16

Revenue Tax Specialist Trainee

38575

MS-07

Safety Responsibility Analyst

38910

MS-09

Safety Responsibility Analyst Supervisor

38915

MS-11

School Psychologist

39200

MS-21

Security Guard I

39851

MS-13

Security Guard II

39852

MS-14

Security Officer

39870

MS-10

Security Officer Chief

39875

MS-13

Security Officer Lieutenant

39876

MS-11

Security Officer Sergeant

39877

MS-10

Security Therapy Aide I

39901

MS-10

Security Therapy Aide II

39902

MS-11

Security Therapy Aide III

39903

MS-13

Security Therapy Aide IV

39904

MS-16

Security Therapy Aide Trainee

39905

MS-06

Seed Analyst I

39951

MS-09

Seed Analyst II

39952

MS-10

Seed Analyst Trainee

39953

MS-07

Senior Ranger

40090

MS-11

Sex Offender Registration Unit Supervisor

40700

MS-33

Sex Offender Therapist I

40531

MS-16

Sex Offender Therapist II

40532

MS-21

Shift Supervisor

40800

MS-31

Sign Hanger

40900

MS-16

Sign Hanger Foreman

40910

MS-18

Sign Shop Foreman

41000

MS-12

Silk Screen Operator

41020

MS-17

Site Assistant Superintendent I

41071

MS-12

Site Assistant Superintendent II

41072

MS-16

Site Interpreter

41090

MS-07

Site Interpretive Coordinator

41093

MS-10

Site Security Officer

41115

MS-06

Site Services Specialist I

41117

MS-12

Site Services Specialist II

41118

MS-16

Site Superintendent I

41211

MS-20

Site Superintendent II

41212

MS-25

Site Superintendent III

41213

MS-29

Site Technician I

41131

MS-07

Site Technician II

41132

MS-09

Small Engine Mechanic

41150

MS-10

Social Service Aide I

41281

MS-05

Social Service Aide II

41282

MS-08

Social Service Aide Trainee

41285

MS-03

Social Service Community Planner

41295

MS-08

Social Service Consultant I

41301

MS-19

Social Service Consultant II

41302

MS-21

Social Service Program Planner I

41311

MS-12

Social Service Program Planner II

41312

MS-16

Social Service Program Planner III

41313

MS-23

Social Service Program Planner IV

41314

MS-28

Social Services Career Trainee

41320

MS-09

Social Worker I

41411

MS-16

Social Worker II

41412

MS-21

Social Worker III

41413

MS-23

Social Worker IV

41414

MS-28

Social Worker Intern

41430

MS-15

Special Education Resources Coordinator

41680

MS-26

Staff Development Specialist I

41771

MS-19

Staff Development Technician I

41781

MS-09

Staff Development Technician II

41782

MS-12

Staff Pharmacist

41787

MS-31

State Mine Inspector

42230

MS-21

State Mine Inspector-At-Large

42240

MS-31

State Police Crime Information Evaluator

41801

MS-08

State Police Evidence Technician I

41901

MS-09

State Police Evidence Technician II

41902

MS-10

State Police Field Specialist I

42001

MS-19

State Police Field Specialist II

42002

MS-23

State Police Inspector

42100

MS-33

Statistical Research Specialist I

42741

MS-09

Statistical Research Specialist II

42742

MS-11

Statistical Research Specialist III

42743

MS-16

Statistical Research Supervisor

42745

MS-23

Statistical Research Technician

42748

MS-08

Storage Tank Safety Specialist

43005

MS-19

Storekeeper I

43051

MS-11

Storekeeper II

43052

MS-12

Storekeeper III

43053

MS-13

Stores Clerk

43060

MS-03

Student Intern

43190

MS-01

Student Worker

43200

MS-01

Supervising Vehicle Testing Compliance Officer

43680

MS-22

Support Service Coordinator I

44221

MS-07

Support Service Coordinator II

44222

MS-09

Support Service Lead

44225

MS-04

Support Service Worker

44238

MS-03

Switchboard Chief Operator

44410

MS-11

Switchboard Operator I

44411

MS-03

Switchboard Operator II

44412

MS-04

Switchboard Operator III

44413

MS-06

Technical Advisor Advanced Program Specialist

45256

MS-31

Technical Advisor I

45251

MS-19

Technical Advisor II

45252

MS-23

Technical Advisor III

45253

MS-29

Technical Manager I

45261

MS-18

Telecommunications Specialist

45295

MS-12

Telecommunications Supervisor

45305

MS-23

Telecommunications Systems Analyst

45308

MS-16

Telecommunications Systems Technician I

45312

MS-07

Telecommunications Systems Technician II

45313

MS-10

Telecommunications Systems Technician Trainee

45314

MS-05

Telecommunicator

45321

MS-09

Telecommunicator – Command Center

45316

MS-10

Telecommunicator Call Taker

45322

MS-11

Telecommunicator Lead Call Taker

45323

MS-14

Telecommunicator Lead Specialist

45327

MS-16

Telecommunicator Lead Worker

45324

MS-11

Telecommunicator Lead Worker – Command Center

45318

MS-12

Telecommunicator Specialist

45326

MS-12

Telecommunicator Trainee

45325

MS-07

Terrorism Research Specialist I

45371

MS-19

Terrorism Research Specialist II

45372

MS-23

Terrorism Research Specialist III

45373

MS-28

Terrorism Research Specialist Trainee

45375

MS-11

Tobacco Compliance Specialist

45595

MS-20

Transportation Officer

45830

MS-11

Transportation Seasonal Office Worker

45864

MS-03

Truck Weighing Inspector

46100

MS-10

Unemployment Insurance Adjudicator I

47001

MS-08

Unemployment Insurance Adjudicator II

47002

MS-10

Unemployment Insurance Adjudicator III

47003

MS-12

Unemployment Insurance Revenue Analyst I

47081

MS-12

Unemployment Insurance Revenue Analyst II

47082

MS-16

Unemployment Insurance Revenue Specialist

47087

MS-10

Unemployment Insurance Special Agent

47096

MS-19

Utility Engineer I

47451

MS-20

Utility Engineer II

47452

MS-24

Vehicle Compliance Inspector

47570

MS-15

Vehicle Emission Compliance Inspector

47580

MS-10

Vehicle Emission Compliance Supervisor

47583

MS-12

Vehicle Emission Quality Assurance Auditor

47584

MS-10

Vehicle Permit Evaluator

47585

MS-08

Veterans Educational Specialist

47686

MS-28

Veterans Employment Representative I

47701

MS-11

Veterans Employment Representative II

47702

MS-14

Veterans Employment Representative III

47703

MS-20

Veterans Nursing Assistant – Certified

47750

MS-05

Veterans Service Officer

47800

MS-11

Veterans Service Officer Associate

47804

MS-10

Veterinarian I

47901

MS-19

Veterinarian II

47902

MS-23

Veterinarian III

47903

MS-25

Veterinary Consumer Safety Officer

47911

MS-20

Veterinary Pathologist

47916

MS-29

Veterinary Supervisor I

47917

MS-25

Veterinary Supervisor II

47918

MS-26

Vision/Hearing Consultant I

47941

MS-14

Vision/Hearing Consultant II

47942

MS-23

Vision/Hearing Consultant III

47943

MS-25

Vital Records Quality Control Inspector

48000

MS-10

Vocational Instructor

48200

MS-09

Volunteer Services Coordinator I

48481

MS-10

Volunteer Services Coordinator II

48482

MS-14

Volunteer Services Coordinator III

48483

MS-19

Wage Claims Specialist

48770

MS-06

Warehouse Claims Specialist

48780

MS-22

Warehouse Examiner

48881

MS-13

Warehouse Examiner Specialist

48882

MS-18

Warehouse Examiner Supervisor

48786

MS-20

Waterways Construction Supervisor I

49061

MS-14

Waterways Construction Supervisor II

49062

MS-19

Weatherization Specialist I

49101

MS-11

Weatherization Specialist II

49102

MS-16

Weatherization Specialist III

49103

MS-23

Weatherization Specialist Trainee

49105

MS-09

Well Inspector I

49421

MS-11

Well Inspector II

49422

MS-18

Well Inspector Specialist

49424

MS-24

Well Inspector Trainee

49425

MS-09

Workers Compensation Insurance Compliance Investigator

49640

MS-23

NOTE: Effective January 1, 2008, the merit compensation grade 12 in the Personnel Code [20 ILCS 415/8b.18(a) and (b) and 8b.19(a) and (b)] that formerly was indicated by MC-12 is MS-32.

History

• Source: Amended at 47 Ill. Reg. 12738, effective August 14, 2023

80 Ill. Adm. Code 310.415 Merit Compensation Salary Range Assignments

a) Emergency, Temporary or Provisional Positions – When a position is allocated to a title only assigned to a bargaining unit pay grade and the agency is to appoint an employee to the position on an Emergency (80 Ill. Adm. Code 302.150(b)), Temporary (80 Ill. Adm. Code 302.150(c)) or Provisional (80 Ill. Adm. Code 302.150(d)) basis, a merit compensation salary range to be used for the position shall be assigned to the title as approved by the Director. The approval of the merit compensation salary range assignment shall be after comparing the highest maximum base salary within the bargaining unit pay grade assigned the title with the maximum base salary in the merit compensation salary range that is not more than the highest maximum base salary within the bargaining unit pay grade and after considering the merit compensation salary ranges assigned to other titles in the same classification series and the merit compensation salary ranges assigned to other titles assigned the same bargaining unit pay grade. The titles and their merit compensation salary range assignments from the previous and anticipated fiscal years shall be listed in the Section 310.410 proposed amendments to the Pay Plan for adoption at the beginning of each fiscal year.

b) Trainee Program Titles – When a classification is established as a Trainee Program (80 Ill. Adm. Code 302.170), the merit compensation salary range assigned to the Trainee Program title shall be approved by the Director. The approval shall be based on the recommendation of the agency head where the Trainee Program is established, comparison of the salary ranges assigned to other Trainee Program titles, and the maximum base salary in the recommended merit compensation salary range normally being less than the in-hire rate or the minimum base salary of the targeted classification title for which training is being conducted.

c) Positions excluded from bargaining unit representation by the Illinois Labor Relations Board – When a position is allocated to a title only assigned to a bargaining unit pay grade and the agency or the position is excluded from bargaining unit representation by ILRB, a merit compensation salary range to be used for the position shall be assigned to the title as approved by the Director. The approval of the merit compensation salary range assignment shall be made using the provisions in subsection (a) if the title is not a Trainee Program title or subsection (b) if the title is a Trainee Program title.

History

• Source: Amended at 44 Ill. Reg. 12146, effective July 13, 2020

80 Ill. Adm. Code 310.420 Objectives

The principal objectives of the Merit Compensation System are:

a) To provide for recognition of and reward for differences in individual employee performance.

b) To provide standard methods and procedures for establishing and applying rates of pay.

c) To insure internal equity and consistency within and between departments and agencies at all locations of the state.

d) To establish and maintain fair and competitive salary ranges consistent with the economic interests of the State of Illinois.

80 Ill. Adm. Code 310.430 Responsibilities

a) It shall be the responsibility of each agency head:

1. To cause, within the agency, full compliance with all provisions of the Merit Compensation System.

2. To submit promptly all proper and required personnel actions with justifications or other notices of changes affecting employee pay or pay status.

b) It shall be the responsibility of the Department of Central Management Services:

1. To develop procedures and techniques as required for the implementation and for the standardization of the application of the Merit Compensation System.

2. To develop and maintain classification standards and salary range rankings for all positions subject to the System.

3. To review and approve employees' rates of pay and personnel changes for compliance with established policy and procedures.

80 Ill. Adm. Code 310.440 Merit Compensation Salary Schedule

a) The Merit Compensation Salary Schedule attached at the end of the Pay Plan as Appendix D is hereby made a part of the Merit Compensation System.

b) The Salary Schedule shall consist of a series of salary ranges, each composed of a minimum and maximum rate.

History

• Source: Amended at 34 Ill. Reg. 9759, effective July 1, 2010

80 Ill. Adm. Code 310.450 Procedures for Determining Annual Merit Increases and Bonuses

a) Definitions −

1. Annual Merit Increase − An annual merit increase is an in-range salary adjustment for demonstrated performance.

2. Annual Merit Bonus – An annual merit bonus is a percentage of the employee's annualized base salary that is paid once for demonstrated performance and separately from the base salary.

b) Eligibility Conditions − Eligibility for an annual merit increase and bonus shall be determined by the following conditions:

1. 12 Months Creditable Service or from the Last Officially Scheduled Performance Review and Performance Review Discussion – Each employee will be eligible for a performance review: after attaining 12 months creditable service if new to the position; if continually in the one position for longer than 12 months from the last officially scheduled performance review (80 Ill. Adm. Code 302.270(d)); if continually in the one Trainee Program (80 Ill. Adm. Code 302.170) position for 12 months and each subsequent 12 months in the same position; if continually in the one position which is Personnel Code [20 ILCS 415] Section 4(d) exempt or otherwise partially, Jurisdiction B, exempt from the Personnel Code and each subsequent 12 months in the same position; if the combined time in the position and in a completed interim assignment is longer than 12 months from the last officially scheduled performance review; or if in interim assignment and the employee's creditable service date is 12 months or more ago, the employee shall return from a leave to serve in interim assignment for the employee's Performance Review and discussion. The employee's immediate supervisor shall prepare a Merit Compensation and Performance System form prior to the Performance Review Date or if the employee just returned from a leave to serve in interim assignment for the purpose of receiving the Performance Review, the employee's immediate supervisor shall prepare a Merit Compensation and Performance System form on the date the employee returned with input from the employee's immediate supervisor while in interim assignment. The employee's immediate supervisor shall discuss the results with the employee.

2. Guidechart Category Amount, Salary Range Maximum in Relation to Base Salary Increase and Current Base Salary –

A) Annual Merit Increase − Should the performance review result in the employee not being eligible for an annual merit increase due to provisions of Section 310.450(d), or should the employee's base rate be at the maximum rate of pay of the salary range assigned to the employee's position, the employee will not be eligible for an annual merit increase until 12 months of additional creditable service has been accrued. (Interim Assignment Pay shall never be used to determine eligibility for an annual merit increase.)

B) Annual Merit Bonus − Should the performance review result in the employee not being eligible for an annual merit bonus due to provisions of Section 310.450(d), the employee will not be eligible for an annual merit bonus until 12 months of additional creditable service has been accrued. (Interim Assignment Pay shall never be used to determine eligibility for an annual merit bonus.)

c) Immediate Supervisor Determination of Performance Category – Based upon the results of the performance review, the employees' immediate supervisor shall determine whether the employee's performance warrants or does not warrant an annual merit increase and bonus.

d) Amount Restrictions − The amount of an annual merit increase and bonus recommendation shall be determined by use of the Merit Increase and Bonus Guidechart of Section 310.540 if the employee's performance review has on the Performance Review Date been evaluated at a Category 3 or higher level. An employee whose performance review has on the Performance Review Date been evaluated at Category 4 shall not receive an increase in the present base salary or a bonus. However, in no event is the resulting salary to be lower than the minimum or higher than the maximum rate of pay of the respective salary range assigned to the employee's position. (Interim Assignment Pay shall never be used to determine an annual merit increase or bonus.) (Effective July 1, 2009, annual merit increases and bonuses are suspended, and annual merit performance reviews continue.)

e) Immediate Supervisor Indication of Eligibility and Amount – The employee's immediate supervisor shall prepare a Performance Certification and Merit Increase Recommendation form indicating whether or not the employee is eligible for an annual merit increase and bonus and the amounts thereof. (Effective July 1, 2009, annual merit increases and bonuses are suspended, and annual merit performance reviews continue.)

f) Review and Approval − The employee's immediate supervisor shall forward the completed Merit Compensation and Performance System and Performance Certification and Merit Increase Recommendation forms to the agency head or a designated authority for review and approval.

g) Effective Date and New Creditable Service Date – The annual merit increase and bonus shall become effective the first day of the month in which the employee's Performance Review Date occurs. The employee's new creditable service date shall be the first day of the month in which the employee's Performance Review Date occurred or would have occurred if the employee had not been in interim assignment on that date.

History

• Source: Amended at 33 Ill. Reg. 14944, effective October 26, 2009

80 Ill. Adm. Code 310.455 Intermittent Merit Increase (repealed)

History

• Source: Repealed at 34 Ill. Reg. 9759, effective July 1, 2010

80 Ill. Adm. Code 310.456 Merit Zone (repealed)

History

• Source: Repealed at 20 Ill. Reg. 15018, effective November 7, 1996

80 Ill. Adm. Code 310.460 Other Pay Increases

a) Promotion − Normally, upon promotion, an employee shall be advanced in salary by an amount not more than 5% of the current base salary. In no event is the resulting salary to be lower than the minimum rate of the salary range to which the employee is being promoted or greater than the maximum of the new salary range. Upon promotion the employee shall receive a new creditable service date. Agencies, boards and commissions shall review the anticipated starting salary range before making a salary offer to a State government candidate for promotion and consider offering less than a 5% increase for a promotion. Any deviation from the 5% maximum, except when the resulting salary is the minimum rate of the salary range, is a special salary adjustment (see Section 310.470).

b) Reallocation − Upon reallocation, an employee shall be advanced in salary to a rate of pay that is the equivalent of 5% above the current base salary. However, in no event is the resulting salary to be lower than the minimum rate or higher than the maximum rate of the new salary range. A reallocation will not affect the creditable service date of the employee, unless an increase of 10% or greater is provided to move the employee to the minimum salary of the new title. The reallocation shall not change the creditable service date.

c) Reevaluation − If a higher salary range is assigned to a class, the employee occupying a position in the class normally shall be advanced the equivalent of 5% of the current base salary. However, in no event is the resulting salary to be lower than the minimum or higher than the maximum rate of the new salary range. The creditable service date of an employee will not be changed due to the reevaluation of the class the employee occupies, unless an increase of 10% or greater is provided to move the employee to the minimum salary of the new range. The reevaluation shall not change the creditable service date.

d) Separation and Subsequent Appointment − Upon separation from a position of a given class and appointment within four calendar days to a position in a higher salary range, an increase shall be given under the conditions and requirements applicable to promotions (see subsection (a)).

e) Reclassification – If the class to which the position is being moved has a higher salary range, the employee occupying the position shall be advanced the equivalent of 5% of the current base salary. However, in no event is the resulting salary to be lower than the minimum or higher than the maximum rate of the new salary range. The creditable service date of the employee will not be changed due to the reclassification of the position the employee occupies, unless an increase of 10% or greater is provided to move the employee to the minimum salary of the new range.

History

• Source: Amended at 44 Ill. Reg. 6859, effective April 16, 2020

80 Ill. Adm. Code 310.470 Adjustment

An employee may receive an upward adjustment in base salary for the purpose of correcting a previous error or oversight or when the best interests of the agency and the State of Illinois will be served. Adjustments shall have the prior approval of the Director. An adjustment at the time of entrance into State government requires supporting documentation in the candidate's CMS employment application. An adjustment at the time substantial additional duties and responsibilities are added to a position allocated to a broad-band title requires that the substantial additional duties and responsibilities be documented on an updated position description and reflected on the organization chart. In determining the appropriateness of a request for a salary adjustment by an employing agency, the Director will consider whether the need for the adjustment is substantial, whether the action is consistent with the treatment of other similar situations, and whether the action is equitable in view of the particular circumstances prompting the request. The approval of an adjustment at the time of entrance into State government is based on the candidate's documented directly-related education and experience exceeding the minimum requirements in the class specification, staffing needs and requirements of the employing agency, and labor market influences on the recruitment for the position classification or position. The adjustment shall not change the creditable service date.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.480 Decreases in Pay

Employees subject to this Part shall have their salaries reduced only as specified in this Section. Any reduction in salary shall become effective on the first day of the month following approval of the reduction.

a) Demotion for Cause to a Lower Class – If the employee's current base salary is within the lower salary range, it shall be retained without change, but shall be reduced to the maximum of the lower salary range if in excess of that maximum. An employee demoted during a probationary period following promotion will have the base salary reduced to the same salary the employee received before being promoted and the previous creditable service date will be restored.

b) Position Reallocated to a Lower Class – If the employee's current base salary is within the lower salary range, it shall be retained without change, but shall be reduced to the maximum of the lower salary range if in excess of that maximum. However, as provided in Section 8(a) of the Personnel Code, the pay of an employee whose position is reallocated because of duties and responsibilities after appointment to that position shall not be required to be lowered to a salary within the range for a period of one year. The reallocation shall not change the creditable service date.

c) Voluntary Reduction to a Lower Class – If the employee's current base salary is within the lower salary range, it shall be retained without change, but shall be reduced to the maximum of the lower salary range if in excess of that maximum. However, an employee who voluntarily requests a reduction during a probationary period following a promotion will have the base salary reduced to the same salary in the lower salary range from which the employee was promoted and the previous creditable service date will be restored.

d) Assignment of a Lower Salary Range to a Class – If the employee's current base salary is within the lower salary range, it shall be retained without change, but shall be reduced to the maximum of the lower salary range if in excess of that maximum. The reevaluation shall not change the creditable service date.

e) Adjustment – An employee may receive a downward adjustment in base salary for the purpose of correcting a previous error or oversight or when the best interest of the agency or the State of Illinois will be served. Adjustments must have the prior approval of the Director in writing. In determining the appropriateness of a request for a salary adjustment by an employing agency, the Director will consider whether the need for the adjustment is substantial, whether the action is consistent with the treatment of other similar situations, and whether the action is equitable in view of the particular circumstances prompting the request. The adjustment shall not change the creditable service date.

f) Reclassification – If the employee's current base salary is within the lower salary range, it shall be retained without change. If the employee's current base salary is higher than the maximum of the lower salary range, the base salary shall be reduced to the maximum of the lower salary range. As provided in Section 8(a) of the Personnel Code, the base salary shall not be lowered to a salary within the range for a period of one year.

History

• Source: Amended at 44 Ill. Reg. 12146, effective July 13, 2020

80 Ill. Adm. Code 310.490 Other Pay Provisions

a) Transfer – Upon assignment of an employee to a vacant position in a class with the same salary range as the class for the position being vacated, the employee's base salary will not be changed. Upon separation and subsequent appointment to a position in the same salary range, no increase in salary will be given. Any deviation from no change to the employee’s base salary is a special salary adjustment (see Section 310.470).

b) Entrance Base Salary – Each agency shall not request current or past wage or salary at any location (website, form or process). If a candidate inadvertently or voluntarily, without prompting, discloses the candidate's current wage or salary history, including benefits or other compensation, the agency shall not consider or rely on the information in a current or future salary offer and shall disregard the information. In-hire rates assigned to trainee program classifications are the entrance base salary (see Section 310.47).

1. When the new-to-State-government candidate only meets the minimum of the classification requirements, the entrance base salary is the lowest salary in the anticipated starting salary range, the anticipated starting salary, or the in-hire rate.

2. Qualifications Above Minimum Requirements –

A) For Other Than Trainee Classification Titles When the Candidate is New to State Government – For other than trainee classification titles when the candidate is new to State government, State agencies shall not seek, request or require a candidate's current wage or salary history. Agencies shall not use a candidate's current wage or salary history to screen applicants or request or require current wage or salary history information as a condition for being considered for employment or for an offer of employment. Agencies shall stop the verification of a candidate's current wage or salary history. When the new-to-State-government candidate exceeds the minimum of the classification requirements, the entrance base salary is the in-hire rate, the anticipated starting salary, within the anticipated starting salary range, or the rate resulting from a special salary request that is pre-approved by the Department. The anticipated starting salary and the selected new-to-State-government candidate's qualifications shall inform the entrance base salary offer. The qualifications that shall be considered are documented education and experience directly-related to the position description and exceeding the minimum requirements on the class specification. The agency shall tell the new-to-State-government candidate not to disclose the candidate's current wage or salary history. The new-to-State-government applicant may discuss salary expectations for the position being filled. If the tentatively accepted offer is not the in-hire rate, anticipated starting salary, or within the anticipated starting salary range, the agency shall complete a Special Salary Request-New Employee form (CMS-163) identifying both the pre-established anticipated starting salary and the justification for hiring the selected candidate at the tentatively offered and accepted higher starting salary.

B) For Other Than Trainee Classification Titles in Which the Current State Government Employee is a Candidate for a Position Subject to the Personnel Code – For other than trainee classification titles in which the current State government employee is a candidate for a position subject to the Personnel Code, if a candidate possesses directly-related education and experience in excess of the minimum requirements of the class specification, the employing agency may offer the candidate an entrance base salary that is not more than 5% above the candidate's current base salary. Any deviation from the 5% maximum is a special salary adjustment (see Section 310.470).

3. Area Differential – For positions where additional compensation is required because of dissimilar economic or other conditions in the geographical area in which the positions are established, a higher entrance salary may be authorized by the Director. Present employees receiving less than the new rate of pay shall be advanced to the new rate.

c) Geographical Transfer – Upon geographical transfer from or to an area for which additional compensation has been authorized, an employee will receive an adjustment to the appropriate salary level for the new geographical area of assignment, effective the first day of the month following the date of assignment.

d) Differential and Overtime Pay – An eligible employee may have an amount added to the base salary for a given pay period for work performed in excess of the normal requirements for the position and work schedule, as follows:

1. Shift Differential Pay – An employee may be paid an amount in addition to the base salary for work performed on a regularly scheduled second or third shift. The additional compensation will be at a rate and in a manner approved by the Director. The Director will approve the manner and rate of this provision after considering the need of the employing agency, the treatment of other similar situations, prevailing practices of other employers, and the equity of the particular circumstances.

2. Overtime Pay −

A) Eligibility − The Director shall maintain a listing of classes of positions subject to the provisions of the Merit Compensation System that are eligible for overtime compensation. Classes in salary ranges MS-23 and below are eligible for straight-time overtime unless exceptions are determined by the Director or federal guidelines. Employees in these classes of positions who are assigned and perform work in excess of the normal work schedule as established by the agency shall be compensated at a straight-time rate on either a cash or compensatory time-off basis for all hours worked in excess of a normal work week. Overtime in less than one-half hour increments per day shall not be accrued. Classes in MS-24 and above are not eligible for overtime unless required by federal regulation or approved by the Director. Exceptions must be requested by the employing agency and will be determined on the basis of the special nature of the situation, a substantial need to provide overtime compensation and a significant number of hours worked beyond the normal work schedule, and will be granted only for a specified time period for which the special situation is expected to exist.

B) Compensatory Time − Employees who are eligible for compensatory time may request such time, which may be granted by the agency at its discretion, considering, among other things, its operating needs. Compensatory time shall be taken within the fiscal year it was earned at a time convenient to the employee and consistent with the operating needs of the agency. Compensatory time shall be accrued at the rate in which it is earned (straight time or time and a half), but shall not exceed 120 hours in any fiscal year. Compensatory time approved for non-union employees will be earned after 40 actual work hours in a workweek. Compensatory time not used by the end of the fiscal year in which it was earned shall be liquidated and paid in cash at the rate it was earned. Time spent in travel outside the normal work schedule shall not be accrued as compensatory time except as provided by the Federal Fair Labor Standards Act. At no time are overtime hours or compensatory time to be transferred from one agency to another agency.

e) Equivalent Earned Time –

1. Eligibility – Employees who are non-union, exempt under the Federal Fair Labor Standards Act, and in positions not eligible for overtime compensation may receive equivalent earned time for hours worked in excess of the hours per week indicated in the approved work schedule (see 80 Ill. Adm. Code 303.300(c)) assigned to the employee.

2. Accrual –

A) Employees who are eligible for equivalent earned time shall request that time before working in excess of the hours per week indicated in the approved work schedule assigned to the employee. Requests for equivalent earned time may be granted by the agency at its discretion, considering its operating needs. Equivalent earned time shall be accrued at straight time only to a maximum of 240 hours at any time.

B) Equivalent earned time will accrue in no less than one-quarter hour increments.

3. Compensation – Any approved equivalent earned time shall be taken at a time convenient to the employee and consistent with the operating needs of the agency. The equivalent earned time may be taken in increments of not less than one-quarter hour after a minimum use of one-half hour any time after it is earned. At no time is equivalent earned time to be converted into cash payment. Equivalent earned time may transfer from one agency to another at the discretion of the agency head of the agency to which the employee is moving.

f) Part-Time Work – Part-time employees whose base salary is other than an hourly or daily basis shall be paid on a daily rate basis computed by dividing the annual rate of salary by the total number of work days in the year.

g) Lump Sum Payment – Lump sum payment shall be provided for accrued vacation, sick leave and unused compensatory overtime at the current base rate to those employees separated from employment under the Personnel Code. Leaves of absence and temporary layoff (per 80 Ill. Adm. Code 302.510) are not separations and therefore lump sum payments cannot be given in these transactions. Methods of computation are explained in Section 310.520(a).

AGENCY NOTE: The method to be used in computing lump sum payment for accrued vacation, sick leave and unused compensatory overtime for an incumbent entitled to shift differential during the regular work hours will be to use the current base salary plus the shift differential pay. Sick leave earned prior to January 1, 1984 and after December 31, 1997 is not compensable. Sick leave earned and not used between January 1, 1984 and December 31, 1997 will be compensable at the current base daily rate times one-half of the total number of compensable sick days.

h) Salary Treatment upon Return from Leave –

1. An employee returning from Military Leave (80 Ill. Adm. Code 302.220 and 303.170), Peace Corps Leave (80 Ill. Adm. Code 302.230), Service-Connected Disability Leave (80 Ill. Adm. Code 303.135), Educational Leave (80 Ill. Adm. Code 302.215), Disaster Service Leave With Pay (80 Ill. Adm. Code 303.175), Disaster Service Leave With Pay – Terrorist Attack (80 Ill. Adm. Code 303.176), Family Responsibility Leave (80 Ill. Adm. Code 303.148), leave to accept a temporary, emergency, provisional, exempt (80 Ill. Adm. Code 303.155) or trainee position, leave to serve in domestic peace or job corps (80 Ill. Adm. Code 302.230), or leave to serve in an interim assignment will have the employee's salary established as determined appropriate by the employing agency and approved by the Director. However, in no event is the resulting salary to be lower than the minimum rate or higher than the maximum rate of the salary range. Creditable service date will be maintained.

2. An employee returning to the employee's former salary range from any other leave (not mentioned in subsection (h)(1)) of over 14 days will be placed at the salary which the employee received prior to the leave and the creditable service date will be extended by the duration of the leave.

i) Employees in classes that are made subject to the Merit Compensation System will retain their current salary, except that in no event is the resultant salary to be lower than the minimum rate or higher than the maximum rate of the new salary range.

j) Temporary Bilingual Pay – When Required to Use Second Language Ability − Employees who are bilingual or have the ability to use sign language, Braille, or another second language (e.g., Spanish) and whose job descriptions do not require that they do so shall be paid temporary bilingual pay when required to perform duties requiring the ability. The temporary bilingual pay received is prorated based on 5% or $100 per month, whichever is greater, in addition to the employee's base rate.

k) Salary Treatment Upon Reemployment –

1. Upon the reemployment of an employee in a class with the same salary range as the class for the position held before layoff, the employee will be placed at the same salary as held at the time of the layoff, and the employee's creditable service date will be adjusted to reflect that time on layoff does not count as creditable service time.

2. Upon the reemployment of an employee in a class at a lower salary range than the range of the class for the position held before layoff, the employee will be placed at the same salary as held at the time of layoff, except that if this exceeds the maximum of the new range, the employee will be placed at that maximum salary. The creditable service date will be adjusted to reflect that time on layoff does not count as creditable service time.

l) Reinstatement –

1. For Former State Employees Subject to the Personnel Code Who Had Intervening Employment Outside of State Government – Former State employees subject to the Personnel Code who had intervening employment outside of State government shall be paid under the conditions and requirements applicable to entrance base salary (see subsections (b), (b)(1) and (b)(2)(A)).

2. For Former State Employees Subject to the Personnel Code Who Had No Intervening Employment or Only Had Intervening State Government Employment – For former State employees subject to the Personnel Code who had no intervening employment or only had intervening State government employment, the salary upon reinstatement should not provide more than a 5% increase over the candidate's current base salary or exceed the salary rate held in the position in which previously certified without prior approval of the Director. In no event is the resulting salary to be lower than the minimum rate or higher than the maximum rate of the salary range. Any deviation from the 5% maximum, except when the resulting salary is the minimum rate of the salary range, is a special salary adjustment (see Section 310.470).

m) Bilingual Pay – Individual positions whose job descriptions require the use of sign language, Braille, or another second language (e.g., Spanish) shall receive 5% or $100 per month, whichever is greater, in addition to the employee's base rate.

n) Clothing or Equipment Allowance – An employee may be paid an amount in addition to the employee's base salary to compensate for clothing or equipment that is required in the performance of assigned duties. The amount will be determined by the Director of the employing agency, and will require approval of the Director of Central Management Services. The Director of Central Management Services will approve the manner and rate of this provision after considering the need of the employing agency, the treatment of other similar situations, prevailing practices of other employers, and the equity of the particular circumstance.

o) Interim Assignment Pay – This subsection explains interim assignment pay as applied to certified non-bargaining unit employees in a merit compensation (including broad-band) position assigned to perform on a full-time interim basis and be accountable for the higher-level duties and responsibilities of the non-bargaining unit (merit compensation, including broad-band) position. On the effective date of the employee's interim assignment (see 80 Ill. Adm. Code 302.150(j)), the employee shall receive an adjustment as if the employee received a promotion into the higher range. When assigned to the merit compensation position, the adjustment is an amount not more than 5% of the employee's current base salary. In no event is the resulting salary to be lower than the minimum rate or greater than the maximum rate of the salary range to which the employee is being assigned. Upon interim assignment, the employee's creditable service date shall not change. Any deviation from the 5% maximum, except when the resulting salary is the minimum rate of the salary range, is a special salary adjustment (see Section 310.470).

p) International Differential Pay − For positions with a headquarters outside of the United States, a differential shall be made once a month to the base salary of the employee residing outside the United States to compensate for a change in the currency exchange rate.

History

• Source: Amended at 47 Ill. Reg. 10482, effective July 1, 2023

80 Ill. Adm. Code 310.495 Broad-Band Pay Range Classes

Broad-band pay range classes shall be covered by all provisions of the Merit Compensation System except for the provisions identified in the following subsections:

a) Salary Range − The salary range for broad-band classes shall be as set out in Appendix G.

b) Entrance Base Salary – Each agency shall not request current or past wage or salary at any location (website, form or process). If a candidate inadvertently or voluntarily, without prompting, discloses the candidate’s current wage or salary history, including benefits or other compensation, the agency shall not consider or rely on the information in a current or future salary offer and shall disregard the information. In-hire rates assigned to trainee program classifications are the entrance base salary (see Section 310.47).

1. When the new-to-State-government candidate only meets the minimum of the classification requirements, the entrance base salary is the lowest salary in the anticipated starting salary range, the anticipated starting salary, or the in-hire rate.

2. Qualifications Above Minimum Requirements –

A) For Other Than Trainee Classification Titles When the Candidate is New to State Government – For other than trainee classification titles when the candidate is new to State government, State agencies shall not seek, request or require a candidate’s current wage or salary history. Agencies shall not use a candidate’s current wage or salary history to screen applicants or request or require current wage or salary history information as a condition for being considered for employment or for an offer of employment. Agencies shall stop the verification of a candidate’s current wage or salary history. When the new-to-State-government candidate exceeds the minimum of the classification requirements, the entrance base salary is the in-hire rate, the anticipated starting salary, within the anticipated starting salary range, or the rate resulting from a special salary request that is pre-approved by the Department. The anticipated starting salary and the selected new-to-State-government candidate’s qualifications shall inform the entrance base salary offer. The qualifications that shall be considered are documented education and experience directly-related to the position description and exceeding the minimum requirements on the class specification. The agency shall tell the new-to-State-government candidate not to disclose his or her current wage or salary history. The new-to-State-government applicant may discuss his or her salary expectations for the position being filled. If the tentatively accepted offer is not the in-hire rate, anticipated starting salary, or within the anticipated starting salary range, the agency shall complete a Special Salary Request-New Employee form (CMS-163) identifying both the pre-established anticipated starting salary and the justification for hiring the selected candidate at the tentatively offered and accepted higher starting salary.

B) For Other Than Trainee Classification Titles in Which the Current State Government Employee is a Candidate for a Position Subject to the Personnel Code – For other than trainee classification titles in which the current State government employee is a candidate for a position subject to the Personnel Code, if a candidate possesses directly-related education and experience in excess of the minimum requirements of the class specification, the employing agency may offer the candidate an entrance base salary that is not more than 5% above the candidate's current base salary. Any deviation from the 5% maximum is a special salary adjustment (see Section 310.470).

c) Salary Adjustment for Substantial Additional Duties and Responsibilities within the Same Position or for Transfer to Another Position with Substantial Additional Duties and Responsibilities in the Same Title – An upward salary adjustment that is not more than 5% above the employee's current base salary in a broad-band position classification may be made by the employing agency where the employee's position has been given substantial additional duties and responsibilities but will remain in the same classification or where the employee transfers to another position with substantial additional duties and responsibilities in the same broad-band class. Any deviation from the 5% maximum is a special salary adjustment (see Section 310.470). The salary adjustment shall not change the creditable service date.

d) Movement between Salary Systems − Salary treatment on movement of an employee between one position in the broad-band class series and another position outside of the broad-band class series will be as recommended by the employing agency and approved by the Director of Central Management Services.

e) Salary Treatment upon Initial Placement of Positions in Other Occupational Broad-Band Classes − For the purpose of establishing salary treatment upon initial placement of positions, it is necessary to determine the "lowest corresponding Merit Compensation grade". The Merit Compensation range with a minimum salary closest to, but not lower than, that of the broad-band range minimum is known as the "lowest corresponding Merit Compensation grade".

1. The incumbent of a position with a current salary range maximum equal to or greater than the maximum of the "lowest corresponding Merit Compensation grade" will be placed in the broad-band range with no change in salary.

2. The incumbent of a position with a current salary range maximum less than the maximum of the "lowest corresponding Merit Compensation grade" will be placed in the broad-band range with a 5% increase in current base salary. However, in no event shall the resulting salary be lower than the minimum or higher than the maximum rate of the new salary range. The creditable service date of an employee will not be changed unless an increase of 10% or greater is provided to move the employee to the minimum of the new range.

f) Pay Treatment upon Illinois Labor Relations Board State Panel Revocation of Certification of Representation by a Bargaining Unit – Upon the Illinois Labor Relations Board (ILRB) State Panel issuing a Revocation of Certification of representation by a bargaining unit when an agreement exists between the bargaining unit and the State assigning pay, effective the date of the issuance, the position is subject to the jurisdiction of the Merit Compensation System (Section 310.410) and assigned to the broad-band salary range assigned to the position's classification (Appendix G), and may receive an immediate downward adjustment in base salary (Section 310.480(e)).

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.500 Definitions

The following are definitions of certain terms and are for purposes of clarification as they affect the Merit Compensation System only.

"Adjustment in Salary" − A change in salary occasioned by previously committed error or oversight, or required in the best interest of the agency or the State as defined in Sections 310.470 and 310.480.

"Agency" means an agency (e.g., Department, Board, Commission, etc.) of Illinois State government whose employees are subject to this Part.

"Anticipated Starting Salary" – A position-specific rate or range within the salary range assigned to the classification title to which the position being filled is allocated and based on the value of the work to be performed in the position description. The anticipated starting salary is published in the posting of a position opening. When valuing the work to be performed in the position description, agencies shall consider questions based on the factors located in Section 310.470. The factors are: is the valuation consistent with the treatment of other similar situations; is the valuation equitable in view of the particular circumstances; what are the staffing needs and requirements of the employing agency; and are there labor market influences on recruitment for the classification or position. Some of the questions to be considered are: how are others in this title in the agency compensated; how many staff does the position supervise; what is the scope of the position's area of responsibility; is the position similar to positions at other agencies and, if so, how are those employees compensated; what types of subordinates report to the position and how are they compensated; does this position require a license that is difficult to obtain; has the agency unsuccessfully attempted to fill the position and, if so, how many times; and if the position has private sector counterparts, how are they compensated? This is a non-exhaustive list of factors and questions for agencies to consider when developing an anticipated starting salary.

"Base Salary" − The dollar amount of pay of an employee as determined under the provisions of the Merit Compensation System. Base salary does not include commission, incentive pay, bilingual pay, longevity pay, overtime pay, shift differential pay or deductions for time not worked.

"Bilingual Pay" – The dollar amount per month, or percentage of the employee's monthly base salary, paid in addition to the employee's base salary when the individual position held by the employee has a job description that requires the use of sign language, Braille, or another second language (e.g., Spanish), or that requires the employee to be bilingual.

"Classification" – The classification established by the Department and approved by the Civil Service Commission based on Section 8a(1) of the Personnel Code and to which one or more positions are allocated based upon similarity of duties performed, responsibilities assigned and conditions of employment. Classification may be abbreviated to "class" and referred to by its title or title code.

"Class Specification" – The document comprising the title, title code, effective date, distinguishing features of work, illustrative examples of work and desirable requirements.

"Creditable Service" − All service in full or regularly scheduled part-time pay status beginning with the date of initial employment or the effective date of the last in-range or promotional salary increase. Reevaluations (Sections 310.460(c) and 310.480(d)), reallocations (Sections 310.460(b) and 310.480(b)), adjustments (Sections 310.470, 310.480(e) and 310.495(c)) and interim assignments (Section 310.490(o)) shall not change the creditable service date.

"Comparable Classes" − Two or more classes that are in the same salary range.

"Demotion" − The assignment for cause of an employee to a vacant position in a class in a lower salary range than the former class.

"Department" or "CMS" means the Department of Central Management Services.

"Differential" − The additional compensation added to the base salary of an employee resulting from conditions of employment imposed during the normal schedule of work.

"Director" means the Director of the Department of Central Management Services.

"Entrance Base Salary" − The initial base salary assigned to an employee upon entering State service.

"In-hire Rate" – An in-hire rate is a minimum rate for a class that is above the normal minimum of the range, as approved by the Director after a review of competitive market starting rates for similar classes.

"Maximum Rate of Pay" − The highest rate of pay for a given salary range.

"Minimum Rate of Pay" − The lowest rate of pay for a given salary range. Normally the minimum rate of pay represents the salary to be paid a qualified employee who is appointed to a position in a class assigned to a given salary range.

"Option" − The denotation of directly-related education, experience and/or knowledge, skills and abilities required to qualify for the position allocated to the classification. The requirements may meet or exceed the requirements indicated in the class specification. The following options are for the Public Service Administrator classification and have a broad-banded salary range assigned:

1

=

General Administration/Business/Marketing/Labor/Personnel

2

=

Fiscal Management/Accounting/Budget/Internal Audit/Insurance/Financial

2B

=

Financial Regulatory

2C

=

Economist

3

=

Management Information System/Data Processing/ Telecommunications

3J

=

Java Application Developer

3N

=

Networking

4

=

Physical Sciences/Environment

6

=

Health and Human Services

6B

=

Day Care Quality Assurance

6C

=

Health Statistics

6D

=

Health Promotion/Disease Prevention

6E

=

Laboratory Specialist

6F

=

Infectious Disease

6G

=

Disaster/Emergency Medical Services

6H

=

Illinois Council on Developmental Disabilities Program Specialist

7

=

Law Enforcement/Correctional

7A

=

Sworn Law Enforcement

8A

=

Special License − Architect License

8B

=

Special License − Boiler Inspector License

8C

=

Special License − Certified Public Accountant

8D

=

Special License − Federal Communications Commission License/National Association of Business and Educational Radio

8E

=

Special License − Engineer (Professional)

8F

=

Special License − Federal Aviation Administration Medical Certificate/First Class

8G

=

Special License − Clinical Professional Counselor

8H

=

Special License − Environmental Health Practitioner

8I

=

Special License − Professional Land Surveyor License

8J

=

Special License - Registered American Dietetic Association/Public Health Food Sanitation Certificate/Licensed Dietitian

8K

=

Special License − Licensed Psychologist

8L

=

Special License − Law License

8N

=

Special License − Registered Nurse License

8O

=

Special License − Occupational Therapist License

8P

=

Special License − Pharmacist License

8Q

=

Special License − Religious Ordination by Recognized Commission

8R

=

Special License − Dental Hygienist

8S

=

Special License − Social Worker/Clinical Social Worker

8T

=

Special License − Professional Educator License and Administrative Endorsement

8U

=

Special License − Physical Therapist License

8V

=

Special License − Audiologist License

8W

=

Special License − Speech-Language Pathologist License

8Y

=

Special License − Plumbing License

8Z

=

Special License − Special Metrologist Training

9A

=

Special License – Certified Internal Auditor

9B

=

Special License – Certified Information Systems Auditor

9C

=

Special License – Landscape Architect

9D

=

Special License – Certified Real Estate Appraisal License

9G

=

Special License − Registered Professional Geologist License

The following options are for the Senior Public Service Administrator classification and have a broad-banded salary range assigned:

1

=

General Administration/Business/Marketing/Labor/Personnel

2

=

Fiscal Management/Accounting/Budget/Internal Audit/Insurance/Financial

2A

=

Revenue Audit Field Manager

2B

=

Financial Regulatory

3

=

Management Information System/Data Processing/Telecommunications

4

=

Physical Sciences/Environment

5

=

Agriculture/Conservation

6

=

Health and Human Services

6H

=

Illinois Council on Developmental Disabilities Program Policy

7

=

Law Enforcement/Correctional

7A

=

Sworn Law Enforcement

8A

=

Special License – Architect License

8B

=

Special License – Boiler Inspector License

8C

=

Special License – Certified Public Accountant/Certified Internal Auditor

8D

=

Special License – Dental License

8E

=

Special License – Engineer (Professional)

8F

=

Special License – Clinical Professional Counseling

8G

=

Special License – Geologist

8H

=

Special License – Environmental Health Practitioner

8I

=

Special License – Illinois Auctioneer License

8K

=

Special License – Licensed Psychologist

8L

=

Special License – Law License (Illinois)

8M

=

Special License – Veterinary Medicine License

8N

=

Special License – Registered Nurse License (Illinois)

8O

=

Special License – Occupational Therapist License

8P

=

Special License – Pharmacist License

8Q

=

Special License – Nursing Home Administrator License

8R

=

Special License – Real Estate Broker License

8S

=

Special License – Social Worker/Clinical Social Worker

8T

=

Special License – Professional Educator License and Administrative Endorsement

8U

=

Special License – Landscape Architect

8Z

=

Special License – Certified Real Estate Appraisal License

Other classification titles contain an option and the option also may denote differences in the distinguishing features of work indicated in the classification specification. The classification titles containing an option are:

Children and Family Service Intern, Option 1

Children and Family Service Intern, Option 2

Health Services Investigator I, Option A – General

Health Services Investigator II, Option A – General

Health Services Investigator II, Option C – Pharmacy

Juvenile Justice Youth and Family Specialist Option 1

Juvenile Justice Youth and Family Specialist Option 2

Medical Administrator I Option C

Medical Administrator I Option D

Medical Administrator II Option C

Medical Administrator II Option D

Physician Specialist − Option A

Physician Specialist − Option B

Physician Specialist − Option C

Physician Specialist − Option D

Physician Specialist − Option E

Research Fellow, Option B

"Performance Review" − The required review of an employee's on-the-job performance as measured by a specific set of criteria.

"Performance Review Date" − The date on which the annual merit increase and bonus shall be made effective if a performance review indicates it is appropriate. Actual performance review procedures are to be completed prior to the effective date of any recommendation to allow sufficient time for the records to be processed by the originating agency.

"Promotion" − The appointment of an employee, with the approval of the agency and the Department of Central Management Services, to a vacant position in a class in a higher salary range than the former class.

"Reallocation" − A position action in which gradual changes in a single position's assigned duties and responsibilities accumulate and result in the assignment of the position to another class.

"Reclassification" – A position action that occurs subsequent to approval of a new or revised classification by the Civil Service Commission and results in the assignment of a position or positions to a different class.

"Reevaluation" − The assignment of a different salary range to a class of positions based upon a change in relation to other classes or to the labor market.

"Salary Range" − The dollar values encompassed by the minimum and maximum rates of pay of a salary range assigned to a class title.

"Transfer" − The assignment of an employee to a vacant position in a class having the same salary range.

"Work Year" − That period of time determined by the agency and filed with the Department in accordance with 80 Ill. Adm. Code 303.300.

History

• Source: Amended at 47 Ill. Reg. 10482, effective July 1, 2023

80 Ill. Adm. Code 310.510 Conversion of Base Salary to Pay Period Units (repealed)

History

• Source: Repealed at 26 Ill. Reg. 17374, effective November 25, 2002

80 Ill. Adm. Code 310.520 Conversion of Base Salary to Daily or Hourly Equivalents

For purposes of determining the hourly or daily equivalent of a base salary, the following methods of computation shall apply:

a) Payment for Vacation and Overtime Credits − A daily (hourly) equivalent shall be determined by converting the base salary to an annual salary and dividing the result by the number of days (hours) usually worked in a year, according to the agency's normal work schedule as filed with the Department.

b) Payment for Fractional Part of a Specific Pay Period − In those instances in which an employee is to be compensated at a rate that represents a number of work days (hours) that is less than the actual number of work days (hours) in the pay period, the formula to be used is: monthly rate divided by two equals pay period rate; pay period rate divided by days (hours) scheduled equals daily (hourly) rate; daily (hourly) rate multiplied by days (hours) worked equals gross amount earned.

c) Part-Time Work − Part-time employees whose base salary is other than an hourly or daily basis shall be paid on a daily rate basis which will be computed from annual rates of salary and the total number of work days in the year.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.530 Implementation

a) The salary schedules for the Merit Compensation System will continue as set forth in Appendices D and G (Pay Plan).

b) The Merit Increase and Bonus Guidechart as set forth in Section 310.540 (Pay Plan).

c) The Fiscal Year 2023 Merit Compensation Cost-of-Living Adjustment as set forth in Section 310.550 (Pay Plan).

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.540 Annual Merit Increase and Bonus Guidechart

Effective July 1, 2009

Category

Definition

Increase

Bonus

Category 1

Exceptional

$0

0%

Category 2

Accomplished

$0

0%

Category 3

Acceptable

$0

0%

Category 4

Unacceptable

$0

0%

History

• Source: Amended at 33 Ill. Reg. 14944, effective October 26, 2009

80 Ill. Adm. Code 310.550 Fiscal Year 2023 Merit Compensation Cost-of-Living Adjustment

Effective July 1, 2022, each current merit compensation (includes broad-band) State employee shall receive a 3.95% cost-of-living adjustment to the employee's base salary. No temporary, emergency or provisional employee shall receive the cost-of-living adjustment. The Department will program the cost-of-living adjustment automatically. No agency action will be required.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.560 Merit Incentive Program (repealed)

History

• Source: Repealed at 44 Ill. Reg. 6859, effective April 16, 2020

80 Ill. Adm. Code 310.570 Gain Sharing Program (repealed)

History

• Source: Repealed at 44 Ill. Reg. 6859, effective April 16, 2020

80 Ill. Adm. Code 310.600 Jurisdiction (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.610 Pay Schedules (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.620 In-Hiring Rate (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.630 Definitions (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.640 Increases in Pay (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.650 Other Pay Provisions (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.660 Effective Date (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.670 Negotiated Rate (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.680 Trainee Rate (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.690 Educator Schedule for Frozen Rc-063 and Frozen Hr-010 (repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE A RC-104 (Conservation Police Supervisors, Illinois Fraternal Order of Police Labor Council)

Title

Title Code

Bargaining Unit

Pay Plan Code

Conservation Police Sergeant

09347

RC-104

Q

Conservation Police Lieutenant

09339

RC-104

Q

NOTES: Satisfactory Performance Increase (Step Increase) – For Steps 1 through 7, employees shall receive a step increase to the next higher step upon satisfactory completion of twelve months of creditable service in the step and within the position classification, including successor title changes not involving pay grade changes.

In-Hire Rate – Effective July 31, 2019, new bargaining unit members, regardless of their current rank, shall be hired at 33% of the differential between a Conservation Police Officer II and the new member's new rank at the appropriate longevity level. Upon successful completion of 18 months of service, the new member shall be paid 66% of the rank differential between a Conservation Police Officer II and the new member's new rank at the appropriate longevity level. Upon completion of 36 months of service, the new member shall be paid 100% of the rank differential between a Conservation Police Officer II and the new member's new rank at the appropriate longevity level.

Longevity Bonus – Employees shall receive longevity bonuses at the beginning of the 9, 10, 12.5, 14, 15, 17.5, 20, 21, 22.5 and 25 years of service.

Effective July 1, 2022

S T E P S

Title

1

2

3

4

5

6

7

Conservation Police Sergeant

6,268

6,588

6,906

7,230

7,564

7,919

8,103

Conservation Police Lieutenant

6,512

6,846

7,177

7,512

7,860

8,228

8,419

Longevity Bonus Rates

Title

9

Yrs

10

Yrs

12.5 Yrs

14

Yrs

15

Yrs

17.5 Yrs

20

Yrs

21

Yrs

22.5 Yrs

25

Yrs

Conservation Police Sergeant

8,287

8,763

8,980

9,249

9,519

9,958

10,433

10,531

11,021

11,531

Conservation Police Lieutenant

8,610

9,105

9,332

9,610

9,888

10,347

10,839

10,944

11,449

11,982

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE B VR-706 (Assistant Automotive Shop Supervisors, Automotive Shop Supervisors and Meat and Poultry Inspector Supervisors, Laborers' − ISEA Local #2002)

Title

Title Code

Bargaining Unit

Pay Plan Code

Assistant Automotive Shop Supervisor

01565

VR-706

B

Automotive Shop Supervisor

03749

VR-706

B

Meat and Poultry Inspector Supervisor

26073

VR-706

B

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after April 1, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

General Increases – The pay rates for all bargaining unit positions shall be increased by the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Step Increases – Upon satisfactory completion of 12 months creditable service in a step, employees shall receive a step increase to the next higher step.

Longevity Pay – Effective July 1, 2013, an employee on Step 8, having 10 years of continuous service and three years creditable service at Step 8, shall be paid an additional $50 per month. An employee with 15 years continuous services and three years of creditable service at Step 8 shall receive an additional $75 per month.

Effective July 1, 2022

S T E P S

Title

1c

1b

1a

1

2

3

4

5

6

7

8

Assistant Automotive Shop Supervisor

4482

4628

4773

4838

4981

5125

5268

5410

5554

5699

5843

Automotive Shop Supervisor

5501

5679

5859

5955

6140

6328

6515

6704

6890

7079

7264

Meat and Poultry Inspector Supervisor

4734

4889

5041

5114

5335

5548

5758

5981

6317

6445

6508

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE C RC-056 (Site Superintendents and Departments of Veterans' Affairs, Natural Resources, Human Services and Agriculture and Historic Preservation Agency Managers, IFPE)

Title

Title Code

Bargaining Unit

Pay Grade

Agricultural Executive

00800

RC-056

20

Agricultural Land and Water Resources Supervisor

00811

RC-056

21

Natural Resources Education Program Coordinator

28834

RC-056

20

Natural Resources Grant Coordinator

28835

RC-056

19

Natural Resources Manager I

28836

RC-056

20

Natural Resources Manager II

28837

RC-056

22

Natural Resources Manager III

28838

RC-056

24

Natural Resources Site Manager I

28841

RC-056

20

Natural Resources Site Manager II

28842

RC-056

22

Plant and Pesticide Specialist Supervisor

32506

RC-056

19

Security Officer Chief (See Note)

39875

RC-056

16

Security Officer Lieutenant (See Note)

39876

RC-056

14

Site Superintendent I

41211

RC-056

19

Site Superintendent II

41212

RC-056

21

Site Superintendent III

41213

RC-056

23

Veterinary Consumer Safety Officer

47911

RC-056

19

Veterinary Pathologist

47916

RC-056

23

Veterinary Supervisor I

47917

RC-056

21

Veterinary Supervisor II

47918

RC-056

22

Warehouse Examiner Supervisor

48786

RC-056

19

NOTES: Step Increases – Employees who have not attained Step 8 shall receive a step increase to the next step upon satisfactory completion of 12 months of creditable service.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Sub-Step Increases – Step la, lb, and lc shall be implemented for all employees hired on or after July 1, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Pension Formula Change – An employee newly hired to a position that was previously covered by the alternative formula for pension benefits prior to January 1, 2011 and, effective January 1, 2011, is covered by the standard formula for pension benefits (see the Illinois Pension Code [40 ILCS 5/1-160(g) and 14-110(b)]) shall be placed on the Pay Plan Code B salary grade assigned to the classification to which the position is allocated. An employee newly hired is an employee hired on or after January 1, 2011 who has never been a member of the State Employees' Retirement System (SERS) or any other reciprocal retirement system. Other reciprocal retirement systems are the Chicago Teachers' Pension Fund, County Employees' Annuity and Benefit Fund of Cook County, Forest Preserve District Employees' Annuity and Benefit Fund of Cook County, General Assembly Retirement System (GARS), Illinois Municipal Retirement Fund (IMRF), Judges Retirement System (JRS), Laborers' Annuity and Benefit Fund of Chicago, Metropolitan Water Reclamation District Retirement Fund, Municipal Employees Annuity and Benefit Fund of Chicago, State Universities Retirement System (SURS) and Teachers' Retirement System of the State of Illinois (TRS).

Longevity Pay – Effective July 1, 1998, the Step 7 rate shall be increased $50 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 7 in the same pay grade. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees (non-sworn) who attain 10 years of service and have three or more years of creditable service at Step 8 in the same pay grade. Effective July 1, 2010, the Step 8 rate shall be increased $75 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 8. Effective July 1, 2013, the Step 8 rate shall be increased $75 per month for those employees (non-sworn) who attain 10 years of service and have three of more years of creditable service at Step 8 in the same pay grade. Effective July 1, 2013, the Step 8 rate shall be increased $100 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 8.

Effective July 1, 2022

Bargaining Unit: RC-056

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

14

B

4193

4327

4465

4520

4698

4901

5082

5274

5582

5692

5922

14

Q

4370

4511

4653

4713

4903

5118

5309

5514

5833

5948

6188

16

B

4587

4736

4885

4951

5170

5386

5610

5834

6179

6305

6560

16

Q

4786

4941

5097

5170

5404

5628

5863

6100

6460

6721

6992

19

B

5348

5521

5694

5788

6061

6343

6613

6887

7302

7445

7745

20

B

5644

5828

6012

6113

6399

6704

6993

7284

7727

7878

8194

21

B

5960

6154

6349

6462

6774

7088

7413

7722

8204

8369

8701

22

B

6301

6506

6711

6836

7167

7508

7856

8182

8689

8865

9218

23

B

6683

6900

7120

7256

7629

7991

8361

8722

9268

9454

9832

24

B

6895

7120

7345

7489

7878

8256

8637

9021

9558

9775

10165

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE D HR-001 (Teamsters Local #700)

Title

Title Code

Bargaining Unit

Pay Plan Code

Monthly

Hourly

Effective Date

Highway Maintainer (Snowbirds)

18639

HR-001

Q

4850

27.87

July 1, 2022

NOTES: Definition of Snowbirds – Snowbirds are all seasonal, salaried, full-time Highway Maintainers whose primary function is snow removal.

Effective July 1, 2022

HR-001

Title

Title Code

Pay Plan Code

75%

80%

85%

90%

95%

Full Scale

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Building Services Worker

05616

B

3305

18.99

3524

20.25

3744

21.52

3965

22.79

4185

24.05

4405

25.32

Elevator Operator

13500

B

3371

19.37

3596

20.67

3822

21.97

4047

23.26

4270

24.54

4496

25.84

Elevator Operator – Assistant Starter

13500

B

3416

19.63

3643

20.94

3872

22.25

4099

23.56

4326

24.86

4554

26.17

Elevator Operator – Starter

13500

B

3437

19.75

3666

21.07

3894

22.38

4124

23.70

4352

25.01

4581

26.33

Grounds Supervisor

17549

B

5006

28.77

5341

30.70

5674

32.61

6007

34.52

6342

36.45

6675

38.36

Grounds Supervisor (DHS – Chicago Read)

17549

B

5188

29.82

5533

31.80

5879

33.79

6225

35.78

6571

37.76

6918

39.76

Grounds Supervisor (DHS – Supervisor Tractor Trailer)

17549

B

5436

31.24

5798

33.32

6160

35.40

6522

37.48

6885

39.57

7247

41.65

Heavy Construction Equipment Operator (Regular – RG)

18465

Q

5307

30.50

5660

32.53

6014

34.56

6368

36.60

6721

38.63

7076

40.67

Heavy Construction Equipment Operator (Bridge Crew – BC)

18465

Q

5383

30.94

5741

32.99

6100

35.06

6459

37.12

6818

39.18

7177

41.25

Highway Maintainer (Regular – RG)

18639

Q

5196

29.86

5544

31.86

5889

33.84

6236

35.84

6582

37.83

6928

39.82

Highway Maintainer (Bridge Crew – BC)

18639

Q

5275

30.32

5628

32.34

5980

34.37

6330

36.38

6682

38.40

7034

40.43

Highway Maintainer (Drill Rig – DR)

18639

Q

5307

30.50

5660

32.53

6014

34.56

6368

36.60

6721

38.63

7076

40.67

Highway Maintainer (Emergency Patrol – EP)

18639

Q

5309

30.51

5663

32.55

6018

34.59

6370

36.61

6725

38.65

7079

40.68

Highway Maintenance Lead Worker (Regular – RG)

18659

Q

5341

30.70

5695

32.73

6052

34.78

6409

36.83

6764

38.87

7121

40.93

Highway Maintenance Lead Worker (Bridge Crew – BC)

18659

Q

5417

31.13

5778

33.21

6138

35.28

6500

37.36

6862

39.44

7221

41.50

Highway Maintenance Lead Worker (Emergency Patrol – EP)

18659

Q

5450

31.32

5814

33.41

6177

35.50

6538

37.57

6902

39.67

7266

41.76

Highway Maintenance Lead Worker (Lead Lead Worker) (Regular – RG)

18659

Q

5394

31.00

5754

33.07

6112

35.13

6473

37.20

6833

39.27

7192

41.33

Highway Maintenance Lead Worker (Lead Lead Worker) (Bridge Crew – BC)

18659

Q

5471

31.44

5836

33.54

6201

35.64

6565

37.73

6929

39.82

7295

41.93

Highway Maintenance Lead Worker (Lead Lead Worker) (Emergency Patrol – EP)

18659

Q

5505

31.64

5872

33.75

6239

35.86

6607

37.97

6973

40.07

7340

42.18

Laborer (Maintenance) (Regular – RG)

23080

B

5030

28.91

5365

30.83

5701

32.76

6036

34.69

6371

36.61

6707

38.55

Maintenance Equipment Operator

25020

B

5133

29.50

5473

31.45

5817

33.43

6157

35.39

6501

37.36

6842

39.32

Maintenance Equipment Operator (DHS – Tractor Trailer)

25020

B

5156

29.63

5501

31.61

5844

33.59

6188

35.56

6531

37.53

6875

39.51

Maintenance Equipment Operator (Dispatcher)

25020

B

5319

30.57

5674

32.61

6029

34.65

6385

36.70

6737

38.72

7093

40.76

Maintenance Worker (not DOT, DHS – Chicago Read or DHS – Forensic)

25500

B

4973

28.58

5304

30.48

5634

32.38

5967

34.29

6297

36.19

6629

38.10

Maintenance Worker (DHS – Chicago Read)

25500

B

5133

29.50

5473

31.45

5817

33.43

6157

35.39

6501

37.36

6842

39.32

Maintenance Worker (DHS – Forensic)

25500

Q

5196

29.86

5544

31.86

5889

33.84

6236

35.84

6582

37.83

6928

39.82

Maintenance Worker (DOT – Regular – RG)

25500

B

5072

29.15

5410

31.09

5747

33.03

6085

34.97

6424

36.92

6762

38.86

Maintenance Worker (DOT – Emergency Patrol – EP)

25500

B

5180

29.77

5525

31.75

5871

33.74

6215

35.72

6561

37.71

6905

39.68

Sign Hanger

40900

B

5196

29.86

5544

31.86

5889

33.84

6236

35.84

6582

37.83

6928

39.82

Sign Hanger Foreman

40910

B

5341

30.70

5695

32.73

6052

34.78

6409

36.83

6764

38.87

7121

40.93

NOTES: General Increases – The pay rates for all bargaining unit classifications shall be increased the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%.

In-Hire Rate – In-hire rates are located in Section 310.47(a). The parties agree the in-hire rate as was amended to 75% for the 2008-2012 Collective Bargaining Agreement shall continue in effect. The parties also agree that all classifications shall continue the 75% in-hire rate as agreed to in the 2012-2015 agreement. Employees in the in-hire will receive a 5% increase each year for five years on their anniversary date in order to obtain the full rate. Effective July 1, 2019 the in-hire rate is unfrozen. Each employee on active payroll upon ratification of the contract, whose in-hire rate was frozen during the 2015-2019 agreement shall be placed on his/her correct in-hire rate, on July 1, 2019. The placement shall not change the employee's creditable service (anniversary) date. Example: An employee who was hired on and whose creditable service (anniversary) date is April 1, 2017 at 75% shall be placed on the 85% rate on July 1, 2019. The employee's next in­hire movement (to 90%) will be due on April 1, 2020, pursuant to their creditable service (anniversary) date. Employees within this bargaining unit who are promoted and are in the in-hire progression will promote to the next higher step of the in-hire rate of the higher classification. In addition, temporary assignments to higher-level classifications shall also be calculated at the in-hire rates. All full-scale employees within this collective bargaining unit will be promoted to the full-scale rate as if they were promoted to the next higher classification within the series. Any certified employee of this bargaining unit who is offered and accepts a position within this bargaining unit that is a promotion, notwithstanding classification series and without a break in service, shall be placed on the next higher step of the in-hire rate of the new classification. Employees covered under this bargaining agreement who transfer to any position within the bargaining unit without a break in service shall maintain their continuous service date for in-hire rate progression. A certified employee who is assigned and accepts a voluntary reduction in grade shall be certified in the lower class without serving a probationary period. The employee shall be reduced to the appropriate in-hire rate, i.e. 85% lead worker voluntarily reduces to an 85% Highway Maintainer.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE E RC-020 (Teamsters Locals #330 and #705)

Title

Title Code

Bargaining Unit

Pay Plan Code

Monthly

Hourly

Effective Date

Highway Maintainer (Snowbirds)

18639

RC-020

Q

4850

27.87

July 1, 2022

NOTES: Definition of Snowbird − Snowbirds are all seasonal, salaried, full-time Highway Maintainers whose primary function is snow removal.

Effective July 1, 2022

RC-020

Title

Title Code

Pay Plan Code

75%

80%

85%

90%

95%

Full Scale

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Bridge Mechanic

05310

Q

5234

30.08

5582

32.08

5931

34.09

6282

36.10

6629

38.10

6978

40.10

Bridge Tender

05320

B

4948

28.44

5278

30.33

5608

32.23

5938

34.13

6267

36.02

6598

37.92

Heavy Construction Equipment Operator

18465

Q

5307

30.50

5660

32.53

6014

34.56

6368

36.60

6721

38.63

7076

40.67

Heavy Construction Equipment Operator (Bridge Crew – BC)

18465

Q

5383

30.94

5741

32.99

6101

35.06

6459

37.12

6818

39.18

7177

41.25

Highway Maintainer

18639

Q

5196

29.86

5544

31.86

5889

33.84

6236

35.84

6582

37.83

6928

39.82

Highway Maintainer (Bridge Crew – BC)

18639

Q

5275

30.32

5628

32.34

5980

34.37

6330

36.38

6682

38.40

7034

40.43

Highway Maintainer (Drill Rig – DR)

18639

Q

5307

30.50

5660

32.53

6014

34.56

6368

36.60

6721

38.63

7076

40.67

Highway Maintenance Lead Worker

18659

Q

5341

30.70

5695

32.73

6052

34.78

6409

36.83

6764

38.87

7121

40.93

Highway Maintenance Lead Worker (Bridge Crew – BC)

18659

Q

5417

31.13

5778

33.21

6138

35.28

6500

37.36

6862

39.44

7221

41.50

Highway Maintenance Lead Worker (Lead Lead Worker)

18659

Q

5394

31.00

5754

33.07

6112

35.13

6473

37.20

6833

39.27

7192

41.33

Highway Maintenance Lead Worker (Lead Lead Worker) (Bridge Crew – BC)

18659

Q

5471

31.44

5836

33.54

6201

35.64

6565

37.73

6929

39.82

7295

41.93

Labor Maintenance Lead Worker

22809

B

5093

29.27

5431

31.21

5771

33.17

6110

35.11

6450

37.07

6789

39.02

Laborer (Maintenance)

23080

B

5030

28.91

5365

30.83

5701

32.76

6036

34.69

6371

36.61

6707

38.55

Maintenance Equipment Operator

25020

B

5133

29.50

5473

31.45

5817

33.43

6157

35.39

6501

37.36

6842

39.32

Maintenance Equipment Operator

25020

Q

5307

30.50

5660

32.53

6014

34.56

6367

36.59

6721

38.63

7076

40.67

Maintenance Worker (DHS)

25500

B

5138

29.53

5479

31.49

5822

33.46

6164

35.43

6507

37.40

6849

39.36

Maintenance Worker (DOT, not Emergency Patrol)

25500

B

5072

29.15

5410

31.09

5747

33.03

6085

34.97

6424

36.92

6762

38.86

Power Shovel Operator (Maintenance)

33360

Q

5307

30.50

5660

32.53

6014

34.56

6368

36.60

6721

38.63

7076

40.67

Power Shovel Operator (Maintenance) (Bridge Crew – BC)

33360

Q

5383

30.94

5741

32.99

6100

35.06

6459

37.12

6818

39.18

7177

41.25

Silk Screen Operator

41020

B

5242

30.13

5590

32.13

5941

34.14

6291

36.16

6639

38.16

6989

40.17

NOTES: General Increases – The pay rates for all bargaining unit classifications shall be increased the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

In-Hire Rate – In-hire rates are located in Section 310.47(a). The parties agree the in-hire rate as was amended to 75% for the 2008-2012 Collective Bargaining Agreement shall continue in effect. The parties also agree that all classifications shall continue the 75% in-hire rate as agreed to in the 2012-2015 agreement. Employees in the in-hire will receive a 5% increase each year for five years on their anniversary date in order to obtain the full rate. Effective July 1, 2019 the in-hire rate is unfrozen. Each employee on active payroll upon ratification of the contract, who's in-hire rate was frozen during the 2015-2019 agreement shall be placed on their correct in-hire rate, on July 1, 2019. Such placement shall not change the employee's credible service date. Example: employee who was hired on and whose credible service date is April 1, 2018, would have been frozen at 75% shall be moved to 80% on July 1, 2019. The employee will then be due their next in-hire rate on April 1, 2020, pursuant to their credible service date. Employees within this bargaining unit who are promoted and are in the in-hire progression will promote to the next higher step of the in-hire rate of the higher classification. In addition, temporary assignments to higher level classifications shall also be calculated at the in-hire rates. All full-scale employees within this collective bargaining unit will be promoted to full­scale rate as if they were promoted to the next higher classification within the series. Any certified employee of this bargaining unit who is offered and accepts a position within this bargaining unit that is a promotion, notwithstanding classification series and without a break in service, shall be placed on the next higher step of the in-hire rate of the new classification. Employees covered under this bargaining agreement who transfer to any position within the bargaining unit without a break in service shall maintain their continuous service date for in-hire rate progression. A certified employee who is assigned and accepts a voluntary reduction in grade shall be certified in the lower class without serving a probationary period. The employee shall be reduced to the appropriate in-hire rate; i.e., 85% lead worker voluntarily reduces to an 85% Highway Maintainer.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE F RC-019 (Downstate Teamsters)

Title

Title Code

Bargaining Unit

Pay Plan Code

Monthly

Hourly

Effective Date

Highway Maintainer (Snowbirds)

18639

RC-019

Q

4850

27.87

July 1, 2022

NOTES: Definition of Snowbird − Snowbirds are all seasonal, salaried, full-time Highway Maintainers whose primary function is snow removal.

Effective July 1, 2022

RC-019

Title

Title Code

Pay Plan Code

75%

80%

85%

90%

95%

Full Scale

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Mo.

Hr.

Bridge Mechanic (IDOT)

05310

Q

5227

30.04

5576

32.05

5924

34.05

6271

36.04

6621

38.05

6970

40.06

Bridge Tender (IDOT)

05320

B

5258

30.22

5609

32.24

5959

34.25

6311

36.27

6660

38.28

7010

40.29

Deck Hand (IDOT)

11500

B

5053

29.04

5390

30.98

5726

32.91

6062

34.84

6400

36.78

6736

38.71

Ferry Operator I (IDOT)

14801

B

5258

30.22

5609

32.24

5959

34.25

6311

36.27

6660

38.28

7010

40.29

Ferry Operator II (IDOT)

14802

B

5364

30.83

5721

32.88

6079

34.94

6437

36.99

6793

39.04

7151

41.10

Highway Maintainer (Regular –RG) (IDOT)

18639

Q

5196

29.86

5544

31.86

5889

33.84

6236

35.84

6582

37.83

6928

39.82

Highway Maintainer (Bridge Crew – BC) (IDOT)

18639

Q

5261

30.24

5612

32.25

5964

34.28

6314

36.29

6665

38.30

7016

40.32

Highway Maintainer (Drill Rig – DR) (IDOT)

18639

Q

5288

30.39

5639

32.41

5993

34.44

6345

36.47

6697

38.49

7050

40.52

Highway Maintainer (Emergency Patrol – EP) (IDOT)

18639

Q

5290

30.40

5641

32.42

5995

34.45

6348

36.48

6701

38.51

7053

40.53

Highway Maintenance Lead Worker (Regular – RG) (IDOT)

18659

Q

5317

30.56

5672

32.60

6026

34.63

6379

36.66

6735

38.71

7089

40.74

Highway Maintenance Lead Worker (Bridge Crew – BC) (IDOT)

18659

Q

5381

30.93

5740

32.99

6099

35.05

6458

37.11

6817

39.18

7176

41.24

Highway Maintenance Lead Worker (Emergency Patrol – EP) (IDOT)

18659

Q

5411

31.10

5771

33.17

6132

35.24

6493

37.32

6853

39.39

7214

41.46

Highway Maintenance Lead Worker (Lead Lead Worker) (Regular – RG) (IDOT)

18659

Q

5364

30.83

5721

32.88

6079

34.94

6437

36.99

6793

39.04

7151

41.10

Highway Maintenance Lead Worker (Lead Lead Worker) (Bridge Crew – BC) (IDOT)

18659

Q

5427

31.19

5790

33.28

6152

35.36

6514

37.44

6875

39.51

7238

41.60

Highway Maintenance Lead Worker (Lead Lead Worker) (Emergency Patrol – EP) (IDOT)

18659

Q

5432

31.22

5794

33.30

6156

35.38

6519

37.47

6881

39.55

7243

41.63

Janitor I (Including Office of Administration) (CMS, DOC, DHS, DJJ, DNR, ISP and DVA)

21951

B

4870

27.99

5195

29.86

5520

31.72

5844

33.59

6169

35.45

6494

37.32

Janitor II (Including Office of Administration) (CMS, DOC, DHS, DJJ, DNR, ISP and DVA)

21952

B

4899

28.16

5225

30.03

5552

31.91

5879

33.79

6205

35.66

6531

37.53

Labor Maintenance Lead Worker (CMS, DOC, DHS, DJJ, DNR, ISP and DVA)

22809

B

5106

29.34

5447

31.30

5788

33.26

6128

35.22

6468

37.17

6809

39.13

Labor Maintenance Lead Worker (IDOT)

22809

B

5106

29.34

5447

31.30

5787

33.26

6128

35.22

6467

37.17

6809

39.13

Laborer (Maintenance) (IDOT)

23080

B

5055

29.05

5392

30.99

5729

32.93

6065

34.86

6403

36.80

6739

38.73

Maintenance Equipment Operator

25020

B

5140

29.54

5481

31.50

5825

33.48

6167

35.44

6510

37.41

6853

39.39

Maintenance Equipment Operator (DHS Forensics)

25020

Q

5196

29.86

5544

31.86

5889

33.84

6236

35.84

6582

37.83

6928

39.82

Maintenance Equipment Operator (DOC)

25020

Q

5288

30.39

5640

32.41

5993

34.44

6345

36.47

6697

38.49

7050

40.52

Maintenance Equipment Operator (DOC – Maximum Security)

25020

S

5335

30.66

5690

32.70

6046

34.75

6402

36.79

6758

38.84

7112

40.87

Maintenance Worker (CMS, DOC, DHS, DJJ, DNR, ISP and DVA)

25500

B

5088

29.24

5426

31.18

5766

33.14

6105

35.09

6445

37.04

6784

38.99

Maintenance Worker (IDOT)

25500

B

5088

29.24

5426

31.18

5767

33.14

6105

35.09

6446

37.05

6784

38.99

Maintenance Worker (DHS – Forensics)

25500

Q

5146

29.57

5489

31.55

5831

33.51

6175

35.49

6517

37.45

6861

39.43

Power Shovel Operator (Maintenance) (Regular – RG) (CMS, DOC, DHS, DJJ, DNR, ISP and DVA)

33360

B

5231

30.06

5579

32.06

5928

34.07

6275

36.06

6626

38.08

6974

40.08

Power Shovel Operator (Maintenance) (Regular – RG) (IDOT)

33360

Q

5288

30.39

5639

32.41

5993

34.44

6345

36.47

6697

38.49

7050

40.52

Power Shovel Operator (Maintenance) (Bridge Crew – BC) (IDOT)

33360

Q

5354

30.77

5712

32.83

6069

34.88

6425

36.93

6782

38.98

7139

41.03

Security Guard I (CMS, DOC, DHS, DJJ, DNR, ISP and DVA)

39851

B

4896

28.14

5221

30.01

5549

31.89

5875

33.76

6202

35.64

6527

37.51

Security Guard II (CMS, DOC, DHS, DJJ, DNR, ISP and DVA)

39852

B

4940

28.39

5269

30.28

5599

32.18

5927

34.06

6257

35.96

6585

37.84

Silk Screen Operator (IDOT)

41020

B

5235

30.09

5583

32.09

5932

34.09

6282

36.10

6630

38.10

6979

40.11

NOTES: General Increases – The pay rates for all bargaining unit classifications shall be increased the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

In-Hire Rate – In-hire rates are located in Section 310.47(a). The parties agree the in-hire rate as was amended to 75% for the 2008-2012 Collective Bargaining Agreement shall continue in effect. The parties also agree that all classifications shall continue the 75% in-hire rate as agreed to in the 2012-2015 agreement. Employees in the in-hire will receive a 5% increase each year for five years on their anniversary date in order to obtain the full rate. Effective July 1, 2019 the in-hire rate is unfrozen. Each employee on active payroll upon ratification of the contract, whose in-hire rate was frozen during the 2015-2019 agreement shall be placed on his/her correct in-hire rate, on July 1, 2019. Such placement shall not change the employees creditable service (anniversary) date. Example: An employee who was hired on and whose creditable service (anniversary) date is April 1, 2017 at 75% shall be placed on the 85% rate on July 1, 2019. The employee's next in-hire movement (to 90%) will be due on April 1, 2020, pursuant to their creditable service (anniversary) date. Employees within this bargaining unit who are promoted and are in the in-hire progression will promote to the next higher step of the in-hire rate of the higher classification. In addition, temporary assignments to higher-level classifications shall also be calculated at the in-hire rates. All full-scale employees within this collective bargaining unit will be promoted to the full-scale rate as if they were promoted to the next higher classification within the series. Any certified employee of this bargaining unit who is offered and accepts a position within this bargaining unit that is a promotion, notwithstanding classification series and without a break in service, shall be placed on the next higher step of the in-hire rate of the new classification. Employees covered under this bargaining agreement who transfer to any position within the bargaining unit without a break in service shall maintain their continuous service date for in-hire rate progression. A certified employee who is assigned and accepts a voluntary reduction in grade shall be certified in the lower class without serving a probationary period. The employee shall be reduced to the appropriate in-hire rate; i.e., 85% lead worker voluntarily reduces to an 85% Highway Maintainer.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE G RC-045 (Automotive Mechanics, IFPE)

Effective July 1, 2022

Bargaining Unit: RC-045

Title

Title Code

Pay Plan Code

95%

97%

100%

(Full-Scale)

Automotive Mechanic (Hired between 9/1/2010 and 6/30/2013)

03700

B

6012

6138

6328

Automotive Mechanic (Hired between 9/1/2010 and 6/30/2013)

03700

Q

6225

6356

6553

Automotive Mechanic (Hired between 9/1/2010 and 6/30/2013)

03700

S

6312

6445

6644

Title

Title Code

Pay Plan Code

75%

80%

85%

90%

95%

100%

(Full-Scale)

Auto & Body Repairer

03680

B

4746

5062

5379

5695

6012

6328

Auto & Body Repairer

03680

Q

4915

5242

5570

5898

6225

6553

Auto & Body Repairer

03680

S

4983

5315

5647

5980

6312

6644

Automotive Attendant I

03696

B

2867

3058

3250

3441

3632

3823

Automotive Attendant I

03696

Q

2981

3179

3378

3577

3775

3974

Automotive Attendant I

03696

S

3044

3246

3449

3652

3855

4058

Automotive Attendant II

03697

B

3062

3266

3470

3674

3878

4082

Automotive Attendant II

03697

Q

3182

3394

3607

3819

4031

4243

Automotive Attendant II

03697

S

3245

3461

3677

3893

4110

4326

Automotive Mechanic

03700

B

4746

5062

5379

5695

6012

6328

Automotive Mechanic

03700

Q

4915

5242

5570

5898

6225

6553

Automotive Mechanic

03700

S

4983

5315

5647

5980

6312

6644

Automotive Parts Warehouse Specialist

03734

B

4648

4958

5267

5577

5887

6197

Automotive Parts Warehouser

03730

B

4559

4862

5166

5470

5774

6078

Small Engine Mechanic

41150

B

4180

4458

4737

5016

5294

5573

Storekeeper I (See Note)

43051

B

4466

4764

5062

5360

5657

5955

Storekeeper II (See Note)

43052

B

4562

4866

5170

5474

5778

6082

NOTES: Step Increases – Employees who have not attained Step 8 shall receive a step increase to the next step upon satisfactory completion of 12 months of creditable service.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates and their effective dates are listed in the rate tables in this Section.

Sub-Step Increases – Step la, lb, and lc shall be implemented for all employees hired on or after July 1, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

In-Hire Rates – All classifications shall have a 75% in­ hire rate for all employees hired on or after July 1, 2013. Employees who are promoted and are in the in-hire progression will promote to the next step of the in-hire rate of the higher classification. In addition, temporary assignments shall also be calculated at the in-hire rates. Employees in the in-hire progression will receive a 5% increase each year for five years on their anniversary date in order to obtain the full rate. All full scale employees will be promoted to the full-scale rate of the next higher classifications, upon promotion.

Longevity Pay – Effective July 1, 1998, the Step 7 rate shall be increased $50 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 7 in the same pay grade. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees (non-sworn) who attain 10 years of service and have three or more years of creditable service at Step 8 in the same pay grade. Effective July 1, 2010, the Step 8 rate shall be increased $75 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 8. Effective July 1, 2013, the Step 8 rate shall be increased $75 per month for those employees (non-sworn) who attain 10 years of service and have three of more years of creditable service at Step 8 in the same pay grade. Effective July 1, 2013, the Step 8 rate shall be increased $100 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 8.

Pension Formula Change – An employee newly hired to a position that was previously covered by the alternative formula for pension benefits prior to January 1, 2011 and, effective January 1, 2011, is covered by the standard formula for pension benefits (see the Illinois Pension Code [40 ILCS 5/1-160(g) and 14-110(b)]) shall be placed on the Pay Plan Code B salary grade assigned to the classification to which the position is allocated. An employee newly hired is an employee hired on or after January 1, 2011 who has never been a member of the State Employees' Retirement System (SERS) or any other reciprocal retirement system. Other reciprocal retirement systems are the Chicago Teachers' Pension Fund, County Employees' Annuity and Benefit Fund of Cook County, Forest Preserve District Employees' Annuity and Benefit Fund of Cook County, General Assembly Retirement System (GARS), Illinois Municipal Retirement Fund (IMRF), Judges Retirement System (JRS), Laborers' Annuity and Benefit Fund of Chicago, Metropolitan Water Reclamation District Retirement Fund, Municipal Employees Annuity and Benefit Fund of Chicago, State Universities Retirement System (SURS) and Teachers' Retirement System of the State of Illinois (TRS).

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE H RC-006 (Corrections Employees, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Canine Specialist

06500

RC-006

14

Correctional Officer

09675

RC-006

09

Correctional Officer Trainee

09676

RC-006

07

Correctional Sergeant

09717

RC-006

12

Corrections Clerk I

09771

RC-006

09

Corrections Clerk II

09772

RC-006

11

Corrections Food Service Supervisor I

09793

RC-006

11

Corrections Food Service Supervisor II

09794

RC-006

13

Corrections Grounds Supervisor

09796

RC-006

12

Corrections Identification Technician

09801

RC-006

11

Corrections Industry Lead Worker

09805

RC-006

12

Corrections Laundry Manager I

09808

RC-006

13

Corrections Locksmith

09818

RC-006

13

Corrections Maintenance Craftsman

09821

RC-006

13

Corrections Maintenance Worker

09823

RC-006

10

Corrections Residence Counselor I

09837

RC-006

11

Corrections Supply Supervisor I

09861

RC-006

11

Corrections Supply Supervisor II

09862

RC-006

13

Corrections Transportation Officer I

09871

RC-006

11

Corrections Transportation Officer II

09872

RC-006

14

Corrections Treatment Officer

09864

RC-006

14

Corrections Treatment Officer Trainee

09866

RC-006

11

Corrections Utilities Operator

09875

RC-006

12

Corrections Vocational Instructor

09879

RC-006

12

Educator Aide

13130

RC-006

06

Housekeeper

19600

RC-006

02

Juvenile Justice Specialist

21971

RC-006

14

Juvenile Justice Specialist Intern

21976

RC-006

11

Licensed Practical Nurse – Corrections

23549

RC-006

10

Pest Control Operator

31810

RC-006

06

Property and Supply Clerk II

34792

RC-006

04

Social Service Aide Trainee

41285

RC-006

01

Storekeeper I

43051

RC-006

07

Storekeeper II

43052

RC-006

08

Stores Clerk

43060

RC-006

03

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective January 1, 2024

Bargaining Unit: RC-006

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

Q

3434

3545

3654

3679

3779

3875

3966

4073

4159

4332

4510

01

S

3520

3635

3748

3773

3869

3968

4050

4159

4248

4426

4602

02

Q

3522

3636

3749

3775

3870

3965

4063

4165

4264

4442

4618

02

S

3604

3721

3836

3865

3964

4049

4153

4260

4351

4528

4712

03

Q

3609

3725

3842

3870

3966

4080

4182

4282

4393

4568

4749

03

S

3694

3812

3930

3964

4050

4168

4270

4372

4483

4662

4849

04

Q

3696

3813

3933

3966

4083

4187

4310

4423

4537

4734

4926

04

S

3772

3894

4016

4050

4175

4275

4396

4510

4629

4828

5019

05

Q

3928

4053

4181

4220

4350

4490

4628

4774

4918

5149

5355

05

S

4012

4140

4268

4312

4442

4584

4721

4867

5009

5248

5456

06

Q

4141

4274

4409

4457

4628

4777

4932

5096

5257

5541

5761

06

S

4226

4363

4498

4549

4721

4869

5028

5194

5361

5640

5864

07

Q

4169

4302

4436

4485

4628

4792

4931

5110

5257

5529

5751

07

S

4254

4390

4527

4580

4721

4881

5026

5207

5361

5627

5853

08

Q

4465

4608

4753

4809

4989

5163

5363

5547

5725

6041

6282

08

S

4547

4693

4842

4904

5081

5258

5465

5647

5830

6146

6389

09

Q

4470

4613

4760

4819

4994

5174

5382

5568

5774

6086

6333

09

S

4555

4703

4850

4912

5090

5278

5480

5671

5878

6190

6437

10

Q

4643

4794

4943

5008

5195

5412

5618

5830

6043

6387

6644

10

S

4737

4888

5043

5109

5296

5511

5717

5933

6149

6486

6750

11

Q

4854

5011

5167

5241

5456

5666

5907

6132

6367

6734

7004

11

S

4942

5101

5261

5336

5552

5763

6011

6230

6475

6834

7108

12

Q

5053

5217

5381

5459

5687

5938

6181

6422

6660

7050

7328

12

S

5141

5310

5478

5556

5789

6039

6279

6529

6763

7149

7434

13

Q

5280

5451

5622

5709

5969

6234

6500

6764

7040

7446

7740

13

S

5375

5548

5724

5811

6071

6341

6606

6871

7142

7548

7852

14

Q

5365

5539

5712

5800

6070

6345

6608

6877

7149

7571

7871

14

S

5458

5634

5811

5901

6174

6448

6711

6980

7248

7672

7979

15

Q

5538

5718

5895

5988

6269

6553

6824

7114

7398

7820

8132

15

S

5628

5811

5995

6092

6373

6658

6930

7222

7498

7926

8244

Effective July 1, 2023

Bargaining Unit: RC-006

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

Q

3350

3459

3565

3589

3687

3780

3869

3974

4058

4226

4400

01

S

3434

3546

3657

3681

3775

3871

3951

4058

4144

4318

4490

02

Q

3436

3547

3658

3683

3776

3868

3964

4063

4160

4334

4505

02

S

3516

3630

3742

3771

3867

3950

4052

4156

4245

4418

4597

03

Q

3521

3634

3748

3776

3869

3980

4080

4178

4286

4457

4633

03

S

3604

3719

3834

3867

3951

4066

4166

4265

4374

4548

4731

04

Q

3606

3720

3837

3869

3983

4085

4205

4315

4426

4619

4806

04

S

3680

3799

3918

3951

4073

4171

4289

4400

4516

4710

4897

05

Q

3832

3954

4079

4117

4244

4380

4515

4658

4798

5023

5224

05

S

3914

4039

4164

4207

4334

4472

4606

4748

4887

5120

5323

06

Q

4040

4170

4301

4348

4515

4660

4812

4972

5129

5406

5620

06

S

4123

4257

4388

4438

4606

4750

4905

5067

5230

5502

5721

07

Q

4067

4197

4328

4376

4515

4675

4811

4985

5129

5394

5611

07

S

4150

4283

4417

4468

4606

4762

4903

5080

5230

5490

5710

08

Q

4356

4496

4637

4692

4867

5037

5232

5412

5585

5894

6129

08

S

4436

4579

4724

4784

4957

5130

5332

5509

5688

5996

6233

09

Q

4361

4500

4644

4701

4872

5048

5251

5432

5633

5938

6179

09

S

4444

4588

4732

4792

4966

5149

5346

5533

5735

6039

6280

10

Q

4530

4677

4822

4886

5068

5280

5481

5688

5896

6231

6482

10

S

4621

4769

4920

4984

5167

5377

5578

5788

5999

6328

6585

11

Q

4736

4889

5041

5113

5323

5528

5763

5982

6212

6570

6833

11

S

4821

4977

5133

5206

5417

5622

5864

6078

6317

6667

6935

12

Q

4930

5090

5250

5326

5548

5793

6030

6265

6498

6878

7149

12

S

5016

5180

5344

5420

5648

5892

6126

6370

6598

6975

7253

13

Q

5151

5318

5485

5570

5823

6082

6341

6599

6868

7264

7551

13

S

5244

5413

5584

5669

5923

6186

6445

6703

6968

7364

7660

14

Q

5234

5404

5573

5659

5922

6190

6447

6709

6975

7386

7679

14

S

5325

5497

5669

5757

6023

6291

6547

6810

7071

7485

7784

15

Q

5403

5579

5751

5842

6116

6393

6658

6940

7218

7629

7934

15

S

5491

5669

5849

5943

6218

6496

6761

7046

7315

7733

8043

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE I RC-009 (Institutional Employees, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Activity Program Aide I

00151

RC-009

03

Activity Program Aide II

00152

RC-009

05

Apparel/Dry Goods Specialist I

01231

RC-009

05

Apparel/Dry Goods Specialist II

01232

RC-009

09

Apparel/Dry Goods Specialist III

01233

RC-009

23

Clinical Laboratory Associate

08200

RC-009

09

Clinical Laboratory Phlebotomist

08213

RC-009

06

Clinical Laboratory Technician I

08215

RC-009

16

Clinical Laboratory Technician II

08216

RC-009

22

Cook I

09601

RC-009

07

Cook II

09602

RC-009

14

Educator Aide

13130

RC-009

19

Facility Assistant Fire Chief

14430

RC-009

21

Facility Fire Safety Coordinator

14435

RC-009

21

Facility Firefighter

14439

RC-009

16

Florist II

15652

RC-009

19

Institutional Maintenance Worker

21465

RC-009

10

Laboratory Assistant

22995

RC-009

02

Laboratory Associate I

22997

RC-009

16

Laboratory Associate II

22998

RC-009

22

Laundry Manager I

23191

RC-009

23

Licensed Practical Nurse I

23551

RC-009

16

Licensed Practical Nurse II

23552

RC-009

21

Locksmith

24300

RC-009

27

Mental Health Technician I

27011

RC-009

24

Mental Health Technician II

27012

RC-009

25

Mental Health Technician III

27013

RC-009

26

Mental Health Technician IV

27014

RC-009

27

Mental Health Technician V

27015

RC-009

28

Mental Health Technician VI

27016

RC-009

29

Mental Health Technician Trainee

27020

RC-009

13

Pest Control Operator

31810

RC-009

15

Physical Therapy Aide II

32192

RC-009

10

Physical Therapy Aide III

32193

RC-009

17

Rehabilitation Workshop Instructor I

38192

RC-009

12

Rehabilitation Workshop Instructor II

38193

RC-009

20

Residential Care Worker

38277

RC-009

20

Residential Care Worker Trainee

38279

RC-009

11

Security Therapy Aide I

39901

RC-009

25

Security Therapy Aide II

39902

RC-009

26

Security Therapy Aide III

39903

RC-009

27

Security Therapy Aide IV

33904

RC-009

28

Security Therapy Aide Trainee

39905

RC-009

14

Social Service Aide I

41281

RC-009

12

Social Service Aide II

41282

RC-009

17

Social Service Aide Trainee

41285

RC-009

02

Support Service Coordinator I

44221

RC-009

15

Support Service Coordinator II

44222

RC-009

22

Support Service Lead

44225

RC-009

07

Support Service Worker

44238

RC-009

04

Transportation Officer

45830

RC-009

25

Veterans Nursing Assistant − Certified

47750

RC-009

15

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective January 1, 2024

Bargaining Unit: RC-009

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

B

3162

3262

3364

3378

3457

3548

3632

3721

3809

3966

4124

01

Q

3282

3387

3493

3513

3591

3684

3778

3867

3957

4124

4291

02

B

3233

3334

3440

3457

3548

3645

3726

3827

3914

4080

4246

02

Q

3355

3461

3568

3591

3684

3784

3871

3979

4070

4241

4412

03

B

3255

3361

3463

3482

3591

3706

3820

3942

4070

4233

4403

03

Q

3377

3486

3595

3616

3731

3852

3973

4102

4228

4402

4580

04

B

3310

3416

3522

3541

3632

3724

3820

3920

4012

4181

4347

04

Q

3434

3545

3654

3679

3778

3870

3973

4075

4172

4348

4522

05

B

3331

3440

3547

3567

3677

3795

3914

4041

4168

4334

4512

05

Q

3462

3574

3685

3711

3822

3947

4070

4204

4333

4511

4691

06

B

3407

3517

3626

3650

3741

3844

3952

4051

4164

4342

4514

06

Q

3535

3646

3761

3788

3890

3996

4110

4216

4327

4514

4695

07

B

3476

3588

3699

3726

3840

3934

4050

4160

4269

4454

4631

07

Q

3609

3727

3842

3871

3989

4094

4215

4324

4443

4639

4825

08

B

3493

3606

3719

3741

3849

3964

4074

4183

4302

4497

4675

08

Q

3625

3741

3860

3890

4001

4122

4234

4351

4472

4683

4870

09

B

3507

3619

3732

3759

3875

4000

4125

4261

4399

4590

4772

09

Q

3643

3760

3877

3908

4031

4158

4294

4431

4582

4779

4969

10

B

3579

3696

3810

3840

3952

4062

4182

4297

4423

4628

4813

10

Q

3715

3836

3957

3989

4110

4221

4350

4467

4603

4819

5011

11

B

3590

3704

3819

3849

3972

4087

4216

4329

4455

4665

4852

11

Q

3729

3849

3968

4001

4133

4249

4387

4505

4640

4859

5054

12

B

3609

3725

3842

3870

3993

4122

4253

4387

4534

4733

4923

12

Q

3750

3870

3991

4027

4151

4288

4426

4568

4725

4930

5128

13

B

3700

3818

3938

3972

4094

4225

4355

4495

4629

4848

5041

13

Q

3848

3971

4095

4133

4260

4396

4532

4680

4820

5048

5253

14

B

3708

3827

3947

3981

4105

4244

4374

4521

4675

4882

5078

14

Q

3853

3976

4101

4139

4270

4412

4552

4709

4870

5090

5296

15

B

3789

3910

4033

4070

4195

4333

4470

4621

4756

4988

5187

15

Q

3935

4061

4188

4228

4363

4510

4657

4816

4951

5198

5408

16

B

3815

3938

4061

4098

4248

4374

4519

4662

4804

5049

5254

16

Q

3966

4095

4221

4264

4421

4552

4708

4854

5008

5274

5484

17

B

3818

3942

4065

4102

4233

4374

4518

4672

4829

5072

5274

17

Q

3971

4099

4226

4267

4402

4552

4707

4867

5034

5296

5505

18

B

3854

3977

4102

4140

4272

4423

4567

4721

4880

5112

5314

18

Q

4009

4137

4266

4310

4449

4603

4756

4921

5087

5335

5547

19

B

3907

4032

4159

4199

4355

4497

4643

4796

4945

5207

5414

19

Q

4058

4189

4321

4367

4532

4683

4838

4995

5155

5431

5651

20

B

3937

4065

4191

4233

4387

4532

4690

4843

5000

5302

5516

20

Q

4094

4225

4356

4402

4568

4722

4882

5046

5216

5539

5759

21

B

4048

4179

4309

4353

4502

4643

4802

4964

5136

5416

5634

21

Q

4208

4345

4481

4528

4690

4838

5003

5174

5361

5654

5882

22

B

4110

4242

4374

4423

4584

4733

4911

5072

5257

5541

5761

22

Q

4273

4414

4550

4603

4772

4930

5119

5296

5486

5784

6017

23

B

4205

4342

4478

4525

4693

4856

5042

5215

5385

5679

5907

23

Q

4375

4518

4660

4714

4888

5065

5257

5444

5621

5940

6172

24

B

4211

4349

4484

4534

4702

4871

5056

5241

5425

5717

5950

24

Q

4386

4529

4670

4725

4898

5080

5277

5469

5671

5980

6221

25

B

4572

4718

4866

4927

5124

5325

5552

5762

5988

6339

6591

25

Q

4761

4915

5070

5137

5351

5561

5804

6026

6262

6626

6891

26

B

4751

4905

5057

5126

5355

5576

5812

6042

6272

6641

6901

26

Q

4958

5118

5279

5354

5586

5826

6072

6319

6553

6939

7219

27

B

4977

5137

5300

5375

5605

5845

6091

6332

6566

6944

7221

27

Q

5197

5366

5534

5616

5857

6113

6364

6612

6864

7250

7541

Effective July 1, 2023

Bargaining Unit: RC-009

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

B

3085

3182

3282

3296

3373

3461

3543

3630

3716

3869

4023

01

Q

3202

3304

3408

3427

3503

3594

3686

3773

3860

4023

4186

02

B

3154

3253

3356

3373

3461

3556

3635

3734

3819

3980

4142

02

Q

3273

3377

3481

3503

3594

3692

3777

3882

3971

4138

4304

03

B

3176

3279

3379

3397

3503

3616

3727

3846

3971

4130

4296

03

Q

3295

3401

3507

3528

3640

3758

3876

4002

4125

4295

4468

04

B

3229

3333

3436

3455

3543

3633

3727

3824

3914

4079

4241

04

Q

3350

3459

3565

3589

3686

3776

3876

3976

4070

4242

4412

05

B

3250

3356

3460

3480

3587

3702

3819

3942

4066

4228

4402

05

Q

3378

3487

3595

3620

3729

3851

3971

4101

4227

4401

4577

06

B

3324

3431

3538

3561

3650

3750

3856

3952

4062

4236

4404

06

Q

3449

3557

3669

3696

3795

3899

4010

4113

4221

4404

4580

07

B

3391

3500

3609

3635

3746

3838

3951

4059

4165

4345

4518

07

Q

3521

3636

3748

3777

3892

3994

4112

4219

4335

4526

4707

08

B

3408

3518

3628

3650

3755

3867

3975

4081

4197

4387

4561

08

Q

3537

3650

3766

3795

3903

4021

4131

4245

4363

4569

4751

09

B

3421

3531

3641

3667

3780

3902

4024

4157

4292

4478

4656

09

Q

3554

3668

3782

3813

3933

4057

4189

4323

4470

4662

4848

10

B

3492

3606

3717

3746

3856

3963

4080

4192

4315

4515

4696

10

Q

3624

3742

3860

3892

4010

4118

4244

4358

4491

4701

4889

11

B

3502

3614

3726

3755

3875

3987

4113

4223

4346

4551

4734

11

Q

3638

3755

3871

3903

4032

4145

4280

4395

4527

4740

4931

12

B

3521

3634

3748

3776

3896

4021

4149

4280

4423

4618

4803

12

Q

3659

3776

3894

3929

4050

4183

4318

4457

4610

4810

5003

13

B

3610

3725

3842

3875

3994

4122

4249

4385

4516

4730

4918

13

Q

3754

3874

3995

4032

4156

4289

4421

4566

4702

4925

5125

14

B

3618

3734

3851

3884

4005

4140

4267

4411

4561

4763

4954

14

Q

3759

3879

4001

4038

4166

4304

4441

4594

4751

4966

5167

15

B

3697

3815

3935

3971

4093

4227

4361

4508

4640

4866

5060

15

Q

3839

3962

4086

4125

4257

4400

4543

4699

4830

5071

5276

16

B

3722

3842

3962

3998

4144

4267

4409

4548

4687

4926

5126

16

Q

3869

3995

4118

4160

4313

4441

4593

4736

4886

5145

5350

17

B

3725

3846

3966

4002

4130

4267

4408

4558

4711

4948

5145

17

Q

3874

3999

4123

4163

4295

4441

4592

4748

4911

5167

5371

18

B

3760

3880

4002

4039

4168

4315

4456

4606

4761

4987

5184

18

Q

3911

4036

4162

4205

4340

4491

4640

4801

4963

5205

5412

19

B

3812

3934

4058

4097

4249

4387

4530

4679

4824

5080

5282

19

Q

3959

4087

4216

4260

4421

4569

4720

4873

5029

5299

5513

20

B

3841

3966

4089

4130

4280

4421

4576

4725

4878

5173

5381

20

Q

3994

4122

4250

4295

4457

4607

4763

4923

5089

5404

5619

21

B

3949

4077

4204

4247

4392

4530

4685

4843

5011

5284

5497

21

Q

4105

4239

4372

4418

4576

4720

4881

5048

5230

5516

5739

22

B

4010

4139

4267

4315

4472

4618

4791

4948

5129

5406

5620

22

Q

4169

4306

4439

4491

4656

4810

4994

5167

5352

5643

5870

23

B

4102

4236

4369

4415

4579

4738

4919

5088

5254

5540

5763

23

Q

4268

4408

4546

4599

4769

4941

5129

5311

5484

5795

6021

24

B

4108

4243

4375

4423

4587

4752

4933

5113

5293

5578

5805

24

Q

4279

4419

4556

4610

4779

4956

5148

5336

5533

5834

6069

25

B

4460

4603

4747

4807

4999

5195

5417

5621

5842

6184

6430

25

Q

4645

4795

4946

5012

5220

5425

5662

5879

6109

6464

6723

26

B

4635

4785

4934

5001

5224

5440

5670

5895

6119

6479

6733

26

Q

4837

4993

5150

5223

5450

5684

5924

6165

6393

6770

7043

27

B

4856

5012

5171

5244

5468

5702

5942

6178

6406

6775

7045

27

Q

5070

5235

5399

5479

5714

5964

6209

6451

6697

7073

7357

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE J RC-014 (Clerical Employees, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Account Clerk I

00111

RC-014

05

Account Clerk II

00112

RC-014

07

Account Technician I

00115

RC-014

10

Account Technician II

00116

RC-014

12

Administrative Services Worker Trainee

00600

RC-014

02

Aircraft Dispatcher

00951

RC-014

12

Aircraft Lead Dispatcher

00952

RC-014

14

Audio Visual Technician I

03501

RC-014

06

Audio Visual Technician II

03502

RC-014

09

Buyer Assistant

05905

RC-014

10

Check Issuance Machine Operator

06920

RC-014

09

Check Issuance Machine Supervisor

06925

RC-014

11

Clerical Trainee

08050

RC-014

01

Communications Dispatcher

08815

RC-014

09

Communications Equipment Technician I

08831

RC-014

17

Communications Equipment Technician II

08832

RC-014

19

Communications Equipment Technician III

08833

RC-014

20

Court Reporter

09900

RC-014

15

Data Processing Assistant

11420

RC-014

06

Data Processing Operator

11425

RC-014

04

Data Processing Operator Trainee

11428

RC-014

02

Drafting Worker

12749

RC-014

11

Electronic Equipment Installer/Repairer

13340

RC-014

10

Electronic Equipment Installer/Repairer Lead Worker

13345

RC-014

12

Electronics Technician

13360

RC-014

15

Emergency Response Lead Telecommunicator

13540

RC-014

13

Emergency Response Telecommunicator

13543

RC-014

11

Employee Benefits Associate

13554

RC-014

11

Employee Benefits Representative

13555

RC-014

14

Engineering Technician II

13732

RC-014

13

Engineering Technician III

13733

RC-014

16

Executive Secretary I

14031

RC-014

11

Executive Secretary II

14032

RC-014

14

Executive Secretary III

14033

RC-014

16

Graphic Arts Designer

17366

RC-014

14

Graphic Arts Designer Advanced

17370

RC-014

16

Graphic Arts Designer Supervisor

17365

RC-014

18

Graphic Arts Technician

17400

RC-014

12

Human Resources Assistant

19690

RC-014

08

Human Resources Associate

19691

RC-014

11

Human Resources Trainee (Department of Revenue)

19694

RC-014

07

Industrial Commission Reporter

21080

RC-014

16

Industrial Commission Technician

21095

RC-014

11

Insurance Analyst

21571

RC-014

12

Insurance Analyst Trainee

21566

RC-014

07

Intermittent Clerk

21686

RC-014

02H

Library Aide I

23421

RC-014

03

Library Technical Assistant

23450

RC-014

10

Lottery Telemarketing Representative

24520

RC-014

09

Microfilm Laboratory Technician I

27175

RC-014

07

Microfilm Laboratory Technician II

27176

RC-014

09

Microfilm Operator I

27181

RC-014

04

Microfilm Operator II

27182

RC-014

06

Microfilm Operator III

27183

RC-014

08

Office Administrator I

29991

RC-014

07

Office Administrator II

29992

RC-014

09

Office Administrator III

29993

RC-014

11

Office Aide

30005

RC-014

02

Office Assistant

30010

RC-014

06

Office Associate

30015

RC-014

08

Office Clerk

30020

RC-014

04

Office Coordinator

30025

RC-014

09

Photographer

32080

RC-014

14

Photographic Technician I

32091

RC-014

11

Photographic Technician II

32092

RC-014

14

Photographic Technician III

32093

RC-014

15

Procurement Representative

34540

RC-014

09

Property and Supply Clerk I

34791

RC-014

03.5

Property and Supply Clerk II

34792

RC-014

05.5

Property and Supply Clerk III

34793

RC-014

08

Rehabilitation Case Coordinator I

38141

RC-014

08

Rehabilitation Case Coordinator II

38142

RC-014

10

Reproduction Service Supervisor I

38201

RC-014

13

Reproduction Service Technician I

38203

RC-014

05

Reproduction Service Technician II

38204

RC-014

09

Reproduction Service Technician III

38205

RC-014

11

Safety Responsibility Analyst

38910

RC-014

12

Safety Responsibility Analyst Supervisor

38915

RC-014

14

Storekeeper I

43051

RC-014

10.5

Storekeeper II

43052

RC-014

12.5

Storekeeper III

43053

RC-014

14

Stores Clerk

43060

RC-014

04.5

Switchboard Operator I

44411

RC-014

05

Switchboard Operator II

44412

RC-014

07

Switchboard Operator III

44413

RC-014

09

Telecommunications Supervisor

45305

RC-014

20

Telecommunicator

45321

RC-014

12

Telecommunicator – Command Center

45316

RC-014

13

Telecommunicator Call Taker

45322

RC-014

14

Telecommunicator Lead Call Taker

45323

RC-014

16

Telecommunicator Lead Specialist

45327

RC-014

17

Telecommunicator Lead Worker

45324

RC-014

14

Telecommunicator Lead Worker – Command Center

45318

RC-014

15

Telecommunicator Specialist

45326

RC-014

15

Telecommunicator Trainee

45325

RC-014

10

Vehicle Permit Evaluator

47585

RC-014

11

Veterans Service Officer Associate

47804

RC-014

13

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: RC-014

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

B

2900

2993

3089

3098

3168

3241

3326

3399

3480

3609

3750

01

Q

3007

3103

3201

3215

3293

3365

3453

3537

3617

3750

3902

01

S

3090

3188

3286

3306

3373

3447

3539

3621

3700

3836

3989

02

B

3017

3116

3214

3225

3296

3373

3460

3537

3621

3755

3903

02

Q

3128

3230

3331

3346

3427

3503

3593

3681

3765

3903

4060

02

S

3215

3318

3421

3440

3510

3587

3684

3769

3851

3992

4152

02H

B

18.57

19.18

19.78

19.85

20.28

20.76

21.29

21.77

22.28

23.11

24.02

02H

Q

19.25

19.88

20.50

20.59

21.09

21.56

22.11

22.65

23.17

24.02

24.98

02H

S

19.78

20.42

21.05

21.17

21.60

22.07

22.67

23.19

23.70

24.57

25.55

03

B

3085

3182

3282

3296

3373

3461

3543

3630

3716

3869

4023

03

Q

3202

3304

3408

3427

3503

3594

3686

3773

3860

4023

4186

03

S

3280

3385

3490

3510

3587

3686

3774

3858

3946

4109

4272

03.5

B

3154

3253

3356

3373

3455

3543

3632

3716

3810

3971

4127

03.5

Q

3273

3377

3481

3503

3589

3686

3775

3860

3957

4125

4292

03.5

S

3349

3457

3563

3587

3681

3774

3864

3946

4045

4215

4384

04

B

3154

3253

3356

3373

3461

3556

3635

3734

3819

3980

4142

04

Q

3273

3377

3481

3503

3594

3692

3777

3882

3971

4138

4304

04

S

3349

3457

3563

3587

3686

3778

3868

3973

4056

4223

4397

04.5

B

3229

3333

3436

3455

3543

3633

3727

3824

3914

4079

4241

04.5

Q

3350

3459

3565

3589

3686

3776

3876

3976

4070

4242

4412

04.5

S

3434

3546

3657

3681

3774

3867

3959

4060

4159

4333

4504

05

B

3234

3338

3442

3461

3561

3648

3746

3836

3932

4094

4258

05

Q

3356

3464

3572

3594

3696

3794

3892

3987

4088

4258

4426

05

S

3438

3548

3660

3686

3780

3882

3981

4079

4176

4345

4518

05.5

B

3308

3414

3521

3543

3635

3741

3834

3932

4034

4200

4363

05.5

Q

3438

3548

3660

3686

3777

3889

3986

4088

4200

4366

4540

05.5

S

3519

3632

3746

3774

3868

3978

4078

4176

4285

4456

4632

06

B

3324

3431

3538

3561

3650

3750

3856

3952

4062

4236

4404

06

Q

3449

3557

3669

3696

3795

3899

4010

4113

4221

4404

4580

06

S

3526

3639

3752

3780

3884

3984

4100

4204

4315

4495

4677

07

B

3408

3518

3628

3650

3755

3867

3975

4081

4197

4387

4561

07

Q

3537

3650

3766

3795

3903

4021

4131

4245

4363

4569

4751

07

S

3618

3734

3851

3884

3992

4105

4218

4335

4449

4658

4843

08

B

3502

3614

3726

3755

3875

3987

4113

4223

4346

4551

4734

08

Q

3638

3755

3871

3903

4032

4145

4280

4395

4527

4740

4931

08

S

3717

3837

3956

3992

4114

4236

4371

4490

4618

4830

5025

09

B

3610

3725

3842

3875

3994

4122

4249

4385

4516

4730

4918

09

Q

3754

3874

3995

4032

4156

4289

4421

4566

4702

4925

5125

09

S

3829

3951

4076

4114

4241

4377

4513

4657

4794

5020

5223

10

B

3722

3842

3962

3998

4144

4267

4409

4548

4687

4926

5126

10

Q

3869

3995

4118

4160

4313

4441

4593

4736

4886

5145

5350

10

S

3948

4076

4203

4245

4398

4531

4682

4826

4984

5241

5450

10.5

B

3831

3953

4078

4116

4249

4395

4528

4686

4824

5070

5275

10.5

Q

3985

4113

4242

4286

4421

4577

4718

4883

5029

5288

5503

10.5

S

4065

4195

4326

4374

4513

4670

4808

4983

5127

5390

5609

11

B

3858

3983

4105

4145

4287

4426

4586

4736

4884

5143

5348

11

Q

4010

4139

4267

4315

4468

4612

4778

4938

5093

5368

5582

11

S

4086

4218

4350

4400

4553

4701

4869

5030

5190

5464

5683

12

B

4010

4139

4267

4315

4472

4618

4791

4948

5129

5406

5620

12

Q

4169

4306

4439

4491

4656

4810

4994

5167

5352

5643

5870

12

S

4249

4386

4525

4578

4744

4900

5091

5263

5452

5745

5976

12.5

B

4102

4236

4369

4415

4579

4738

4919

5088

5254

5540

5763

12.5

Q

4268

4408

4546

4599

4769

4941

5129

5311

5484

5795

6021

12.5

S

4350

4491

4632

4687

4864

5033

5230

5411

5582

5893

6127

13

B

4158

4292

4426

4476

4640

4816

4996

5178

5373

5672

5896

13

Q

4325

4466

4606

4660

4830

5023

5219

5410

5609

5927

6165

13

S

4406

4549

4691

4750

4924

5120

5319

5506

5710

6030

6271

14

B

4331

4471

4610

4668

4843

5033

5254

5444

5650

5982

6221

14

Q

4514

4658

4805

4866

5048

5258

5484

5690

5908

6250

6498

14

S

4593

4742

4890

4956

5149

5350

5582

5793

6008

6350

6601

15

B

4499

4646

4791

4854

5067

5276

5481

5702

5918

6275

6522

15

Q

4692

4844

4997

5064

5285

5506

5727

5964

6184

6551

6818

15

S

4777

4932

5087

5155

5384

5602

5828

6065

6285

6656

6921

16

B

4706

4859

5011

5080

5305

5540

5770

6011

6251

6621

6887

16

Q

4907

5067

5227

5299

5540

5795

6034

6284

6534

6922

7202

16

S

5001

5164

5322

5402

5640

5893

6136

6381

6635

7018

7300

17

B

4928

5087

5246

5322

5567

5823

6069

6316

6572

6963

7243

17

Q

5137

5303

5470

5553

5818

6085

6341

6598

6868

7277

7571

17

S

5229

5398

5567

5652

5921

6189

6445

6700

6968

7382

7675

18

B

5181

5350

5517

5601

5870

6141

6425

6684

6953

7367

7664

18

Q

5408

5583

5757

5851

6138

6424

6714

6989

7268

7703

8011

18

S

5495

5673

5853

5947

6236

6522

6817

7090

7372

7799

8114

19

B

5456

5633

5808

5901

6203

6495

6794

7084

7379

7828

8140

19

Q

5698

5884

6067

6168

6485

6783

7108

7402

7714

8179

8507

19

S

5793

5978

6168

6274

6588

6889

7207

7506

7817

8280

8611

20

B

5757

5946

6133

6235

6550

6853

7181

7494

7804

8278

8610

20

Q

6014

6209

6404

6517

6844

7168

7508

7830

8156

8654

9001

20

S

6108

6308

6506

6620

6946

7268

7607

7931

8257

8752

9102

Effective January 1, 2024

Bargaining Unit: RC-014

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

B

2973

3068

3166

3175

3247

3322

3409

3484

3567

3699

3844

01

Q

3082

3181

3281

3295

3375

3449

3539

3625

3707

3844

4000

01

S

3167

3268

3368

3389

3457

3533

3627

3712

3793

3932

4089

02

B

3092

3194

3294

3306

3378

3457

3547

3625

3712

3849

4001

02

Q

3206

3311

3414

3430

3513

3591

3683

3773

3859

4001

4162

02

S

3295

3401

3507

3526

3598

3677

3776

3863

3947

4092

4256

02H

B

19.03

19.66

20.27

20.34

20.79

21.27

21.83

22.31

22.84

23.69

24.62

02H

Q

19.73

20.38

21.01

21.11

21.62

22.10

22.66

23.22

23.75

24.62

25.61

02H

S

20.28

20.93

21.58

21.70

22.14

22.63

23.24

23.77

24.29

25.18

26.19

03

B

3162

3262

3364

3378

3457

3548

3632

3721

3809

3966

4124

03

Q

3282

3387

3493

3513

3591

3684

3778

3867

3957

4124

4291

03

S

3362

3470

3577

3598

3677

3778

3868

3954

4045

4212

4379

03.5

B

3233

3334

3440

3457

3541

3632

3723

3809

3905

4070

4230

03.5

Q

3355

3461

3568

3591

3679

3778

3869

3957

4056

4228

4399

03.5

S

3433

3543

3652

3677

3773

3868

3961

4045

4146

4320

4494

04

B

3233

3334

3440

3457

3548

3645

3726

3827

3914

4080

4246

04

Q

3355

3461

3568

3591

3684

3784

3871

3979

4070

4241

4412

04

S

3433

3543

3652

3677

3778

3872

3965

4072

4157

4329

4507

04.5

B

3310

3416

3522

3541

3632

3724

3820

3920

4012

4181

4347

04.5

Q

3434

3545

3654

3679

3778

3870

3973

4075

4172

4348

4522

04.5

S

3520

3635

3748

3773

3868

3964

4058

4162

4263

4441

4617

05

B

3315

3421

3528

3548

3650

3739

3840

3932

4030

4196

4364

05

Q

3440

3551

3661

3684

3788

3889

3989

4087

4190

4364

4537

05

S

3524

3637

3752

3778

3875

3979

4081

4181

4280

4454

4631

05.5

B

3391

3499

3609

3632

3726

3835

3930

4030

4135

4305

4472

05.5

Q

3524

3637

3752

3778

3871

3986

4086

4190

4305

4475

4654

05.5

S

3607

3723

3840

3868

3965

4077

4180

4280

4392

4567

4748

06

B

3407

3517

3626

3650

3741

3844

3952

4051

4164

4342

4514

06

Q

3535

3646

3761

3788

3890

3996

4110

4216

4327

4514

4695

06

S

3614

3730

3846

3875

3981

4084

4203

4309

4423

4607

4794

07

B

3493

3606

3719

3741

3849

3964

4074

4183

4302

4497

4675

07

Q

3625

3741

3860

3890

4001

4122

4234

4351

4472

4683

4870

07

S

3708

3827

3947

3981

4092

4208

4323

4443

4560

4774

4964

08

B

3590

3704

3819

3849

3972

4087

4216

4329

4455

4665

4852

08

Q

3729

3849

3968

4001

4133

4249

4387

4505

4640

4859

5054

08

S

3810

3933

4055

4092

4217

4342

4480

4602

4733

4951

5151

09

B

3700

3818

3938

3972

4094

4225

4355

4495

4629

4848

5041

09

Q

3848

3971

4095

4133

4260

4396

4532

4680

4820

5048

5253

09

S

3925

4050

4178

4217

4347

4486

4626

4773

4914

5146

5354

10

B

3815

3938

4061

4098

4248

4374

4519

4662

4804

5049

5254

10

Q

3966

4095

4221

4264

4421

4552

4708

4854

5008

5274

5484

10

S

4047

4178

4308

4351

4508

4644

4799

4947

5109

5372

5586

10.5

B

3927

4052

4180

4219

4355

4505

4641

4803

4945

5197

5407

10.5

Q

4085

4216

4348

4393

4532

4691

4836

5005

5155

5420

5641

10.5

S

4167

4300

4434

4483

4626

4787

4928

5108

5255

5525

5749

11

B

3954

4083

4208

4249

4394

4537

4701

4854

5006

5272

5482

11

Q

4110

4242

4374

4423

4580

4727

4897

5061

5220

5502

5722

11

S

4188

4323

4459

4510

4667

4819

4991

5156

5320

5601

5825

12

B

4110

4242

4374

4423

4584

4733

4911

5072

5257

5541

5761

12

Q

4273

4414

4550

4603

4772

4930

5119

5296

5486

5784

6017

12

S

4355

4496

4638

4692

4863

5023

5218

5395

5588

5889

6125

12.5

B

4205

4342

4478

4525

4693

4856

5042

5215

5385

5679

5907

12.5

Q

4375

4518

4660

4714

4888

5065

5257

5444

5621

5940

6172

12.5

S

4459

4603

4748

4804

4986

5159

5361

5546

5722

6040

6280

13

B

4262

4399

4537

4588

4756

4936

5121

5307

5507

5814

6043

13

Q

4433

4578

4721

4777

4951

5149

5349

5545

5749

6075

6319

13

S

4516

4663

4808

4869

5047

5248

5452

5644

5853

6181

6428

14

B

4439

4583

4725

4785

4964

5159

5385

5580

5791

6132

6377

14

Q

4627

4774

4925

4988

5174

5389

5621

5832

6056

6406

6660

14

S

4708

4861

5012

5080

5278

5484

5722

5938

6158

6509

6766

15

B

4611

4762

4911

4975

5194

5408

5618

5845

6066

6432

6685

15

Q

4809

4965

5122

5191

5417

5644

5870

6113

6339

6715

6988

15

S

4896

5055

5214

5284

5519

5742

5974

6217

6442

6822

7094

16

B

4824

4980

5136

5207

5438

5679

5914

6161

6407

6787

7059

16

Q

5030

5194

5358

5431

5679

5940

6185

6441

6697

7095

7382

16

S

5126

5293

5455

5537

5781

6040

6289

6541

6801

7193

7483

17

B

5051

5214

5377

5455

5706

5969

6221

6474

6736

7137

7424

17

Q

5265

5436

5607

5692

5963

6237

6500

6763

7040

7459

7760

17

S

5360

5533

5706

5793

6069

6344

6606

6868

7142

7567

7867

18

B

5311

5484

5655

5741

6017

6295

6586

6851

7127

7551

7856

18

Q

5543

5723

5901

5997

6291

6585

6882

7164

7450

7896

8211

18

S

5632

5815

5999

6096

6392

6685

6987

7267

7556

7994

8317

19

B

5592

5774

5953

6049

6358

6657

6964

7261

7563

8024

8344

19

Q

5840

6031

6219

6322

6647

6953

7286

7587

7907

8383

8720

19

S

5938

6127

6322

6431

6753

7061

7387

7694

8012

8487

8826

20

B

5901

6095

6286

6391

6714

7024

7361

7681

7999

8485

8825

20

Q

6164

6364

6564

6680

7015

7347

7696

8026

8360

8870

9226

20

S

6261

6466

6669

6786

7120

7450

7797

8129

8463

8971

9330

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE K RC-023 (Registered Nurses, INA)

Title

Title Code

Bargaining Unit

Pay Grade

Child Welfare Nurse Specialist

07197

RC-023

22

Corrections Nurse I

09825

RC-023

19

Corrections Nurse II

09826

RC-023

23

Corrections Nurse Trainee

09836

RC-023

17

Health Facilities Surveillance Nurse

18150

RC-023

22

Nursing Act Assistant Coordinator

29731

RC-023

24

Registered Nurse I (See Note)

38131

RC-023

18

Registered Nurse II (See Note)

38132

RC-023

22

Registered Nurse – Advanced Practice (See Note)

38135

RC-023

26

NOTES: General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who have three or more years of creditable service on Step 8 in the same pay grade. Effective July 1, 2010, the Step 8 rate shall be increased by $75 per month for those employees who have six or more years of creditable service on Step 8 in the same pay grade. Effective July 1, 2013, the Step 8 rate shall be increased by $75 per month for those employees who have three or more years of creditable service on Step 8 in the same pay grade. Effective July 1, 2013, the Step 8 rate shall be increased by $100 per month for those employees who have six or more years of creditable service on Step 8 in the same pay grade.

Pension Formula – Effective January 1, 2011, employees newly hired into positions allocated to the Registered Nurse I, Registered Nurse II or Registered Nurse – Advanced Practice titles and outside of the Departments of Corrections and Juvenile Justice receive Pay Plan Code B rates. Employees newly hired are employees hired on or after January 1, 2011 who have never been a member of the State Employees' Retirement System (SERS) or any other reciprocal retirement system. Other reciprocal retirement systems are the Chicago Teachers' Pension Fund, County Employees' Annuity and Benefit Fund of Cook County, Forest Preserve District Employees' Annuity and Benefit Fund of Cook County, General Assembly Retirement System (GARS), Illinois Municipal Retirement Fund (IMRF), Judges Retirement System (JRS), Laborers' Annuity and Benefit Fund of Chicago, Metropolitan Water Reclamation District Retirement Fund, Municipal Employees Annuity and Benefit Fund of Chicago, State Universities Retirement System (SURS) and Teachers' Retirement System of the State of Illinois (TRS).

Effective July 1, 2022

Bargaining Unit: RC-023

Pay Grade

Pay Plan Code

S T E P S

1

2

3

4

5

6

7

8

17

Q

5169

5418

5664

5917

6294

6515

6742

7015

17

S

5226

5473

5720

5973

6350

6571

6799

7071

18

B

5274

5527

5779

6038

6420

6649

6879

7155

18

Q

5352

5608

5864

6125

6515

6742

6979

7260

19

Q

5617

5879

6157

6421

6842

7084

7332

7625

19

S

5674

5936

6213

6477

6897

7140

7388

7681

22

B

5927

6206

6506

6801

7237

7489

7753

8059

22

Q

6015

6295

6598

6898

7343

7601

7862

8179

23

Q

6316

6613

6927

7246

7707

7980

8259

8587

23

S

6371

6668

6983

7302

7763

8036

8314

8644

24

B

6295

6618

6923

7239

7692

7960

8239

8569

26

B

6679

7024

7349

7685

8163

8448

8745

9097

26

Q

6778

7128

7458

7798

8286

8574

8873

9235

26

S

6834

7184

7515

7856

8342

8630

8929

9290

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE L RC-008 (Boilermakers)

Title

Title Code

Region

Pay Plan Code

Hired

Effective Date

Monthly Salary

Boiler Safety Audit Specialist

04900

Northern

B

Prior to December 1, 2013

May 1, 2022

10145.94

Boiler Safety Audit Specialist

04900

Northern

Q

Prior to December 1, 2013

May 1, 2022

10292.10

Boiler Safety Audit Specialist

04900

Northern

S

Prior to December 1, 2013

May 1, 2022

10368.66

Boiler Safety Audit Specialist

04900

Northern

B

On or after December 1, 2013

May 1, 2022

9756.18

Boiler Safety Audit Specialist

04900

Central

B

Prior to December 1, 2013

January 1, 2023

7967.46

Boiler Safety Audit Specialist

04900

Central

Q

Prior to December 1, 2013

January 1, 2023

8082.30

Boiler Safety Audit Specialist

04900

Central

S

Prior to December 1, 2013

January 1, 2023

8158.86

Boiler Safety Audit Specialist

04900

Central

B

On or after December 1, 2013

January 1, 2023

7661.22

Boiler Safety Audit Specialist

04900

Southern

B

Prior to December 1, 2013

January 1, 2023

7847.40

Boiler Safety Audit Specialist

04900

Southern

Q

Prior to December 1, 2013

January 1, 2023

7962.24

Boiler Safety Audit Specialist

04900

Southern

S

Prior to December 1, 2013

January 1, 2023

8038.80

Boiler Safety Audit Specialist

04900

Southern

B

On or after December 1, 2013

January 1, 2023

7546.38

Boiler Safety Specialist

04910

Northern

B

Prior to December 1, 2013

May 1, 2022

9710.94

Boiler Safety Specialist

04910

Northern

Q

Prior to December 1, 2013

May 1, 2022

9850.14

Boiler Safety Specialist

04910

Northern

S

Prior to December 1, 2013

May 1, 2022

9926.70

Boiler Safety Specialist

04910

Northern

B

On or after December 1, 2013

May 1, 2022

9336.84

Boiler Safety Specialist

04910

Central

B

Prior to December 1, 2013

January 1, 2023

7624.68

Boiler Safety Specialist

04910

Central

Q

Prior to December 1, 2013

January 1, 2023

7734.30

Boiler Safety Specialist

04910

Central

S

Prior to December 1, 2013

January 1, 2023

7810.86

Boiler Safety Specialist

04910

Central

B

On or after December 1, 2013

January 1, 2023

7330.62

Boiler Safety Specialist

04910

Southern

B

Prior to December 1, 2013

January 1, 2023

7509.84

Boiler Safety Specialist

04910

Southern

Q

Prior to December 1, 2013

January 1, 2023

7617.72

Boiler Safety Specialist

04910

Southern

S

Prior to December 1, 2013

January 1, 2023

7694.28

Boiler Safety Specialist

04910

Southern

B

On or after December 1, 2013

January 1, 2023

7221.00

NOTES: Regions – The counties in the regions are:

Northern Region: Boone, Cook, DeKalb, DuPage, Grundy, Kane, Kankakee, Kendall, Lake, McHenry, Will, and Winnebago Counties.

Central Region: Bureau, Carroll, Champaign, DeWitt, Ford, Fulton, Hancock, Henderson, Henry, Iroquois, JoDaviess, Knox, LaSalle, Lee, Livingston, Logan, Marshall, Mason, McDonough, McLean, Mercer, Ogle, Peoria, Putnam, Rock Island, Schuyler, Stark, Stephenson, Tazewell, Vermilion, Warren, Whiteside, and Woodford Counties.

Southern Region: Adams, Alexander, Bond, Brown, Calhoun, Cass, Christian, Clark, Clay, Clinton, Coles, Crawford, Cumberland, Douglas, Edgar, Edwards, Effingham, Fayette, Franklin, Gallatin, Greene, Hamilton, Hardin, Jackson, Jasper, Jefferson, Jersey, Johnson, Lawrence, Macon, Macoupin, Madison, Marion, Massac, Menard, Monroe, Montgomery, Morgan, Moultrie, Perry, Piatt, Pike, Pope, Pulaski, Randolph, Richland, St. Clair, Saline, Sangamon, Scott, Shelby, Union, Wabash, Washington, Wayne, White, and Williamson Counties.

Additional Provisions − Section 310.210 shall apply to employees occupying positions in the Boiler Safety Specialist class that are represented by the RC-008 bargaining unit.

History

• Source: Amended at 47 Ill. Reg. 10482, effective July 1, 2023

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE M RC-110 (Conservation Police Lodge) (Repealed)

History

• Source: Repealed by peremptory rulemaking at 43 Ill. Reg. 11734, effective September 27, 2019

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE N RC-010 (Professional Legal Unit, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Hearings Referee

18300

RC-010

23

Hearings Referee – Intermittent

18301

RC-010

23H

Public Service Administrator, Option 8L Departments of Central Management Services, Children and Family Services, Healthcare and Family Services, Labor, Public Health and Revenue, Environmental Protection Agency, Illinois Gaming Board, Guardianship and Advocacy Commission, Pollution Control Board except the Pollution Control Board positions with an attorney assistant function, and administrative law judge function at the Departments of Healthcare and Family Services and Human Services

37015

RC-010

24

Technical Advisor Advanced Program Specialist

45256

RC-010

24

Technical Advisor I

45251

RC-010

18

Technical Advisor II

45252

RC-010

20

Technical Advisor III

45253

RC-010

23

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: RC-010

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

18

B

5181

5350

5517

5601

5870

6141

6425

6684

6953

7367

7664

18

Q

5408

5583

5757

5851

6138

6424

6714

6989

7268

7703

8011

20

B

5757

5946

6133

6235

6550

6853

7181

7494

7804

8278

8610

20

Q

6014

6209

6404

6517

6844

7168

7508

7830

8156

8654

9001

23

B

6805

7027

7249

7385

7775

8175

8562

8955

9342

9935

10333

23

Q

7110

7342

7575

7720

8130

8544

8946

9363

9768

10379

10793

23H

B

41.88

43.24

44.61

45.45

47.85

50.31

52.69

55.11

57.49

61.14

63.59

24

B

7234

7473

7708

7859

8276

8712

9129

9552

9982

10609

11031

24

Q

7560

7805

8053

8215

8653

9103

9543

9979

10430

11086

11529

26

B

8217

8485

8755

8940

9430

9931

10431

10919

11409

12143

12629

26

Q

8613

8893

9173

9371

9878

10401

10926

11438

11949

12722

13230

Effective January 1, 2024

Bargaining Unit: RC-010

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

18

B

5311

5484

5655

5741

6017

6295

6586

6851

7127

7551

7856

18

Q

5543

5723

5901

5997

6291

6585

6882

7164

7450

7896

8211

20

B

5901

6095

6286

6391

6714

7024

7361

7681

7999

8485

8825

20

Q

6164

6364

6564

6680

7015

7347

7696

8026

8360

8870

9226

23

B

6975

7203

7430

7570

7969

8379

8776

9179

9576

10183

10591

23

Q

7288

7526

7764

7913

8333

8758

9170

9597

10012

10638

11063

23H

B

42.92

44.33

45.72

46.58

49.04

51.56

54.01

56.49

58.93

62.66

65.18

24

B

7415

7660

7901

8055

8483

8930

9357

9791

10232

10874

11307

24

Q

7749

8000

8254

8420

8869

9331

9782

10228

10691

11363

11817

26

B

8422

8697

8974

9164

9666

10179

10692

11192

11694

12447

12945

26

Q

8828

9115

9402

9605

10125

10661

11199

11724

12248

13040

13561

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE O RC-028 (Paraprofessional Human Services Employees, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Administrative Assistant I

00501

RC-028

17

Administrative Assistant II

00502

RC-028

19

Apparel/Dry Goods Specialist III

01233

RC-028

12.5

Assistant Reimbursement Officer

02424

RC-028

08

Capital Development Board Media Technician

06525

RC-028

14

Child Development Aide

07184

RC-028

10

Clinical Laboratory Associate

08200

RC-028

08

Clinical Laboratory Technician I

08215

RC-028

10

Clinical Laboratory Technician II

08216

RC-028

12

Compliance Officer

08919

RC-028

14

Contract Specialist I

09566

RC-028

11

Contract Specialist II

09567

RC-028

13

Contract Specialist III

09568

RC-028

17

Crime Scene Investigator

09980

RC-028

21

Data Processing Administrative Specialist

11415

RC-028

14

Data Processing Specialist

11430

RC-028

12

Data Processing Technician

11440

RC-028

09

Data Processing Technician Trainee

11443

RC-028

06

Dental Assistant

11650

RC-028

10

Dental Hygienist

11700

RC-028

14

Electroencephalograph Technician

13300

RC-028

08

Environmental Equipment Operator I

13761

RC-028

12

Environmental Equipment Operator II

13762

RC-028

14

Environmental Protection Technician I

13831

RC-028

08

Environmental Protection Technician II

13832

RC-028

10

Guard Supervisor

17685

RC-028

14

Health Information Associate

18045

RC-028

10

Health Information Technician

18047

RC-028

12

Hearing & Speech Technician II

18262

RC-028

09

Housekeeper

19600

RC-028

03.5

Inhalation Therapist

21259

RC-028

09

Inhalation Therapy Supervisor

21260

RC-028

11

Intermittent Unemployment Insurance Technician (Hourly)

21690

RC-028

06H

Laboratory Assistant

22995

RC-028

04

Laboratory Associate I

22997

RC-028

10

Laboratory Associate II

22998

RC-028

12

Legal Research Assistant

23350

RC-028

13

Licensed Practical Nurse I

23551

RC-028

10.5

Licensed Practical Nurse II

23552

RC-028

11.5

Lock and Dam Tender

24290

RC-028

10

Lottery Commodities Distributor II

24402

RC-028

12

Lottery Drawing Senior Specialist

24413

RC-028

14

Lottery Drawing Specialist

24410

RC-028

12

Natural Resources Technician I

28851

RC-028

10

Natural Resources Technician II

28852

RC-028

13

Office Administrative Specialist

29990

RC-028

12

Office Administrator IV

29994

RC-028

14

Office Administrator V

29995

RC-028

15

Office Specialist

30080

RC-028

11

Pharmacy Lead Technician

32009

RC-028

09

Pharmacy Technician

32011

RC-028

07

Public Aid Eligibility Assistant

35825

RC-028

08

Radiologic Technologist

37500

RC-028

11

Radiologic Technologist Program Coordinator

37507

RC-028

12

Ranger

37725

RC-028

13

Rehabilitation Counselor Aide I

38155

RC-028

09

Rehabilitation Counselor Aide II

38156

RC-028

11

Senior Ranger

40090

RC-028

14

Site Interpreter

41090

RC-028

10

Site Technician I

41131

RC-028

10

Site Technician II

41132

RC-028

12

Social Service Community Planner

41295

RC-028

11

State Police Crime Information Evaluator

41801

RC-028

11

State Police Evidence Technician I

41901

RC-028

12

State Police Evidence Technician II

41902

RC-028

13

Statistical Research Technician

42748

RC-028

11

Veterans Service Officer

47800

RC-028

14

Vocational Instructor

48200

RC-028

12

Waterways Construction Supervisor I

49061

RC-028

16

Waterways Construction Supervisor II (Department of Natural Resources)

49062

RC-028

18

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: RC-028

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

03.5

B

3154

3253

3356

3373

3455

3543

3632

3716

3810

3971

4127

03.5

Q

3273

3377

3481

3503

3589

3686

3775

3860

3957

4125

4292

03.5

S

3349

3457

3563

3587

3681

3774

3864

3946

4045

4215

4384

04

B

3154

3253

3356

3373

3461

3556

3635

3734

3819

3980

4142

04

Q

3273

3377

3481

3503

3594

3692

3777

3882

3971

4138

4304

04

S

3349

3457

3563

3587

3686

3778

3868

3973

4056

4223

4397

06

B

3324

3431

3538

3561

3650

3750

3856

3952

4062

4236

4404

06

Q

3449

3557

3669

3696

3795

3899

4010

4113

4221

4404

4580

06

S

3526

3639

3752

3780

3884

3984

4100

4204

4315

4495

4677

06H

B

20.46

21.11

21.77

21.91

22.46

23.08

23.73

24.32

25.00

26.07

27.10

06H

Q

21.22

21.89

22.58

22.74

23.35

23.99

24.68

25.31

25.98

27.10

28.18

06H

S

21.70

22.39

23.09

23.26

23.90

24.52

25.23

25.87

26.55

27.66

28.78

07

B

3408

3518

3628

3650

3755

3867

3975

4081

4197

4387

4561

07

Q

3537

3650

3766

3795

3903

4021

4131

4245

4363

4569

4751

07

S

3618

3734

3851

3884

3992

4105

4218

4335

4449

4658

4843

08

B

3502

3614

3726

3755

3875

3987

4113

4223

4346

4551

4734

08

Q

3638

3755

3871

3903

4032

4145

4280

4395

4527

4740

4931

08

S

3717

3837

3956

3992

4114

4236

4371

4490

4618

4830

5025

09

B

3610

3725

3842

3875

3994

4122

4249

4385

4516

4730

4918

09

Q

3754

3874

3995

4032

4156

4289

4421

4566

4702

4925

5125

09

S

3829

3951

4076

4114

4241

4377

4513

4657

4794

5020

5223

09.5

B

3697

3815

3935

3971

4093

4227

4361

4508

4640

4866

5060

09.5

Q

3839

3962

4086

4125

4257

4400

4543

4699

4830

5071

5276

09.5

S

3921

4046

4175

4215

4343

4492

4631

4790

4924

5171

5376

10

B

3722

3842

3962

3998

4144

4267

4409

4548

4687

4926

5126

10

Q

3869

3995

4118

4160

4313

4441

4593

4736

4886

5145

5350

10

S

3948

4076

4203

4245

4398

4531

4682

4826

4984

5241

5450

10.5

B

3841

3966

4089

4130

4280

4421

4576

4725

4878

5173

5381

10.5

Q

3994

4122

4250

4295

4457

4607

4763

4923

5089

5404

5619

10.5

S

4075

4206

4336

4384

4548

4697

4857

5017

5183

5500

5719

11

B

3858

3983

4105

4145

4287

4426

4586

4736

4884

5143

5348

11

Q

4010

4139

4267

4315

4468

4612

4778

4938

5093

5368

5582

11

S

4086

4218

4350

4400

4553

4701

4869

5030

5190

5464

5683

11.5

B

3949

4077

4204

4247

4392

4530

4685

4843

5011

5284

5497

11.5

Q

4105

4239

4372

4418

4576

4720

4881

5048

5230

5516

5739

11.5

S

4184

4319

4455

4504

4663

4811

4978

5149

5333

5622

5848

12

B

4010

4139

4267

4315

4472

4618

4791

4948

5129

5406

5620

12

Q

4169

4306

4439

4491

4656

4810

4994

5167

5352

5643

5870

12

S

4249

4386

4525

4578

4744

4900

5091

5263

5452

5745

5976

12.5

B

4102

4236

4369

4415

4579

4738

4919

5088

5254

5540

5763

12.5

Q

4268

4408

4546

4599

4769

4941

5129

5311

5484

5795

6021

12.5

S

4350

4491

4632

4687

4864

5033

5230

5411

5582

5893

6127

13

B

4158

4292

4426

4476

4640

4816

4996

5178

5373

5672

5896

13

Q

4325

4466

4606

4660

4830

5023

5219

5410

5609

5927

6165

13

S

4406

4549

4691

4750

4924

5120

5319

5506

5710

6030

6271

14

B

4331

4471

4610

4668

4843

5033

5254

5444

5650

5982

6221

14

Q

4514

4658

4805

4866

5048

5258

5484

5690

5908

6250

6498

14

S

4593

4742

4890

4956

5149

5350

5582

5793

6008

6350

6601

15

B

4499

4646

4791

4854

5067

5276

5481

5702

5918

6275

6522

15

Q

4692

4844

4997

5064

5285

5506

5727

5964

6184

6551

6818

15

S

4777

4932

5087

5155

5384

5602

5828

6065

6285

6656

6921

16

B

4706

4859

5011

5080

5305

5540

5770

6011

6251

6621

6887

16

Q

4907

5067

5227

5299

5540

5795

6034

6284

6534

6922

7202

16

S

5001

5164

5322

5402

5640

5893

6136

6381

6635

7018

7300

17

B

4928

5087

5246

5322

5567

5823

6069

6316

6572

6963

7243

17

Q

5137

5303

5470

5553

5818

6085

6341

6598

6868

7277

7571

17

S

5229

5398

5567

5652

5921

6189

6445

6700

6968

7382

7675

18

B

5181

5350

5517

5601

5870

6141

6425

6684

6953

7367

7664

18

Q

5408

5583

5757

5851

6138

6424

6714

6989

7268

7703

8011

18

S

5495

5673

5853

5947

6236

6522

6817

7090

7372

7799

8114

19

B

5456

5633

5808

5901

6203

6495

6794

7084

7379

7828

8140

19

Q

5698

5884

6067

6168

6485

6783

7108

7402

7714

8179

8507

19

S

5793

5978

6168

6274

6588

6889

7207

7506

7817

8280

8611

21

B

6078

6274

6472

6587

6924

7258

7597

7941

8274

8790

9141

21

Q

6346

6553

6760

6883

7235

7586

7938

8302

8650

9187

9554

21

S

6439

6650

6860

6984

7335

7684

8043

8402

8747

9287

9657

Effective January 1, 2024

Bargaining Unit: RC-028

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

03.5

B

3233

3334

3440

3457

3541

3632

3723

3809

3905

4070

4230

03.5

Q

3355

3461

3568

3591

3679

3778

3869

3957

4056

4228

4399

03.5

S

3433

3543

3652

3677

3773

3868

3961

4045

4146

4320

4494

04

B

3233

3334

3440

3457

3548

3645

3726

3827

3914

4080

4246

04

Q

3355

3461

3568

3591

3684

3784

3871

3979

4070

4241

4412

04

S

3433

3543

3652

3677

3778

3872

3965

4072

4157

4329

4507

06

B

3407

3517

3626

3650

3741

3844

3952

4051

4164

4342

4514

06

Q

3535

3646

3761

3788

3890

3996

4110

4216

4327

4514

4695

06

S

3614

3730

3846

3875

3981

4084

4203

4309

4423

4607

4794

06H

B

20.97

21.64

22.31

22.46

23.02

23.66

24.32

24.93

25.62

26.72

27.78

06H

Q

21.75

22.44

23.14

23.31

23.94

24.59

25.29

25.94

26.63

27.78

28.89

06H

S

22.24

22.95

23.67

23.85

24.50

25.13

25.86

26.52

27.22

28.35

29.50

07

B

3493

3606

3719

3741

3849

3964

4074

4183

4302

4497

4675

07

Q

3625

3741

3860

3890

4001

4122

4234

4351

4472

4683

4870

07

S

3708

3827

3947

3981

4092

4208

4323

4443

4560

4774

4964

08

B

3590

3704

3819

3849

3972

4087

4216

4329

4455

4665

4852

08

Q

3729

3849

3968

4001

4133

4249

4387

4505

4640

4859

5054

08

S

3810

3933

4055

4092

4217

4342

4480

4602

4733

4951

5151

09

B

3700

3818

3938

3972

4094

4225

4355

4495

4629

4848

5041

09

Q

3848

3971

4095

4133

4260

4396

4532

4680

4820

5048

5253

09

S

3925

4050

4178

4217

4347

4486

4626

4773

4914

5146

5354

09.5

B

3789

3910

4033

4070

4195

4333

4470

4621

4756

4988

5187

09.5

Q

3935

4061

4188

4228

4363

4510

4657

4816

4951

5198

5408

09.5

S

4019

4147

4279

4320

4452

4604

4747

4910

5047

5300

5510

10

B

3815

3938

4061

4098

4248

4374

4519

4662

4804

5049

5254

10

Q

3966

4095

4221

4264

4421

4552

4708

4854

5008

5274

5484

10

S

4047

4178

4308

4351

4508

4644

4799

4947

5109

5372

5586

10.5

B

3937

4065

4191

4233

4387

4532

4690

4843

5000

5302

5516

10.5

Q

4094

4225

4356

4402

4568

4722

4882

5046

5216

5539

5759

10.5

S

4177

4311

4444

4494

4662

4814

4978

5142

5313

5638

5862

11

B

3954

4083

4208

4249

4394

4537

4701

4854

5006

5272

5482

11

Q

4110

4242

4374

4423

4580

4727

4897

5061

5220

5502

5722

11

S

4188

4323

4459

4510

4667

4819

4991

5156

5320

5601

5825

11.5

B

4048

4179

4309

4353

4502

4643

4802

4964

5136

5416

5634

11.5

Q

4208

4345

4481

4528

4690

4838

5003

5174

5361

5654

5882

11.5

S

4289

4427

4566

4617

4780

4931

5102

5278

5466

5763

5994

12

B

4110

4242

4374

4423

4584

4733

4911

5072

5257

5541

5761

12

Q

4273

4414

4550

4603

4772

4930

5119

5296

5486

5784

6017

12

S

4355

4496

4638

4692

4863

5023

5218

5395

5588

5889

6125

12.5

B

4205

4342

4478

4525

4693

4856

5042

5215

5385

5679

5907

12.5

Q

4375

4518

4660

4714

4888

5065

5257

5444

5621

5940

6172

12.5

S

4459

4603

4748

4804

4986

5159

5361

5546

5722

6040

6280

13

B

4262

4399

4537

4588

4756

4936

5121

5307

5507

5814

6043

13

Q

4433

4578

4721

4777

4951

5149

5349

5545

5749

6075

6319

13

S

4516

4663

4808

4869

5047

5248

5452

5644

5853

6181

6428

14

B

4439

4583

4725

4785

4964

5159

5385

5580

5791

6132

6377

14

Q

4627

4774

4925

4988

5174

5389

5621

5832

6056

6406

6660

14

S

4708

4861

5012

5080

5278

5484

5722

5938

6158

6509

6766

15

B

4611

4762

4911

4975

5194

5408

5618

5845

6066

6432

6685

15

Q

4809

4965

5122

5191

5417

5644

5870

6113

6339

6715

6988

15

S

4896

5055

5214

5284

5519

5742

5974

6217

6442

6822

7094

16

B

4824

4980

5136

5207

5438

5679

5914

6161

6407

6787

7059

16

Q

5030

5194

5358

5431

5679

5940

6185

6441

6697

7095

7382

16

S

5126

5293

5455

5537

5781

6040

6289

6541

6801

7193

7483

17

B

5051

5214

5377

5455

5706

5969

6221

6474

6736

7137

7424

17

Q

5265

5436

5607

5692

5963

6237

6500

6763

7040

7459

7760

17

S

5360

5533

5706

5793

6069

6344

6606

6868

7142

7567

7867

18

B

5311

5484

5655

5741

6017

6295

6586

6851

7127

7551

7856

18

Q

5543

5723

5901

5997

6291

6585

6882

7164

7450

7896

8211

18

S

5632

5815

5999

6096

6392

6685

6987

7267

7556

7994

8317

19

B

5592

5774

5953

6049

6358

6657

6964

7261

7563

8024

8344

19

Q

5840

6031

6219

6322

6647

6953

7286

7587

7907

8383

8720

19

S

5938

6127

6322

6431

6753

7061

7387

7694

8012

8487

8826

21

B

6230

6431

6634

6752

7097

7439

7787

8140

8481

9010

9370

21

Q

6505

6717

6929

7055

7416

7776

8136

8510

8866

9417

9793

21

S

6600

6816

7032

7159

7518

7876

8244

8612

8966

9519

9898

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE P RC-029 (Paraprofessional Investigatory and Law Enforcement Employees, Meat and Poultry Inspectors and Meat and Poultry Inspector Trainees, IFPE)

Title

Title Code

Bargaining Unit

Pay Grade

Animal and Animal Products Investigator

01072

RC-029

14

Apiary Inspector

01215

RC-029

04

Apiary Inspector (hourly)

01215

RC-029

04H

Arson Investigator I (See Note)

01481

RC-029

16

Arson Investigator II (See Note)

01482

RC-029

18

Arson Investigator II (Lead Worker) (See Note)

01482

RC-029

19

Breath Alcohol Analysis Technician (See Note)

05170

RC-029

16

Commerce Commission Police Officer I (See Note)

08451

RC-029

16

Commerce Commission Police Officer II (See Note)

08452

RC-029

18

Commodities Inspector

08770

RC-029

10

Drug Compliance Investigator

12778

RC-029

25

Elevator Inspector

13495

RC-029

18.5

Environmental Protection Legal Investigator I (See Note)

13811

RC-029

12

Environmental Protection Legal Investigator II

13812

RC-029

14

Environmental Protection Legal Investigator Specialist

13815

RC-029

15

Explosives Inspector I

14051

RC-029

14

Explosives Inspector II

14052

RC-029

17

Fingerprint Technician (See Note)

15204

RC-029

12

Fingerprint Technician Supervisor

15208

RC-029

17

Fire Prevention Inspector I

15316

RC-029

15

Fire Prevention Inspector II (See Note)

15317

RC-029

18

Fire Prevention Inspector Trainee (See Note)

15320

RC-029

12

Guard I

17681

RC-029

05

Guard II

17682

RC-029

08

Guard III

17683

RC-029

11

Licensing Assistant

23568

RC-029

07

Licensing Investigator I (See Note)

23571

RC-029

12

Licensing Investigator II

23572

RC-029

15

Licensing Investigator III (See Note)

23573

RC-029

16

Licensing Investigator IV (See Note)

23574

RC-029

18

Liquor Control Inspector

23741

RC-029

15

Liquor Control Inspector Trainee

23744

RC-029

12

Meat and Poultry Inspector

26070

RC-029

13.5

Meat and Poultry Inspector Trainee

26075

RC-029

09

Motorist Assistance Specialist

28490

RC-029

07

Plant and Pesticide Specialist I (See Note)

32501

RC-029

16

Plant and Pesticide Specialist II (See Note)

32502

RC-029

18

Plumbing Inspector (See Note)

32915

RC-029

19

Police Officer I (See Note)

32981

RC-029

16

Police Officer II (See Note)

32982

RC-029

18

Police Officer III (See Note)

32983

RC-029

20

Polygraph Examiner I (See Note)

33001

RC-029

18

Polygraph Examiner II (See Note)

33002

RC-029

20

Polygraph Examiner III (See Note)

33003

RC-029

22

Products and Standards Inspector

34603

RC-029

14

Security Officer (See Note)

39870

RC-029

12

Security Officer Sergeant (See Note)

39877

RC-029

13

Seed Analyst I

39951

RC-029

11

Seed Analyst II (See Note)

39952

RC-029

12

Site Security Officer

41115

RC-029

08

Truck Weighing Inspector (See Note)

46100

RC-029

12

Vehicle Compliance Inspector (See Note)

47570

RC-029

16

Vehicle Emissions Compliance Inspector (See Note)

47580

RC-029

12

Vehicle Emissions Quality Assurance Auditor (See Note)

47584

RC-029

13

Vital Records Quality Control Inspector (See Note)

48000

RC-029

12

Warehouse Claims Specialist (See Note)

48780

RC-029

19

Warehouse Examiner

48881

RC-029

15

Warehouse Examiner Specialist

48882

RC-029

17

Well Inspector I

49421

RC-029

14

Well Inspector II

49422

RC-029

17

NOTES: Step Increases – Employees who have not attained Step 8 shall receive a step increase to the next step upon satisfactory completion of 12 months of creditable service.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Sub-Step Increases – Step la, lb, and lc shall be implemented for all employees hired on or after July 1, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Longevity Pay – Effective July 1, 1998, the Step 7 rate shall be increased $50 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 7 in the same pay grade. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees (non-sworn) who attain 10 years of service and have three or more years of creditable service at Step 8 in the same pay grade. Effective July 1, 2010, the Step 8 rate shall be increased $75 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 8. Effective July 1, 2013, the Step 8 rate shall be increased $75 per month for those employees (non-sworn) who attain 10 years of service and have three of more years of creditable service at Step 8 in the same pay grade. Effective July 1, 2013, the Step 8 rate shall be increased $100 per month for those employees (non-sworn) who attain 15 years of service and have three or more years of creditable service on Step 8. Effective July 1, 1998, employees in the following classifications: Arson Investigator I and II; Commerce Commission Police Officer I and II; and Police Officer I, II and III. Effective July 1, 2003, employees in the following classification: Arson Investigator I and II; Commerce Commission Police Officer I and II; and Police Officer I, II and III shall be placed in a longevity schedule receiving a salary increase of $50 per month upon reaching 10 years, 13 years, 15 years and 17 years of service in the same classification series. Effective July 1, 2003 employees in the following classifications: Arson Investigator I and II; Commerce Commission Police Officer I and II; Police Officer I, II, and III shall be placed in a longevity schedule receiving a salary increase of $50 per month upon reaching 10 years, 13 years, and 15 years' service in the same classification series. Employees shall be placed in a longevity schedule receiving a salary increase of $75 per month upon reaching 17 years of service in the same classification series. Effective July 1, 2011, employees in the following classifications: Arson Investigator I and II; Commerce Commission Police Officer I and II; and Police Officer I, II and III shall be placed in a longevity schedule receiving a salary increase of $50 per month upon reaching 10 years, 13 years, and 15 years of service in the same classification series. Employees shall be placed in a longevity schedule receiving a salary increase of $100 per month upon reaching 17 years of service in the same classification series.

Pension Formula Change – An employee newly hired to a position that was previously covered by the alternative formula for pension benefits prior to January 1, 2011 and, effective January 1, 2011, is covered by the standard formula for pension benefits (see the Illinois Pension Code [40 ILCS 5/1-160(g) and 14-110(b)]) shall be placed on the Pay Plan Code B salary grade assigned to the classification to which the position is allocated. An employee newly hired is an employee hired on or after January 1, 2011 who has never been a member of the State Employees' Retirement System (SERS) or any other reciprocal retirement system. Other reciprocal retirement systems are the Chicago Teachers' Pension Fund, County Employees' Annuity and Benefit Fund of Cook County, Forest Preserve District Employees' Annuity and Benefit Fund of Cook County, General Assembly Retirement System (GARS), Illinois Municipal Retirement Fund (IMRF), Judges Retirement System (JRS), Laborers' Annuity and Benefit Fund of Chicago, Metropolitan Water Reclamation District Retirement Fund, Municipal Employees Annuity and Benefit Fund of Chicago, State Universities Retirement System (SURS) and Teachers' Retirement System of the State of Illinois (TRS).

Effective July 1, 2022

Bargaining Unit: RC-029

Pay Grade

Pay Plan Code

STEPS

1c

1b

1a

1

2

3

4

5

6

7

8

04

B

3110

3209

3311

3328

3416

3493

3590

3670

3828

3890

4046

04-H

B

17.87

18.44

19.03

19.13

05

B

3195

3297

3400

3422

3507

3600

3687

3778

3936

4000

4161

07

B

3366

3473

3581

3609

3716

3823

3922

4034

4218

4291

4465

08

B

3469

3579

3691

3722

3834

3955

4060

4176

4375

4453

4632

09

B

3552

3666

3781

3813

3952

4103

4251

4401

4642

4733

4782

10

B

3705

3826

3944

3983

4101

4237

4370

4506

4735

4823

5016

11

B

3832

3955

4079

4121

4253

4409

4551

4695

4942

5035

5240

12

B

3992

4121

4249

4298

4438

4605

4756

4930

5195

5294

5502

12

Q

4153

4289

4422

4475

4623

4799

4967

5146

5424

5534

5757

13

B

4140

4273

4407

4460

4629

4800

4977

5164

5451

5557

5779

13

Q

4306

4446

4585

4642

4827

5016

5200

5391

5696

5809

6043

13.5

B

4173

4307

4442

4496

4692

4878

5064

5260

5555

5668

5726

14

B

4318

4458

4599

4657

4839

5051

5234

5431

5748

5865

6101

15

B

4514

4659

4806

4870

5071

5269

5482

5686

6031

6144

6393

16

B

4722

4875

5029

5099

5325

5547

5779

6010

6364

6498

6756

16

Q

5146

5313

5480

5565

5799

6039

6282

6655

6787

6925

7203

17

B

4949

5110

5270

5351

5599

5834

6071

6317

6692

6830

7102

18

B

5215

5385

5555

5642

5906

6175

6423

6684

7083

7221

7515

18

Q

5697

5884

6070

6173

6453

6717

6983

7403

7550

7702

8007

18.5

B

5243

5413

5582

5672

5960

6243

6530

6809

7091

7524

7825

19

B

5505

5684

5863

5960

6243

6530

6809

7091

7524

7669

7978

19

Q

5884

6075

6265

6375

6658

6923

7189

7606

7753

7904

8219

20

B

5811

6000

6189

6296

6588

6900

7205

7504

7956

8114

8438

20

Q

6071

6265

6464

6580

6890

7215

7526

7841

8317

8479

8817

22

B

6486

6700

6912

7039

7385

7733

8093

8426

8952

9131

9497

22

Q

6775

6997

7217

7358

7720

8081

8454

8808

9356

9546

9926

25

B

7320

7559

7797

7955

8374

8774

9180

9595

10195

10400

10816

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE Q RC-061 (Conservation Police Officer Trainees and Conservation Police Officer I's and II's, Illinois Fraternal Order of Police Labor Council)

Title

Title Code

Pay Plan Code

Conservation Police Officer I

09341

Q

Conservation Police Officer II

09342

Q

Conservation Police Officer Trainee

09345

Q

NOTES: Longevity Bonuses – Effective January 1, 1991, employees shall receive a step increase to the next higher step upon satisfactory completion of 12 months creditable service in the current step and within the position classification, including successor title changes not involving pay grade changes. Effective July 1, 2000, employees covered by this Table Q shall receive longevity bonuses, pursuant to Schedule A, at the beginning of 9, 10, 12.5, 14, 15, 17.5, 20, 21, 22.5, and 25 years of service. Effective July 1, 2010, longevity bonuses will be increased by $25 at each step for employees who attain 15 or more years of continuous service. Effective July 1, 2014, the longevity bonuses will be increased by $25 at each step for employees who attain 21 or more years of continuous service.

Effective July 1, 2022

RC-061 Bargaining Unit

S T E P S

Title

1

2

3

4

5

6

7

Conservation Police Officer I

5603

5871

6295

6590

6899

7229

7229

Conservation Police Officer II

6391

6687

6994

7322

7322

Conservation Police Officer Trainee

4495

4673

Longevity Bonus Rates

Conservation Police Officer I

9 Yrs

10 Yrs

12.5 Yrs

14 Yrs

15 Yrs

17.5 Yrs

20 Yrs

21 Yrs

22.5 Yrs

25 Yrs

7572

8016

8213

8213

8336

8336

8336

8363

8363

8363

Conservation Police Officer II

9 Yrs

10 Yrs

12.5 Yrs

14 Yrs

15 Yrs

17.5 Yrs

20 Yrs

21 Yrs

22.5 Yrs

25 Yrs

7666

8110

8311

8311

8820

9231

9668

9789

10241

10716

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE R RC-042 (Residual Maintenance Workers, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Building/Grounds Laborer

05598

RC-042

01

Building/Grounds Lead I

05601

RC-042

04

Building/Grounds Lead II

05602

RC-042

05

Building/Grounds Maintenance Worker

05613

RC-042

02

Building/Grounds Supervisor

05605

RC-042

07

Intermittent Laborer (Maintenance) (Hourly)

21687

RC-042

01H

Race Track Maintainer I

37551

RC-042

03

Race Track Maintainer II

37552

RC-042

06

Refrigeration & Air Conditioning Repairer

38119

RC-042

07

Sign Shop Foreman

41000

RC-042

07

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: RC-042

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

B

3858

3983

4105

4145

4287

4426

4586

4736

4884

5143

5348

01

Q

4010

4139

4267

4315

4468

4612

4778

4938

5093

5368

5582

01

S

4086

4218

4350

4400

4553

4701

4869

5030

5190

5464

5683

01H

B

23.65

24.42

25.16

25.41

26.28

27.13

28.11

29.03

29.94

31.53

32.78

01H

Q

24.58

25.37

26.16

26.45

27.39

28.27

29.29

30.27

31.22

32.91

34.22

01H

S

25.05

25.86

26.67

26.97

27.91

28.82

29.85

30.84

31.82

33.50

34.84

02

B

4010

4139

4267

4315

4472

4618

4791

4948

5129

5406

5620

02

Q

4169

4306

4439

4491

4656

4810

4994

5167

5352

5643

5870

02

S

4249

4386

4525

4578

4744

4900

5091

5263

5452

5745

5976

03

B

4158

4292

4426

4476

4640

4816

4996

5178

5373

5672

5896

03

Q

4325

4466

4606

4660

4830

5023

5219

5410

5609

5927

6165

03

S

4406

4549

4691

4750

4924

5120

5319

5506

5710

6030

6271

04

B

4158

4292

4426

4476

4640

4816

4996

5178

5373

5672

5896

04

Q

4325

4466

4606

4660

4830

5023

5219

5410

5609

5927

6165

04

S

4406

4549

4691

4750

4924

5120

5319

5506

5710

6030

6271

05

B

4499

4646

4791

4854

5067

5276

5481

5702

5918

6275

6522

05

Q

4692

4844

4997

5064

5285

5506

5727

5964

6184

6551

6818

05

S

4777

4932

5087

5155

5384

5602

5828

6065

6285

6656

6921

06

B

4499

4646

4791

4854

5067

5276

5481

5702

5918

6275

6522

06

Q

4692

4844

4997

5064

5285

5506

5727

5964

6184

6551

6818

06

S

4777

4932

5087

5155

5384

5602

5828

6065

6285

6656

6921

07

B

4499

4646

4791

4854

5067

5276

5481

5702

5918

6275

6522

07

Q

4692

4844

4997

5064

5285

5506

5727

5964

6184

6551

6818

07

S

4777

4932

5087

5155

5384

5602

5828

6065

6285

6656

6921

Effective January 1, 2024

Bargaining Unit: RC-042

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

B

3954

4083

4208

4249

4394

4537

4701

4854

5006

5272

5482

01

Q

4110

4242

4374

4423

4580

4727

4897

5061

5220

5502

5722

01

S

4188

4323

4459

4510

4667

4819

4991

5156

5320

5601

5825

01H

B

24.24

25.03

25.80

26.05

26.94

27.81

28.82

29.76

30.69

32.32

33.61

01H

Q

25.20

26.00

26.81

27.11

28.08

28.98

30.02

31.03

32.00

33.73

35.08

01H

S

25.67

26.5

27.33

27.65

28.61

29.54

30.60

31.61

32.61

34.34

35.71

02

B

4110

4242

4374

4423

4584

4733

4911

5072

5257

5541

5761

02

Q

4273

4414

4550

4603

4772

4930

5119

5296

5486

5784

6017

02

S

4355

4496

4638

4692

4863

5023

5218

5395

5588

5889

6125

03

B

4262

4399

4537

4588

4756

4936

5121

5307

5507

5814

6043

03

Q

4433

4578

4721

4777

4951

5149

5349

5545

5749

6075

6319

03

S

4516

4663

4808

4869

5047

5248

5452

5644

5853

6181

6428

04

B

4262

4399

4537

4588

4756

4936

5121

5307

5507

5814

6043

04

Q

4433

4578

4721

4777

4951

5149

5349

5545

5749

6075

6319

04

S

4516

4663

4808

4869

5047

5248

5452

5644

5853

6181

6428

05

B

4611

4762

4911

4975

5194

5408

5618

5845

6066

6432

6685

05

Q

4809

4965

5122

5191

5417

5644

5870

6113

6339

6715

6988

05

S

4896

5055

5214

5284

5519

5742

5974

6217

6442

6822

7094

06

B

4611

4762

4911

4975

5194

5408

5618

5845

6066

6432

6685

06

Q

4809

4965

5122

5191

5417

5644

5870

6113

6339

6715

6988

06

S

4896

5055

5214

5284

5519

5742

5974

6217

6442

6822

7094

07

B

4611

4762

4911

4975

5194

5408

5618

5845

6066

6432

6685

07

Q

4809

4965

5122

5191

5417

5644

5870

6113

6339

6715

6988

07

S

4896

5055

5214

5284

5519

5742

5974

6217

6442

6822

7094

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE S VR-704 (Departments of Corrections, Financial and Professional Regulation, Juvenile Justice and State Police Supervisors, Laborers' − ISEA Local #2002)

Title

Title Code

Bargaining Unit

Pay Grade

Clinical Services Supervisor (Public Service Administrator (PSA) Option 7 Clinical Service Supervisor function Department of Corrections (DOC) and Department of Juvenile Justice (DJJ))

08260

VR-704

24

Computer Evidence Recovery Specialist (formerly PSA Option 7 Computer Evidence Recovery Specialist function Department of State Police (ISP), non-sworn)

08980

VR-704

25

Corrections Command Center Supervisor (formerly PSA Option 7 Operations Center Supervisor function DOC and DJJ)

09500

VR-704

25

Corrections Family Services Coordinator (formerly PSA Option 7 Women and Family Services Coordinator function DOC)

09600

VR-704

25

Corrections Intelligence Program Unit Manager

09798

VR-704

24

Corrections Placement Resources Regional Supervisor (formerly PSA Option 7 District Supervisor function DOC)

09839

VR-704

24

Corrections Program Administrator (formerly PSA Option 7 Staff Assistant function DOC)

09849

VR-704

24

Corrections Psychologist Administrator (formerly PSA Option 8K Mental Health Professional function DOC)

09855

VR-704

25

Corrections Regional Mental Health Services Administrator (formerly PSA Option 8K Mental Health Professional function DOC)

09857

VR-704

25

Corrections Training Program Supervisor (formerly PSA Option 7 Training Supervisor function DOC and DJJ)

09860

VR-704

25

Corrections Treatment Senior Security Supervisor

09867

VR-704

24

Corrections Unit Superintendent (formerly PSA Option 7 Superintendent function DOC)

09868

VR-704

25

Criminal Intelligence Analyst Supervisor (formerly PSA Option 7 Criminal Intelligence Analyst Supervisor function ISP, non-sworn)

10169

VR-704

25

Developmental Psychological Services Administrator (formerly PSA Option 8K Mental Health Professional function Department of Human Services (DHS) position)

12380

VR-704

25

Firearms Eligibility Administrator

15280

VR-704

25

Food Services Program Manager (DOC)

15800

VR-704

24

Forensic Science Administrator I (formerly PSA Option 7 Forensic Science Administrator function Forensic Bureau ISP)

15911

VR-704

24

Forensic Science Administrator II (formerly PSA Option 7 Forensic Science Administrator function Forensic Bureau ISP)

15912

VR-704

25

Forensic Science Administrator III

15913

VR-704

26

Internal Investigations Principal Evaluation Supervisor (formerly PSA Option 7 Office of Inspector General Investigator function DHS)

21735

VR-704

24

Internal Investigations Supervisor (formerly PSA Option 7 Office of Inspector General Investigator function DHS)

21740

VR-704

24

Juvenile Justice Chief of Security (formerly PSA Option 7 Chief of Security DJJ)

21965

VR-704

24

Juvenile Justice Psychologist Administrator (formerly PSA Option 8K Mental Health Professional function DOC and DJJ)

21967

VR-704

25

Juvenile Justice Unit Superintendent (formerly PSA Option 7 Superintendent function DJJ)

21985

VR-704

25

Law Enforcement Training Administrator (formerly PSA Option 7 Firearms Specialist function ISP, non-sworn)

23260

VR-704

25

Licensing Investigations Supervisor (formerly PSA Option 7 Chief of Medical Investigations, Chief of Health Related Investigations, Chief of Detective/Design Investigations, Chief of Probation Compliance and Chief of General Investigations functions Department of Financial and Professional Regulation (DFPR))

23577

VR-704

25

Narcotics and Currency Unit Supervisor (formerly PSA Option 7 Narcotics and Currency Unit Supervisor ISP, non-sworn)

28750

VR-704

25

Police Lieutenant

32977

VR-704

24

Public Service Administrator, Option 8L (DOC)

37015

VR-704

24

Sex Offender Registration Unit Supervisor (formerly PSA Option 7 Sex Offender Registry Supervisor ISP, non-sworn)

40700

VR-704

26

Shift Supervisor at Department of Corrections at Correctional Facilities or at Correctional Work Camps – Hired before or on June 30, 2014 (formerly PSA Option 7 Shift Commander function DOC and DJJ)

40800

VR-704

24

Shift Supervisor at Department of Corrections Correctional Work Camps – Hired on or after July 1, 2014 (formerly PSA Option 7 Shift Commander function DOC and DJJ)

40800

VR-704

22

State Police Inspector (formerly PSA Option 7 Inspector function ISP, sworn)

42100

VR-704

26

NOTES: Step Rates – The pay scale for bargaining unit employees accepting a position after April 1, 2013, shall be 5% lower than the salary grade established in the applicable collective bargaining agreement, except for Step 6 and Step 7, for which the pay scale will be lower by 3.5% and 2%, respectively. Upon reaching Step 8, an employee shall be paid the full Step 8 rate as established in the collective bargaining agreement.

General Increases − The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Step Increases – Employees shall receive a step increase to the next higher step upon satisfactory completion of 12 months creditable service in a step.

Longevity Pay – Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, an employee on Step 8, having 10 years of continuous service and three years creditable service at Step 8, shall be paid an additional $75 per month. An employee with 15 years continuous service and three years of creditable service at Step 8 shall receive an additional $100 per month.

Hired Before or On March 31, 2013

Effective July 1, 2022

Bargaining Unit: VR-704

Pay Grade

Pay Plan Code

S T E P S

1

2

3

4

5

6

7

8

22

Q

6574

6784

6994

7361

7721

8083

8456

8813

22

S

6670

6883

7095

7453

7819

8180

8557

8914

24

B

7553

7954

8373

8773

9180

9593

10195

10602

24

Q

7896

8316

8748

9170

9590

10024

10656

11079

24

S

7994

8409

8843

9264

9689

10125

10749

11181

25

B

8051

8492

8939

9385

9831

10279

10939

11376

25

Q

8410

8872

9336

9811

10278

10741

11431

11889

25

S

8509

8972

9436

9904

10371

10835

11527

11991

26

B

8590

9060

9544

10025

10494

10964

11673

12139

26

Q

9005

9495

9997

10502

10992

11484

12229

12716

Hired On or After April 1, 2013

Effective July 1, 2022

Bargaining Unit: VR-704

Pay Grade

Pay Plan Code

S T E P S

1

2

3

4

5

6

7

8

22

Q

6574

6784

6994

7361

7721

8083

8456

8813

22

S

6670

6883

7095

7453

7819

8180

8557

8914

24

B

7176

7556

7955

8335

8720

9256

9991

10602

24

Q

7500

7901

8310

8712

9110

9675

10443

11079

24

S

7596

7989

8402

8801

9204

9770

10534

11181

25

B

7650

8068

8492

8915

9339

9919

10720

11376

25

Q

7990

8428

8869

9320

9763

10365

11202

11889

25

S

8083

8523

8965

9409

9853

10455

11297

11991

26

B

8159

8608

9065

9524

9969

10579

11440

12139

26

Q

8556

9021

9498

9977

10443

11081

11984

12716

History

• Source: Amended at 46 Ill. Reg. 11713 effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE T HR-010 (Teachers of Deaf, IFT)

Title

Title Code

Bargaining Unit

Pay Plan Code

Educator

13100

HR-010

N

Educator-Career and Technical (Department of Human Services, Illinois School for the Deaf)

13103

HR-010

N

Effective August 16, 2021

Bargaining Unit: HR-010

Educational Level

S T E P S

Lane

1c

1b

1a

1

2

3

4

5

6

7

8

1

BA

3377

3489

3600

3711

3916

4128

4334

4555

4768

5229

5440

2

BA + 8 Hours

3484

3599

3713

3828

4033

4254

4475

4708

4930

5401

5617

3

BA + 16 Hours

3573

3689

3808

3926

4158

4391

4618

4840

5085

5578

5801

4

BA + 24 Hours

3673

3793

3915

4035

4281

4520

4759

5007

5244

5757

5990

5

MA

3786

3910

4035

4160

4403

4651

4899

5156

5398

5926

6163

6

MA + 16 Hours

3875

4003

4131

4258

4505

4753

5005

5263

5505

6041

6278

7

MA + 32 Hours

3993

4125

4256

4388

4634

4886

5141

5397

5644

6186

6435

Effective August 16, 2022

Bargaining Unit: HR-010

Educational Level

S T E P S

Lane

1c

1b

1a

1

2

3

4

5

6

7

8

1

BA

3510

3627

3742

3858

4071

4291

4505

4735

4956

5436

5655

2

BA + 8 Hours

3622

3741

3860

3979

4192

4422

4652

4894

5125

5614

5839

3

BA + 16 Hours

3714

3835

3958

4081

4322

4564

4800

5031

5286

5798

6030

4

BA + 24 Hours

3818

3943

4070

4194

4450

4699

4947

5205

5451

5984

6227

5

MA

3936

4064

4194

4324

4577

4835

5093

5360

5611

6160

6406

6

MA + 16 Hours

4028

4161

4294

4426

4683

4941

5203

5471

5722

6280

6526

7

MA + 32 Hours

4151

4288

4424

4561

4817

5079

5344

5610

5867

6430

6689

NOTES: General Increases – The pay rates for all bargaining unit classifications and steps shall be increased: by 1.50%, effective January 1, 2020; by 2.10%, effective August 16, 2020; by 3.95%, effective August 16, 2021; and by 3.95%, effective August 16, 2022. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective August 16, 2000, the Step 7 was increased by $25 per month for the employees who attained 10 years of continuous service and have three or more years of creditable service on Step 7 in the same pay grade. Effective August 16, 2004, the Step 8 rate was increased by $25 per month for the employees who attained 10 years of continuous service and have three years or more years of creditable service on Step 8 in the same or higher pay grade. For the employees who attained 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate was raised by $50 per month. Longevity is paid each month per calendar year. Effective August 16, 2010, the Step 8 was raised by $50 per month for the employees who attained 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before August 16, 2010. For the employees who attained 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before August 16, 2010, the Step 8 rate was increased by $75 per month. Effective August 16, 2013, the Step 8 was raised by $25 per month to $75 per month for the employees who attained 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before August 16, 2013. For the employees who attained 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before August 16, 2013, the Step 8 rate was increased by $25 per month to $100 per month. Employees who are eligible for longevity on or before January 1, 2002 shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Employees not eligible for longevity pay on or before the date they are placed on Step 8 shall begin to receive longevity pay after three years or more of creditable service on Step 8.

History

• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE U HR-010 (Teachers of Deaf, Extracurricular Paid Activities)

Title

Title Code

Bargaining Unit

Pay Plan Code

Educator

13100

HR-010

N

Extracurricular Activities Pay Schedule

Effective July 1, 2015

Classification I

Per Year

High School Head Coaches:

Basketball – Boys

3224

Basketball – Girls

3224

Football

3224

Track – Boys

3224

Track – Girls

3224

Volleyball

3224

Wrestling

3224

Other Activities:

Junior Class Sponsors

3224

Senior Class Sponsors

3224

Classification II

Per Year

High School Assistant Coaches:

Basketball – Boys

2035

Basketball – Girls

2035

Football

2035

Track – Boys

2035

Track – Girls

2035

Volleyball

2035

Wrestling

2035

Junior High School Head Coaches:

7th Grade Basketball – Boys

2035

8th Grade Basketball – Boys

2035

7th Grade Basketball – Girls

2035

8th Grade Basketball – Girls

2035

Track – Boys

2035

Track – Girls

2035

Volleyball

2035

Wrestling

2035

Football

2035

Cheerleading Sponsor:

High School Basketball

2035

Classification III

Per Year

High School Assistant Coaches:

Track – Boys

1283

Track – Girls

1283

Junior High School Assistant Coaches:

Track – Boys

1283

Track – Girls

1283

Volleyball

1283

Wrestling

1283

Cheerleading Sponsors:

Football Cheerleading Sponsor

1283

Jr. High School Cheerleading Sponsor

1283

Other Activities:

High School Lunchroom Supervisors

1283

Jr. High School Lunchroom Supervisors

1283

Classification V

Per Year

Special Olympics Coaches:

Volleyball

751

Basketball

751

Student Body Government

751

Scorekeepers and Timers

Per Event

Basketball Scorer

44

Basketball Timer

44

Football Scorer

44

Football Timer

44

Wrestling Scorer

44

Wrestling Timer

44

Volleyball Scorer

37

Volleyball Timer

37

Ticket Sellers

32

Football Chain Crew

27

History

• Source: Amended by peremptory rulemaking at 40 Ill. Reg. 9658, effective June 30, 2016

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE V CU-500 (Supervisory Employees in Corrections and Juvenile Justice, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Correctional Casework Supervisor

09655

CU-500

20

Correctional Lieutenant

09673

CU-500

19

Corrections Clerk III

09773

CU-500

16

Corrections Food Service Supervisor III

09795

CU-500

18

Corrections Identification Supervisor

09800

CU-500

19

Corrections Industry Supervisor

09807

CU-500

18

Corrections Laundry Manager II

09809

CU-500

17

Corrections Leisure Activity Specialist IV

09814

CU-500

20

Corrections Maintenance Supervisor

09822

CU-500

17

Corrections Residence Counselor II

09838

CU-500

17

Corrections Supply Supervisor III

09863

CU-500

18

Corrections Treatment Officer Supervisor

09865

CU-500

21

Juvenile Justice Supervisor

21980

CU-500

21

Juvenile Justice Youth and Family Specialist Supervisor

21995

CU-500

22

Property and Supply Clerk III

34793

CU-500

08

Public Service Administrator, Option 7

37015

CU-500

24

Storekeeper III

43053

CU-500

13

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective July 1, 2013 and 2014, the pay rates for all unit classifications and steps shall be increased by 2%. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 per month for those employees who attain 10 years of continuous service and three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 per month. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: CU-500

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

08

Q

3719

3839

3958

3994

4117

4240

4374

4492

4622

4832

5028

13

Q

4409

4550

4695

4752

4928

5123

5321

5507

5713

6032

6274

16

Q

5004

5167

5327

5406

5641

5894

6138

6382

6646

7019

7302

16

S

5090

5255

5420

5502

5743

5996

6236

6486

6742

7123

7408

17

Q

5233

5403

5572

5659

5922

6190

6447

6709

6975

7386

7679

17

S

5325

5497

5670

5757

6023

6291

6547

6810

7071

7485

7784

18

Q

5498

5676

5856

5950

6237

6523

6818

7091

7374

7804

8118

18

S

5595

5778

5960

6057

6340

6626

6917

7196

7472

7908

8225

19

Q

5796

5982

6173

6276

6590

6891

7209

7508

7821

8283

8614

19

S

5885

6077

6267

6374

6684

6990

7311

7607

7919

8384

8722

20

Q

6111

6311

6509

6624

6947

7271

7609

7933

8259

8753

9103

20

S

6205

6404

6606

6725

7053

7375

7714

8040

8360

8856

9212

21

Q

6439

6650

6860

6984

7340

7684

8044

8404

8752

9289

9661

21

S

6535

6745

6960

7088

7438

7790

8144

8508

8849

9390

9767

22

Q

6700

6917

7135

7269

7644

7737

8384

8767

9132

9690

10073

22

S

6793

7016

7234

7373

7739

8114

8481

8868

9231

9791

10180

24

Q

7655

7906

8155

8319

8757

9205

9642

10082

10533

11188

11639

24

S

7745

7997

8249

8419

8851

9306

9745

10182

10637

11289

11741

Effective January 1, 2024

Bargaining Unit: CU-500

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

08

Q

3812

3935

4057

4094

4220

4346

4483

4604

4738

4953

5154

13

Q

4519

4664

4812

4871

5051

5251

5454

5645

5856

6183

6431

16

Q

5129

5296

5460

5541

5782

6041

6291

6542

6812

7194

7485

16

S

5217

5386

5556

5640

5887

6146

6392

6648

6911

7301

7593

17

Q

5364

5538

5711

5800

6070

6345

6608

6877

7149

7571

7871

17

S

5458

5634

5812

5901

6174

6448

6711

6980

7248

7672

7979

18

Q

5635

5818

6002

6099

6393

6686

6988

7268

7558

7999

8321

18

S

5735

5922

6109

6208

6499

6792

7090

7376

7659

8106

8431

19

Q

5941

6132

6327

6433

6755

7063

7389

7696

8017

8490

8829

19

S

6032

6229

6424

6533

6851

7165

7494

7797

8117

8594

8940

20

Q

6264

6469

6672

6790

7121

7453

7799

8131

8465

8972

9331

20

S

6360

6564

6771

6893

7229

7559

7907

8241

8569

9077

9442

21

Q

6600

6816

7032

7159

7524

7876

8245

8614

8971

9521

9903

21

S

6698

6914

7134

7265

7624

7985

8348

8721

9070

9625

10011

22

Q

6868

7090

7313

7451

7835

7930

8594

8986

9360

9932

10325

22

S

6963

7191

7415

7557

7932

8317

8693

9090

9462

10036

10435

24

Q

7846

8104

8359

8527

8976

9435

9883

10334

10796

11468

11930

24

S

7939

8197

8455

8629

9072

9539

9989

10437

10903

11571

12035

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE W RC-062 (Technical Employees, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Accountant

00130

RC-062

14

Accountant Advanced

00133

RC-062

16

Accountant Supervisor

00135

RC-062

18

Accounting and Fiscal Administration Career Trainee

00140

RC-062

12

Activity Therapist

00157

RC-062

15

Activity Therapist Coordinator

00160

RC-062

17

Activity Therapist Supervisor

00163

RC-062

20

Actuarial Assistant

00187

RC-062

16

Actuarial Examiner

00195

RC-062

16

Actuarial Examiner Trainee

00196

RC-062

13

Actuarial Senior Examiner

00197

RC-062

19

Actuary I

00201

RC-062

20

Actuary II

00202

RC-062

24

Agricultural Market News Assistant

00804

RC-062

12

Agricultural Marketing Reporter

00807

RC-062

18

Agricultural Marketing Representative

00810

RC-062

18

Agriculture Land and Water Resource Specialist I

00831

RC-062

14

Agriculture Land and Water Resource Specialist II

00832

RC-062

17

Agriculture Land and Water Resource Specialist III

00833

RC-062

20

Aircraft Pilot I

00955

RC-062

19

Aircraft Pilot II

00956

RC-062

22

Aircraft Pilot II – Dual Rating

00957

RC-062

23

Amusement Ride Safety Inspector

01061

RC-062

16

Appraisal Specialist I

01251

RC-062

14

Appraisal Specialist II

01252

RC-062

16

Appraisal Specialist III

01253

RC-062

18

Arts Council Associate

01523

RC-062

12

Arts Council Program Coordinator

01526

RC-062

18

Arts Council Program Representative

01527

RC-062

15

Assignment Coordinator

01530

RC-062

20

Bank Examiner I

04131

RC-062

16

Bank Examiner II

04132

RC-062

19

Bank Examiner III

04133

RC-062

22

Behavior Analyst Associate

04375

RC-062

15

Behavior Analyst I

04371

RC-062

17

Behavior Analyst II

04372

RC-062

19

Boiler Safety Supervisor

04914

RC-062

24

Business Administrative Specialist

05810

RC-062

16

Business Manager

05815

RC-062

18

Buyer

05900

RC-062

18

Cancer Registrar I

05951

RC-062

14

Cancer Registrar II

05952

RC-062

16

Cancer Registrar III

05953

RC-062

20

Cancer Registrar Assistant Manager

05954

RC-062

22

Cancer Registrar Manager

05955

RC-062

24

Capital Development Board Account Technician

06515

RC-062

11

Capital Development Board Art in Architecture Technician

06533

RC-062

12

Capital Development Board Construction Support Analyst

06520

RC-062

11

Capital Development Board Project Technician

06530

RC-062

12

Chemist I

06941

RC-062

16

Chemist II

06942

RC-062

19

Chemist III

06943

RC-062

21

Child Protection Advanced Specialist

07161

RC-062

20

Child Protection Associate Specialist

07162

RC-062

17

Child Protection Specialist

07163

RC-062

19

Child Support Specialist I

07198

RC-062

16

Child Support Specialist II

07199

RC-062

17

Child Support Specialist Trainee

07200

RC-062

12

Child Welfare Associate Specialist

07216

RC-062

17

Child Welfare Staff Development Coordinator IV

07204

RC-062

22

Children and Family Service Intern – Option I

07241

RC-062

12

Children and Family Service Intern – Option II

07242

RC-062

15

Clinical Laboratory Technologist I

08220

RC-062

18

Clinical Laboratory Technologist II

08221

RC-062

19

Clinical Laboratory Technologist Trainee

08229

RC-062

14

CMS Human Resources Advanced Specialist

08280

RC-062

22

Communications Systems Specialist

08860

RC-062

23

Community Management Specialist I

08891

RC-062

15

Community Management Specialist II

08892

RC-062

17

Community Management Specialist III

08893

RC-062

19

Community Planner I

08901

RC-062

15

Community Planner II

08902

RC-062

17

Community Planner III

08903

RC-062

19

Conservation Education Representative

09300

RC-062

12

Conservation Grant Administrator I

09311

RC-062

18

Conservation Grant Administrator II

09312

RC-062

20

Conservation Grant Administrator III

09313

RC-062

22

Construction Program Assistant

09525

RC-062

12

Correctional Counselor I

09661

RC-062

15

Correctional Counselor II

09662

RC-062

17

Correctional Counselor III

09663

RC-062

19

Corrections Apprehension Specialist

09750

RC-062

19

Corrections Industries Marketing Representative

09803

RC-062

17

Corrections Law Library Assistant

09819

RC-062

14

Corrections Leisure Activities Specialist I

09811

RC-062

15

Corrections Leisure Activities Specialist II

09812

RC-062

17

Corrections Leisure Activities Specialist III

09813

RC-062

19

Corrections Parole Agent

09842

RC-062

17

Corrections Senior Parole Agent

09844

RC-062

19

Criminal Intelligence Analyst I

10161

RC-062

18

Criminal Intelligence Analyst II

10162

RC-062

20

Criminal Intelligence Analyst Specialist

10165

RC-062

22

Criminal Justice Specialist I

10231

RC-062

16

Criminal Justice Specialist II

10232

RC-062

20

Criminal Justice Specialist Trainee

10236

RC-062

13

Curator of the Lincoln Collection

10750

RC-062

16

Data Processing Supervisor I

11435

RC-062

11

Data Processing Supervisor II

11436

RC-062

14

Data Processing Supervisor III

11437

RC-062

18

Day Care Licensing Representative I

11471

RC-062

16

Developmental Disabilities Council Program Planner I

12361

RC-062

12

Developmental Disabilities Council Program Planner II

12362

RC-062

16

Developmental Disabilities Council Program Planner III

12363

RC-062

18

Dietary Manager I

12501

RC-062

16

Dietary Manager II

12502

RC-062

18

Dietitian

12510

RC-062

15

Disability Appeals Officer

12530

RC-062

22

Disability Claims Adjudicator I

12537

RC-062

16

Disability Claims Adjudicator II

12538

RC-062

18

Disability Claims Adjudicator Trainee

12539

RC-062

13

Disability Claims Analyst

12540

RC-062

21

Disability Claims Specialist

12558

RC-062

19

Disability Rights Manager

12560

RC-062

19

Disaster Services Planner

12585

RC-062

19

Document Examiner

12640

RC-062

22

Economic Development Representative I

12931

RC-062

17

Economic Development Representative II

12932

RC-062

19

Educational Diagnostician

12965

RC-062

12

Employee Benefits Specialist

13556

RC-062

16

Employment Security Field Office Supervisor

13600

RC-062

20

Employment Security Manpower Representative I

13621

RC-062

12

Employment Security Manpower Representative II

13622

RC-062

14

Employment Security Program Representative

13650

RC-062

14

Employment Security Program Representative – Intermittent

13651

RC-062

14H

Employment Security Service Representative

13667

RC-062

16

Employment Security Service Representative (Intermittent)

13667

RC-062

16H

Employment Security Specialist I

13671

RC-062

14

Employment Security Specialist II

13672

RC-062

16

Employment Security Specialist III

13673

RC-062

19

Employment Security Tax Auditor I

13681

RC-062

17

Employment Security Tax Auditor II

13682

RC-062

19

Energy and Natural Resources Specialist I

13711

RC-062

15

Energy and Natural Resources Specialist II

13712

RC-062

17

Energy and Natural Resources Specialist III

13713

RC-062

19

Energy and Natural Resources Specialist Trainee

13715

RC-062

12

Engineering Technician IV (Department of Public Health)

13734

RC-062

18

Environmental Health Specialist I

13768

RC-062

14

Environmental Health Specialist II

13769

RC-062

16

Environmental Health Specialist III

13770

RC-062

18

Environmental Protection Associate

13785

RC-062

12

Environmental Protection Specialist I

13821

RC-062

14

Environmental Protection Specialist II

13822

RC-062

16

Environmental Protection Specialist III

13823

RC-062

18

Environmental Protection Specialist IV

13824

RC-062

23

Equal Pay Specialist

13837

RC-062

17

Executive I

13851

RC-062

18

Executive II

13852

RC-062

20

Financial Institutions Examiner I

14971

RC-062

16

Financial Institutions Examiner II

14972

RC-062

19

Financial Institutions Examiner III

14973

RC-062

22

Financial Institutions Examiner Trainee

14978

RC-062

13

Firearms Eligibility Analyst I

15371

RC-062

13

Firearms Eligibility Analyst II

15372

RC-062

16

Firearms Eligibility Analyst Trainee

15375

RC-062

11

Fire Protection Specialist I

15351

RC-062

16

Flight Safety Coordinator

15640

RC-062

22

Forensic Scientist I

15891

RC-062

18

Forensic Scientist II

15892

RC-062

20

Forensic Scientist III

15893

RC-062

22

Forensic Scientist Trainee

15897

RC-062

15

Gaming Licensing Analyst

17171

RC-062

15

Gaming Licensing Specialist

17172

RC-062

17

Gaming Operations Supervisor

17181

RC-062

26

Gaming Senior Special Agent

17191

RC-062

23

Gaming Shift Supervisor

17187

RC-062

24

Gaming Special Agent

17192

RC-062

19

Gaming Special Agent Trainee

17195

RC-062

14

Gaming Unit Supervisor

17201

RC-062

26

Guardianship Representative

17710

RC-062

17

Habilitation Program Coordinator

17960

RC-062

17

Handicapped Services Representative I

17981

RC-062

11

Health Facilities Surveyor I

18011

RC-062

16

Health Facilities Surveyor II

18012

RC-062

19

Health Facilities Surveyor III

18013

RC-062

20

Health Information Administrator

18041

RC-062

15

Health Services Investigator I – Opt. A

18181

RC-062

19

Health Services Investigator II – Opt. A

18185

RC-062

22

Health Services Investigator II – Opt. C

18187

RC-062

25

Historical Actor (Abraham Lincoln Presidential Library and Museum)

18977

RC-062

16

Historical Documents Conservator

18984

RC-062

13

Historical Exhibits Designer

18985

RC-062

15

Historical Research Editor

19006

RC-062

14

Human Relations Representative

19670

RC-062

16

Human Resources Representative

19692

RC-062

17

Human Resources Specialist

19693

RC-062

20

Human Rights Investigator I

19774

RC-062

16

Human Rights Investigator II

19775

RC-062

18

Human Rights Investigator III

19776

RC-062

19

Human Rights Investigator Trainee

19768

RC-062

12

Human Rights Mediator

19771

RC-062

17

Human Rights Specialist I

19778

RC-062

14

Human Rights Specialist II

19779

RC-062

16

Human Rights Specialist III

19780

RC-062

18

Human Services Casework Manager

19788

RC-062

20

Human Services Caseworker

19785

RC-062

16

Human Services Grants Coordinator I

19791

RC-062

14

Human Services Grants Coordinator II

19792

RC-062

17

Human Services Grants Coordinator III

19793

RC-062

20

Human Services Grants Coordinator Trainee

19796

RC-062

12

Human Services Sign Language Interpreter

19810

RC-062

16

Iconographer

19880

RC-062

12

Industrial and Community Development Representative I

21051

RC-062

17

Industrial and Community Development Representative II

21052

RC-062

19

Industrial Services Consultant I

21121

RC-062

14

Industrial Services Consultant II

21122

RC-062

16

Industrial Services Consultant Trainee

21125

RC-062

11

Industrial Services Hygienist

21127

RC-062

19

Industrial Services Hygienist Technician

21130

RC-062

16

Industrial Services Hygienist Trainee

21133

RC-062

12

Information Technology/Communication Systems Specialist I

21216

RC-062

19

Information Technology/Communication Systems Specialist II

21217

RC-062

24

Instrument Designer

21500

RC-062

18

Insurance Analyst Specialist

21572

RC-062

14

Insurance Company Claims Examiner II

21602

RC-062

19

Insurance Company Field Staff Examiner

21608

RC-062

16

Insurance Company Financial Examiner Trainee

21610

RC-062

13

Insurance Financial Specialist, Department of Insurance

21613

RC-062

20

Insurance Performance Examiner I

21671

RC-062

14

Insurance Performance Examiner II

21672

RC-062

17

Insurance Performance Examiner III

21673

RC-062

20

Insurance Senior Analyst

21573

RC-062

16

Intermittent Unemployment Insurance Representative

21689

RC-062

12H

Internal Auditor I

21721

RC-062

17

Internal Auditor II

21727

RC-062

20

Internal Auditor Trainee

21726

RC-062

13

Internal Security Investigator I, not Department of Corrections

21731

RC-062

18

Internal Security Investigator II, not Department of Corrections

21732

RC-062

21

International Marketing Representative I, Department of Agriculture

21761

RC-062

14

Juvenile Justice Youth and Family Specialist, Option 1

21991

RC-062

18

Juvenile Justice Youth and Family Specialist, Option 2

21992

RC-062

20

KidCare Supervisor

22003

RC-062

20

Labor Conciliator

22750

RC-062

20

Laboratory Equipment Specialist

22990

RC-062

18

Laboratory Quality Specialist I

23021

RC-062

19

Laboratory Quality Specialist II

23022

RC-062

21

Laboratory Research Specialist I

23027

RC-062

19

Laboratory Research Specialist II

23028

RC-062

21

Land Acquisition Agent I

23091

RC-062

15

Land Acquisition Agent II

23092

RC-062

18

Land Acquisition Agent III

23093

RC-062

21

Land Reclamation Specialist I

23131

RC-062

14

Land Reclamation Specialist II

23132

RC-062

17

Liability Claims Adjuster I

23371

RC-062

14

Liability Claims Adjuster II

23372

RC-062

18

Library Associate

23430

RC-062

12

Liquor Control Investigator

23753

RC-062

19

Liquor Control Investigator Trainee

23756

RC-062

14

Life Sciences Career Trainee

23600

RC-062

12

Local Historical Services Representative

24000

RC-062

17

Local Housing Advisor I

24031

RC-062

14

Local Housing Advisor II

24032

RC-062

16

Local Housing Advisor III

24033

RC-062

18

Local Revenue and Fiscal Advisor I

24101

RC-062

15

Local Revenue and Fiscal Advisor II

24102

RC-062

17

Local Revenue and Fiscal Advisor III

24103

RC-062

19

Lottery Regional Coordinator

24504

RC-062

19

Lottery Sales Representative

24515

RC-062

16

Management Operations Analyst I

25541

RC-062

18

Management Operations Analyst II

25542

RC-062

20

Manpower Planner I

25591

RC-062

14

Manpower Planner II

25592

RC-062

17

Manpower Planner III

25593

RC-062

20

Manpower Planner Trainee

25597

RC-062

12

Medical Assistance Consultant I

26501

RC-062

13

Medical Assistance Consultant II

26502

RC-062

16

Medical Assistance Consultant III

26503

RC-062

19

Mental Health Administrator I

26811

RC-062

18

Mental Health Administrator II

26812

RC-062

20

Mental Health Administrator Trainee

26817

RC-062

16

Mental Health Recovery Support Specialist I

26921

RC-062

17

Mental Health Recovery Support Specialist II

26922

RC-062

18

Mental Health Specialist I

26924

RC-062

12

Mental Health Specialist II

26925

RC-062

14

Mental Health Specialist III

26926

RC-062

16

Mental Health Specialist Trainee

26928

RC-062

11

Meteorologist

27120

RC-062

18

Methods and Procedures Advisor I

27131

RC-062

14

Methods and Procedures Advisor II

27132

RC-062

16

Methods and Procedures Advisor III

27133

RC-062

20

Methods and Procedures Career Associate I

27135

RC-062

11

Methods and Procedures Career Associate II

27136

RC-062

12

Methods and Procedures Career Associate Trainee

27137

RC-062

09

Metrologist Associate

27146

RC-062

15

Microbiologist I

27151

RC-062

16

Microbiologist II

27152

RC-062

19

Museum Theater Systems Technician (Abraham Lincoln Presidential Library and Museum)

28700

RC-062

15

Natural Resources Advanced Specialist

28833

RC-062

20

Natural Resources Coordinator

28831

RC-062

15

Natural Resources Specialist

28832

RC-062

18

Oral Health Consultant

30317

RC-062

18

Paralegal Assistant

30860

RC-062

14

Plumbing Consultant (Department of Public Health)

32910

RC-062

22

Police Training Specialist

32990

RC-062

17

Private Secretary I

34201

RC-062

16

Program Integrity Auditor I

34631

RC-062

16

Program Integrity Auditor II

34632

RC-062

19

Program Integrity Auditor Trainee

34635

RC-062

12

Property Consultant

34900

RC-062

15

Public Aid Investigator

35870

RC-062

19

Public Aid Investigator Trainee

35874

RC-062

14

Public Aid Lead Casework Specialist

35880

RC-062

17

Public Aid Program Quality Analyst

35890

RC-062

19

Public Aid Quality Control Reviewer

35892

RC-062

17

Public Aid Quality Control Supervisor

35900

RC-062

19

Public Aid Staff Development Specialist I

36071

RC-062

15

Public Aid Staff Development Specialist II

36072

RC-062

17

Public Health Educator Associate

36434

RC-062

14

Public Health Program Specialist I

36611

RC-062

14

Public Health Program Specialist II

36612

RC-062

16

Public Health Program Specialist III

36613

RC-062

19

Public Health Program Specialist Trainee

36615

RC-062

12

Public Information Coordinator

36750

RC-062

18

Public Information Officer III

37003

RC-062

19

Public Information Officer IV

37004

RC-062

21

Public Safety Drug Screening Specialist

37006

RC-062

17

Public Safety Inspector

37007

RC-062

16

Public Safety Inspector Trainee

37010

RC-062

10

Public Service Administrator, Option 8Z

37015

RC-062

19

Public Service Administrator, Options 2, 6, 7 Gaming Board and Departments of Healthcare and Family Services and Revenue, 8C, 9A and 9B

37015

RC-062

24

Public Service Administrator, Options 8B and 8Y

37015

RC-062

23

Railroad Safety Specialist I

37601

RC-062

19

Railroad Safety Specialist II

37602

RC-062

21

Railroad Safety Specialist III

37603

RC-062

23

Railroad Safety Specialist IV

37604

RC-062

25

Real Estate Investigator

37730

RC-062

19

Real Estate Professions Examiner

37760

RC-062

22

Recreation Worker I

38001

RC-062

12

Recreation Worker II

38002

RC-062

14

Rehabilitation Counselor

38145

RC-062

17

Rehabilitation Counselor Senior

38158

RC-062

19

Rehabilitation Counselor Trainee

38159

RC-062

15

Rehabilitation Services Advisor I

38176

RC-062

20

Rehabilitation Workshop Supervisor I

38194

RC-062

12

Rehabilitation Workshop Supervisor II

38195

RC-062

14

Rehabilitation Workshop Supervisor III

38196

RC-062

16

Reimbursement Officer I

38199

RC-062

14

Reimbursement Officer II

38200

RC-062

16

Research Economist

38209

RC-062

18

Research Scientist I

38231

RC-062

13

Research Scientist II

38232

RC-062

16

Research Scientist III

38233

RC-062

20

Residential Services Supervisor

38280

RC-062

15

Resource Planner I

38281

RC-062

17

Resource Planner II

38282

RC-062

19

Resource Planner III

38283

RC-062

22

Retirement Benefits Representative (State Retirement Systems)

38313

RC-062

12

Retirement Benefits Representative Supervisor (State Retirement Systems)

38314

RC-062

14

Retirement Benefits Representative Trainee (State Retirement Systems)

38316

RC-062

10

Retirement System Benefits Technician I

38321

RC-062

14

Retirement System Benefits Technician II

38322

RC-062

19

Retirement System Disability Specialist

38310

RC-062

19

Revenue Audit Supervisor

38369

RC-062

25

Revenue Audit Supervisor (states other than IL and not assigned to RC-062-29 – Hired prior to April 1, 2013)

38369

RC-062

27

Revenue Audit Supervisor (See contract – Hired prior to April 1, 2013)

38369

RC-062

29

Revenue Auditor I

38371

RC-062

16

Revenue Auditor I (states other than IL and not assigned to RC-062-21 – Hired prior to April 1, 2013)

38371

RC-062

19

Revenue Auditor I (See contract – Hired prior to April 1, 2013)

38371

RC-062

21

Revenue Auditor II

38372

RC-062

19

Revenue Auditor II (states other than IL and not assigned to RC-062-24 – Hired prior to April 1, 2013)

38372

RC-062

22

Revenue Auditor II (See contract – Hired prior to April 1, 2013)

38372

RC-062

24

Revenue Auditor III

38373

RC-062

22

Revenue Auditor III (states other than IL and not assigned to RC-062-26 – Hired prior to April 1, 2013)

38373

RC-062

24

Revenue Auditor III (See contract – Hired prior to April 1, 2013)

38373

RC-062

26

Revenue Auditor Trainee

38375

RC-062

12

Revenue Auditor Trainee (states other than IL and not assigned to RC-062-15 – Hired prior to April 1, 2013)

38375

RC-062

13

Revenue Auditor Trainee (See contract – Hired prior to April 1, 2013)

38375

RC-062

15

Revenue Collection Officer I

38401

RC-062

15

Revenue Collection Officer II

38402

RC-062

17

Revenue Collection Officer III

38403

RC-062

19

Revenue Collection Officer Trainee

38405

RC-062

12

Revenue Computer Audit Specialist

38425

RC-062

23

Revenue Computer Audit Specialist (states other than IL and not assigned to RC-062-27 – Hired prior to April 1, 2013)

38425

RC-062

25

Revenue Computer Audit Specialist (See contract – Hired prior to April 1, 2013)

38425

RC-062

27

Revenue Senior Special Agent

38557

RC-062

23

Revenue Special Agent

38558

RC-062

19

Revenue Special Agent Trainee

38565

RC-062

14

Revenue Tax Specialist I

38571

RC-062

12

Revenue Tax Specialist II (IL)

38572

RC-062

14

Revenue Tax Specialist II (states other than IL, CA or NJ)

38572

RC-062

17

Revenue Tax Specialist II (CA or NJ)

38572

RC-062

19

Revenue Tax Specialist III

38573

RC-062

17

Revenue Tax Specialist Trainee

38575

RC-062

10

Sex Offender Therapist I

40531

RC-062

17

Sex Offender Therapist II

40532

RC-062

19

Site Assistant Superintendent I

41071

RC-062

15

Site Assistant Superintendent II

41072

RC-062

17

Site Interpretive Coordinator

41093

RC-062

13

Site Services Specialist I

41117

RC-062

15

Site Services Specialist II

41118

RC-062

17

Social Service Consultant I

41301

RC-062

18

Social Service Consultant II

41302

RC-062

19

Social Service Program Planner I

41311

RC-062

15

Social Service Program Planner II

41312

RC-062

17

Social Service Program Planner III

41313

RC-062

20

Social Service Program Planner IV

41314

RC-062

22

Social Services Career Trainee

41320

RC-062

12

Social Worker I

41411

RC-062

17

Staff Development Specialist I

41771

RC-062

18

Staff Development Technician I

41781

RC-062

12

Staff Development Technician II

41782

RC-062

15

State Mine Inspector

42230

RC-062

19

State Mine Inspector-at-Large

42240

RC-062

21

State Police Field Specialist I

42001

RC-062

18

State Police Field Specialist II

42002

RC-062

20

Statistical Research Specialist I

42741

RC-062

12

Statistical Research Specialist II

42742

RC-062

14

Statistical Research Specialist III

42743

RC-062

17

Storage Tank Safety Specialist

43005

RC-062

18

Telecommunications Specialist

45295

RC-062

15

Telecommunications Systems Analyst

45308

RC-062

17

Telecommunications Systems Technician I

45312

RC-062

10

Telecommunications Systems Technician II

45313

RC-062

13

Terrorism Research Specialist I

45371

RC-062

18

Terrorism Research Specialist II

45372

RC-062

20

Terrorism Research Specialist III

45373

RC-062

22

Terrorism Research Specialist Trainee

45375

RC-062

14

Unemployment Insurance Adjudicator I

47001

RC-062

11

Unemployment Insurance Adjudicator II

47002

RC-062

13

Unemployment Insurance Adjudicator III

47003

RC-062

15

Unemployment Insurance Revenue Analyst I

47081

RC-062

15

Unemployment Insurance Revenue Analyst II

47082

RC-062

17

Unemployment Insurance Revenue Specialist

47087

RC-062

13

Unemployment Insurance Special Agent

47096

RC-062

18

Vehicle Emission Compliance Supervisor, Environmental Protection Agency

47583

RC-062

15

Veterans Educational Specialist

47686

RC-062

22

Veterans Educational Specialist I

47681

RC-062

15

Veterans Educational Specialist II

47682

RC-062

17

Veterans Educational Specialist III

47683

RC-062

21

Veterans Employment Representative I

47701

RC-062

14

Veterans Employment Representative II

47702

RC-062

16

Veterans Employment Representative III

47703

RC-062

18

Volunteer Services Coordinator I

48481

RC-062

13

Volunteer Services Coordinator II

48482

RC-062

16

Volunteer Services Coordinator III

48483

RC-062

18

Wage Claims Specialist

48770

RC-062

09

Weatherization Specialist I

49101

RC-062

14

Weatherization Specialist II

49102

RC-062

17

Weatherization Specialist III

49103

RC-062

20

Weatherization Specialist Trainee

49105

RC-062

12

Workers Compensation Insurance Compliance Investigator

49640

RC-062

20

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – Pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: RC-062

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

09

B

3610

3725

3842

3875

3994

4122

4249

4385

4516

4730

4918

09

Q

3754

3874

3995

4032

4156

4289

4421

4566

4702

4925

5125

09

S

3829

3951

4076

4114

4241

4377

4513

4657

4794

5020

5223

10

B

3722

3842

3962

3998

4144

4267

4409

4548

4687

4926

5126

10

Q

3869

3995

4118

4160

4313

4441

4593

4736

4886

5145

5350

10

S

3948

4076

4203

4245

4398

4531

4682

4826

4984

5241

5450

11

B

3858

3983

4105

4145

4287

4426

4586

4736

4884

5143

5348

11

Q

4010

4139

4267

4315

4468

4612

4778

4938

5093

5368

5582

11

S

4086

4218

4350

4400

4553

4701

4869

5030

5190

5464

5683

12

B

4010

4139

4267

4315

4472

4618

4791

4948

5129

5406

5620

12

Q

4169

4306

4439

4491

4656

4810

4994

5167

5352

5643

5870

12

S

4249

4386

4525

4578

4744

4900

5091

5263

5452

5745

5976

12H

B

24.68

25.47

26.26

26.55

27.52

28.42

29.48

30.45

31.56

33.27

34.58

12H

Q

25.66

26.50

27.32

27.64

28.65

29.60

30.73

31.80

32.94

34.73

36.12

12H

S

26.15

26.99

27.85

28.17

29.19

30.15

31.33

32.39

33.55

35.35

36.78

13

B

4158

4292

4426

4476

4640

4816

4996

5178

5373

5672

5896

13

Q

4325

4466

4606

4660

4830

5023

5219

5410

5609

5927

6165

13

S

4406

4549

4691

4750

4924

5120

5319

5506

5710

6030

6271

14

B

4331

4471

4610

4668

4843

5033

5254

5444

5650

5982

6221

14

Q

4514

4658

4805

4866

5048

5258

5484

5690

5908

6250

6498

14

S

4593

4742

4890

4956

5149

5350

5582

5793

6008

6350

6601

14H

B

26.65

27.51

28.37

28.73

29.80

30.97

32.33

33.50

34.77

36.81

38.28

14H

Q

27.78

28.66

29.57

29.94

31.06

32.36

33.75

35.02

36.36

38.46

39.99

14H

S

28.26

29.18

30.09

30.50

31.69

32.92

34.35

35.65

36.97

39.08

40.62

15

B

4499

4646

4791

4854

5067

5276

5481

5702

5918

6275

6522

15

Q

4692

4844

4997

5064

5285

5506

5727

5964

6184

6551

6818

15

S

4777

4932

5087

5155

5384

5602

5828

6065

6285

6656

6921

16

B

4706

4859

5011

5080

5305

5540

5770

6011

6251

6621

6887

16

Q

4907

5067

5227

5299

5540

5795

6034

6284

6534

6922

7202

16

S

5001

5164

5322

5402

5640

5893

6136

6381

6635

7018

7300

16H

B

28.96

29.90

30.84

31.26

32.65

34.09

35.51

36.99

38.47

40.74

42.38

16H

Q

30.20

31.18

32.17

32.61

34.09

35.66

37.13

38.67

40.21

42.60

44.32

16H

S

30.78

31.78

32.75

33.24

34.71

36.26

37.76

39.27

40.83

43.19

44.92

17

B

4928

5087

5246

5322

5567

5823

6069

6316

6572

6963

7243

17

Q

5137

5303

5470

5553

5818

6085

6341

6598

6868

7277

7571

17

S

5229

5398

5567

5652

5921

6189

6445

6700

6968

7382

7675

18

B

5181

5350

5517

5601

5870

6141

6425

6684

6953

7367

7664

18

Q

5408

5583

5757

5851

6138

6424

6714

6989

7268

7703

8011

18

S

5495

5673

5853

5947

6236

6522

6817

7090

7372

7799

8114

19

B

5456

5633

5808

5901

6203

6495

6794

7084

7379

7828

8140

19

J

5456

5633

5808

5901

6203

6495

6794

7084

7379

7828

8140

19

Q

5698

5884

6067

6168

6485

6783

7108

7402

7714

8179

8507

19

S

5793

5978

6168

6274

6588

6889

7207

7506

7817

8280

8611

20

B

5757

5946

6133

6235

6550

6853

7181

7494

7804

8278

8610

20

Q

6014

6209

6404

6517

6844

7168

7508

7830

8156

8654

9001

20

S

6108

6308

6506

6620

6946

7268

7607

7931

8257

8752

9102

21

B

6078

6274

6472

6587

6924

7258

7597

7941

8274

8790

9141

21

U

6078

6274

6472

6587

6924

7258

7597

7941

8274

8790

9141

21

Q

6346

6553

6760

6883

7235

7586

7938

8302

8650

9187

9554

21

S

6439

6650

6860

6984

7335

7684

8043

8402

8747

9287

9657

22

B

6422

6628

6837

6962

7325

7681

8045

8418

8767

9313

9687

22

Q

6704

6921

7140

7274

7655

8030

8406

8794

9166

9733

10119

22

S

6798

7023

7244

7379

7751

8132

8507

8899

9271

9835

10229

23

B

6805

7027

7249

7385

7775

8175

8562

8955

9342

9935

10333

23

Q

7110

7342

7575

7720

8130

8544

8946

9363

9768

10379

10793

23

S

7201

7436

7670

7822

8228

8646

9049

9462

9870

10481

10896

24

B

7234

7473

7708

7859

8276

8712

9129

9552

9982

10609

11031

24

J

7234

7473

7708

7859

8276

8712

9129

9552

9982

10609

11031

24

Q

7560

7805

8053

8215

8653

9103

9543

9979

10430

11086

11529

24

S

7653

7904

8153

8317

8751

9201

9639

10082

10533

11185

11632

25

B

7710

7961

8212

8377

8836

9303

9766

10229

10696

11382

11835

25

J

7710

7961

8212

8377

8836

9303

9766

10229

10696

11382

11835

25

Q

8048

8312

8573

8752

9231

9715

10209

10695

11178

11893

12370

25

S

8141

8408

8675

8855

9333

9818

10306

10791

11274

11994

12478

26

B

8217

8485

8755

8940

9430

9931

10431

10919

11409

12143

12629

26

U

8217

8485

8755

8940

9430

9931

10431

10919

11409

12143

12629

26

Q

8613

8893

9173

9371

9878

10401

10926

11438

11949

12722

13230

26

S

8691

8974

9256

9457

9973

10502

11032

11546

12064

12847

13362

27

B

8766

9054

9341

9544

10064

10592

11129

11652

12176

12962

13483

27

J

8766

9054

9341

9544

10064

10592

11129

11652

12176

12962

13483

27

U

8766

9054

9341

9544

10064

10592

11129

11652

12176

12962

13483

27

Q

9161

9461

9760

9975

10516

11072

11637

12180

12726

13549

14092

28

B

9195

9496

9796

10013

10555

11114

11680

12227

12775

13601

14147

29

U

9647

9961

10276

10506

11079

11664

12255

12830

13406

14274

14843

Effective January 1, 2024

Bargaining Unit: RC-062

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

09

B

3700

3818

3938

3972

4094

4225

4355

4495

4629

4848

5041

09

Q

3848

3971

4095

4133

4260

4396

4532

4680

4820

5048

5253

09

S

3925

4050

4178

4217

4347

4486

4626

4773

4914

5146

5354

10

B

3815

3938

4061

4098

4248

4374

4519

4662

4804

5049

5254

10

Q

3966

4095

4221

4264

4421

4552

4708

4854

5008

5274

5484

10

S

4047

4178

4308

4351

4508

4644

4799

4947

5109

5372

5586

11

B

3954

4083

4208

4249

4394

4537

4701

4854

5006

5272

5482

11

Q

4110

4242

4374

4423

4580

4727

4897

5061

5220

5502

5722

11

S

4188

4323

4459

4510

4667

4819

4991

5156

5320

5601

5825

12

B

4110

4242

4374

4423

4584

4733

4911

5072

5257

5541

5761

12

Q

4273

4414

4550

4603

4772

4930

5119

5296

5486

5784

6017

12

S

4355

4496

4638

4692

4863

5023

5218

5395

5588

5889

6125

12H

B

25.29

26.10

26.92

27.22

28.21

29.13

30.22

31.21

32.35

34.10

35.45

12H

Q

26.30

27.16

28.00

28.33

29.37

30.34

31.50

32.59

33.76

35.59

37.03

12H

S

26.80

27.67

28.54

28.87

29.93

30.91

32.11

33.20

34.39

36.24

37.69

13

B

4262

4399

4537

4588

4756

4936

5121

5307

5507

5814

6043

13

Q

4433

4578

4721

4777

4951

5149

5349

5545

5749

6075

6319

13

S

4516

4663

4808

4869

5047

5248

5452

5644

5853

6181

6428

14

B

4439

4583

4725

4785

4964

5159

5385

5580

5791

6132

6377

14

Q

4627

4774

4925

4988

5174

5389

5621

5832

6056

6406

6660

14

S

4708

4861

5012

5080

5278

5484

5722

5938

6158

6509

6766

14H

B

27.32

28.20

29.08

29.45

30.55

31.75

33.14

34.34

35.64

37.74

39.24

14H

Q

28.47

29.38

30.31

30.70

31.84

33.16

34.59

35.89

37.27

39.42

40.98

14H

S

28.97

29.91

30.84

31.26

32.48

33.75

35.21

36.54

37.90

40.06

41.64

15

B

4611

4762

4911

4975

5194

5408

5618

5845

6066

6432

6685

15

Q

4809

4965

5122

5191

5417

5644

5870

6113

6339

6715

6988

15

S

4896

5055

5214

5284

5519

5742

5974

6217

6442

6822

7094

16

B

4824

4980

5136

5207

5438

5679

5914

6161

6407

6787

7059

16

Q

5030

5194

5358

5431

5679

5940

6185

6441

6697

7095

7382

16

S

5126

5293

5455

5537

5781

6040

6289

6541

6801

7193

7483

16H

B

29.69

30.65

31.61

32.04

33.46

34.95

36.39

37.91

39.43

41.77

43.44

16H

Q

30.95

31.96

32.97

33.42

34.95

36.55

38.06

39.64

41.21

43.66

45.43

16H

S

31.54

32.57

33.57

34.07

35.58

37.17

38.70

40.25

41.85

44.26

46.05

17

B

5051

5214

5377

5455

5706

5969

6221

6474

6736

7137

7424

17

Q

5265

5436

5607

5692

5963

6237

6500

6763

7040

7459

7760

17

S

5360

5533

5706

5793

6069

6344

6606

6868

7142

7567

7867

18

B

5311

5484

5655

5741

6017

6295

6586

6851

7127

7551

7856

18

Q

5543

5723

5901

5997

6291

6585

6882

7164

7450

7896

8211

18

S

5632

5815

5999

6096

6392

6685

6987

7267

7556

7994

8317

19

B

5592

5774

5953

6049

6358

6657

6964

7261

7563

8024

8344

19

J

5592

5774

5953

6049

6358

6657

6964

7261

7563

8024

8344

19

Q

5840

6031

6219

6322

6647

6953

7286

7587

7907

8383

8720

19

S

5938

6127

6322

6431

6753

7061

7387

7694

8012

8487

8826

20

B

5901

6095

6286

6391

6714

7024

7361

7681

7999

8485

8825

20

Q

6164

6364

6564

6680

7015

7347

7696

8026

8360

8870

9226

20

S

6261

6466

6669

6786

7120

7450

7797

8129

8463

8971

9330

21

B

6230

6431

6634

6752

7097

7439

7787

8140

8481

9010

9370

21

U

6230

6431

6634

6752

7097

7439

7787

8140

8481

9010

9370

21

Q

6505

6717

6929

7055

7416

7776

8136

8510

8866

9417

9793

21

S

6600

6816

7032

7159

7518

7876

8244

8612

8966

9519

9898

22

B

6583

6794

7008

7136

7508

7873

8246

8628

8986

9546

9929

22

Q

6872

7094

7319

7456

7846

8231

8616

9014

9395

9976

10372

22

S

6968

7199

7425

7563

7945

8335

8720

9121

9503

10081

10485

23

B

6975

7203

7430

7570

7969

8379

8776

9179

9576

10183

10591

23

Q

7288

7526

7764

7913

8333

8758

9170

9597

10012

10638

11063

23

S

7381

7622

7862

8018

8434

8862

9275

9699

10117

10743

11168

24

B

7415

7660

7901

8055

8483

8930

9357

9791

10232

10874

11307

24

J

7415

7660

7901

8055

8483

8930

9357

9791

10232

10874

11307

24

Q

7749

8000

8254

8420

8869

9331

9782

10228

10691

11363

11817

24

S

7844

8102

8357

8525

8970

9431

9880

10334

10796

11465

11923

25

B

7903

8160

8417

8586

9057

9536

10010

10485

10963

11667

12131

25

J

7903

8160

8417

8586

9057

9536

10010

10485

10963

11667

12131

25

Q

8249

8520

8787

8971

9462

9958

10464

10962

11457

12190

12679

25

S

8345

8618

8892

9076

9566

10063

10564

11061

11556

12294

12790

26

B

8422

8697

8974

9164

9666

10179

10692

11192

11694

12447

12945

26

U

8422

8697

8974

9164

9666

10179

10692

11192

11694

12447

12945

26

Q

8828

9115

9402

9605

10125

10661

11199

11724

12248

13040

13561

26

S

8908

9198

9487

9693

10222

10765

11308

11835

12366

13168

13696

27

B

8985

9280

9575

9783

10316

10857

11407

11943

12480

13286

13820

27

J

8985

9280

9575

9783

10316

10857

11407

11943

12480

13286

13820

27

U

8985

9280

9575

9783

10316

10857

11407

11943

12480

13286

13820

27

Q

9390

9698

10004

10224

10779

11349

11928

12485

13044

13888

14444

28

B

9425

9733

10041

10263

10819

11392

11972

12533

13094

13941

14501

29

U

9888

10210

10533

10769

11356

11956

12561

13151

13741

14631

15214

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE X RC-063 (Professional Employees, AFSCME)

Title

Title Code

Bargaining Unit

Pay Grade

Actuary III

00203

RC-063

26

Architect

01440

RC-063

22

Chaplain I

06901

RC-063

17

Chaplain II

06902

RC-063

20

Child Welfare Administrative Case Reviewer

07190

RC-063

23

Child Welfare Advanced Specialist

07215

RC-063

20

Child Welfare Court Facilitator

07196

RC-063

22

Child Welfare Senior Specialist

07217

RC-063

22

Child Welfare Specialist

07218

RC-063

19

Civil Engineer I

07601

RC-063

15

Civil Engineer II

07602

RC-063

17

Civil Engineer III

07603

RC-063

19

Civil Engineer IV

07604

RC-063

22

Clinical Pharmacist

08235

RC-063

25

Clinical Psychologist

08250

RC-063

23

Clinical Psychology Associate

08255

RC-063

18

Corrections Assessment Specialist

09758

RC-063

19

Day Care Licensing Representative II

11472

RC-063

19

Dentist I

11751

RC-063

23

Dentist II

11752

RC-063

26

Educator – Career and Technical (9 Months), Illinois School for the Visually Impaired

13103

RC-063

11.5

Educator – Career and Technical (12 Months), Department of Juvenile Justice

13103

RC-063

14

Electrical Engineer, Department of Public Health

13180

RC-063

22

Environmental Engineer I

13751

RC-063

15

Environmental Engineer II

13752

RC-063

17

Environmental Engineer III

13753

RC-063

19

Environmental Engineer IV

13754

RC-063

23

Environmental Protection Engineer I

13791

RC-063

15

Environmental Protection Engineer II

13792

RC-063

17

Environmental Protection Engineer III

13793

RC-063

19

Environmental Protection Engineer IV

13794

RC-063

22

Environmental Protection Geologist I

13801

RC-063

15

Environmental Protection Geologist II

13802

RC-063

17

Environmental Protection Geologist III

13803

RC-063

19

Fire Protection Engineer (State Fire Marshal)

15340

RC-063

22

Geographic Information Specialist I

17271

RC-063

19

Geographic Information Specialist II

17272

RC-063

23

Geographic Information Trainee

17276

RC-063

15

Graduate Pharmacist

17345

RC-063

20

Hearing and Speech Advanced Specialist

18227

RC-063

22

Hearing and Speech Associate

18231

RC-063

18

Hearing and Speech Specialist

18233

RC-063

20

Historical Library Chief of Acquisitions

16987

RC-063

19

Information Services Intern

21160

RC-063

15

Information Services Specialist I

21161

RC-063

17

Information Services Specialist II

21162

RC-063

19

Information Systems Analyst I

21165

RC-063

21

Information Systems Analyst II

21166

RC-063

23

Information Systems Analyst III

21167

RC-063

25

Laboratory Research Scientist

23025

RC-063

23

Landscape Architect

23145

RC-063

22

Landscape Planner

23150

RC-063

19

Librarian I

23401

RC-063

16

Librarian II

23402

RC-063

18

Management Systems Specialist

25583

RC-063

21

Manuscripts Manager, Abraham Lincoln Presidential Library and Museum

25610

RC-063

19

Mechanical Engineer I

26201

RC-063

15

Mechanical Engineer II

26202

RC-063

17

Mechanical Engineer III

26203

RC-063

19

Nutritionist

29820

RC-063

18

Occupational Therapist

29900

RC-063

17

Occupational Therapist Program Coordinator

29908

RC-063

19

Occupational Therapist Supervisor

29910

RC-063

21

Pharmacy Manager (Department of Human Services)

32025

RC-063

27

Pharmacy Services Coordinator

32010

RC-063

25

Physical Therapist

32145

RC-063

17

Physical Therapist Program Coordinator

32153

RC-063

19

Podiatrist

32960

RC-063

14

Project Designer

34725

RC-063

19

Psychologist I

35611

RC-063

17

Psychologist II

35612

RC-063

20

Psychologist III

35613

RC-063

22

Psychologist Associate

35626

RC-063

15

Public Health Educator

36430

RC-063

19

Public Service Administrator, Option 8D

37015

RC-063

23

Public Service Administrator, Option 8P Department of Human Services

37015

RC-063

26

Public Service Administrator, Option 8U Department of Human Services

37015

RC-063

21

Public Service Administrator, Options 1, 3, 4, 6, 6E, 7 Criminal Justice Information Authority, 8A Department of Public Health, 8E, 8N, 8S Departments of Human Services and Veterans' Affairs and 8T

37015

RC-063

24

Public Service Administrator, Options 8H, 8I Department of Natural Resources and 9G

37015

RC-063

22

Rehabilitation/Mobility Instructor

38163

RC-063

19

Rehabilitation/Mobility Instructor Trainee

38167

RC-063

15

School Psychologist

39200

RC-063

19

Social Worker II

41412

RC-063

19

Social Worker III

41413

RC-063

20

Social Worker IV

41414

RC-063

22

Staff Pharmacist

41787

RC-063

24

Statistical Research Supervisor

42745

RC-063

20

Veterinarian I

47901

RC-063

18

Veterinarian II

47902

RC-063

20

Veterinarian III

47903

RC-063

21

Vision/Hearing Consultant I

47941

RC-063

16

Vision/Hearing Consultant II

47942

RC-063

20

Vision/Hearing Consultant III

47943

RC-063

21

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – Pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled (see Section 310.220(f)) above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002 shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: RC-063

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

11.5

B

3717

3836

3954

3992

4176

4366

4552

4736

4928

5223

5431

11.5

Q

3874

3999

4124

4163

4363

4566

4755

4949

5151

5457

5677

11.5

S

3943

4070

4196

4240

4441

4643

4834

5026

5226

5536

5755

14

B

4331

4471

4610

4668

4843

5033

5254

5444

5650

5982

6221

14

E

4331

4471

4610

4668

4843

5033

5254

5444

5650

5982

6221

14

Q

4514

4658

4805

4866

5048

5258

5484

5690

5908

6250

6498

14

L

4514

4658

4805

4866

5048

5258

5484

5690

5908

6250

6498

14

S

4593

4742

4890

4956

5149

5350

5582

5793

6008

6350

6601

14

P

4593

4742

4890

4956

5149

5350

5582

5793

6008

6350

6601

15

B

4499

4646

4791

4854

5067

5276

5481

5702

5918

6275

6522

15

Q

4692

4844

4997

5064

5285

5506

5727

5964

6184

6551

6818

15

S

4777

4932

5087

5155

5384

5602

5828

6065

6285

6656

6921

16

B

4706

4859

5011

5080

5305

5540

5770

6011

6251

6621

6887

16

Q

4907

5067

5227

5299

5540

5795

6034

6284

6534

6922

7202

16

S

5001

5164

5322

5402

5640

5893

6136

6381

6635

7018

7300

17

B

4928

5087

5246

5322

5567

5823

6069

6316

6572

6963

7243

17

Q

5137

5303

5470

5553

5818

6085

6341

6598

6868

7277

7571

17

S

5229

5398

5567

5652

5921

6189

6445

6700

6968

7382

7675

18

B

5181

5350

5517

5601

5870

6141

6425

6684

6953

7367

7664

18

Q

5408

5583

5757

5851

6138

6424

6714

6989

7268

7703

8011

18

S

5495

5673

5853

5947

6236

6522

6817

7090

7372

7799

8114

19

B

5456

5633

5808

5901

6203

6495

6794

7084

7379

7828

8140

19

Q

5698

5884

6067

6168

6485

6783

7108

7402

7714

8179

8507

19

S

5793

5978

6168

6274

6588

6889

7207

7506

7817

8280

8611

20

B

5757

5946

6133

6235

6550

6853

7181

7494

7804

8278

8610

20

Q

6014

6209

6404

6517

6844

7168

7508

7830

8156

8654

9001

20

S

6108

6308

6506

6620

6946

7268

7607

7931

8257

8752

9102

21

B

6078

6274

6472

6587

6924

7258

7597

7941

8274

8790

9141

21

Q

6346

6553

6760

6883

7235

7586

7938

8302

8650

9187

9554

21

S

6439

6650

6860

6984

7335

7684

8043

8402

8747

9287

9657

22

B

6422

6628

6837

6962

7325

7681

8045

8418

8767

9313

9687

22

Q

6704

6921

7140

7274

7655

8030

8406

8794

9166

9733

10119

22

S

6798

7023

7244

7379

7751

8132

8507

8899

9271

9835

10229

23

B

6805

7027

7249

7385

7775

8175

8562

8955

9342

9935

10333

23

Q

7110

7342

7575

7720

8130

8544

8946

9363

9768

10379

10793

23

S

7201

7436

7670

7822

8228

8646

9049

9462

9870

10481

10896

24

B

7234

7473

7708

7859

8276

8712

9129

9552

9982

10609

11031

24

Q

7560

7805

8053

8215

8653

9103

9543

9979

10430

11086

11529

24

S

7653

7904

8153

8317

8751

9201

9639

10082

10533

11185

11632

25

B

7710

7961

8212

8377

8836

9303

9766

10229

10696

11382

11835

25

Q

8048

8312

8573

8752

9231

9715

10209

10695

11178

11893

12370

25

S

8141

8408

8675

8855

9333

9818

10306

10791

11274

11994

12478

26

B

8217

8485

8755

8940

9430

9931

10431

10919

11409

12143

12629

26

Q

8613

8893

9173

9371

9878

10401

10926

11438

11949

12722

13230

26

S

8691

8974

9256

9457

9973

10502

11032

11546

12064

12847

13362

27

B

8766

9054

9341

9544

10064

10592

11129

11652

12176

12962

13483

27

Q

9161

9461

9760

9975

10516

11072

11637

12180

12726

13549

14092

28

B

9195

9496

9796

10013

10555

11114

11680

12227

12775

13601

14147

29

B

9647

9961

10276

10506

11079

11664

12255

12830

13406

14274

14843

Effective January 1, 2024

Bargaining Unit: RC-063

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

11.5

B

3810

3932

4053

4092

4280

4475

4666

4854

5051

5354

5567

11.5

Q

3971

4099

4227

4267

4472

4680

4874

5073

5280

5593

5819

11.5

S

4042

4172

4301

4346

4552

4759

4955

5152

5357

5674

5899

14

B

4439

4583

4725

4785

4964

5159

5385

5580

5791

6132

6377

14

E

4439

4583

4725

4785

4964

5159

5385

5580

5791

6132

6377

14

Q

4627

4774

4925

4988

5174

5389

5621

5832

6056

6406

6660

14

L

4627

4774

4925

4988

5174

5389

5621

5832

6056

6406

6660

14

S

4708

4861

5012

5080

5278

5484

5722

5938

6158

6509

6766

14

P

4708

4861

5012

5080

5278

5484

5722

5938

6158

6509

6766

15

B

4611

4762

4911

4975

5194

5408

5618

5845

6066

6432

6685

15

Q

4809

4965

5122

5191

5417

5644

5870

6113

6339

6715

6988

15

S

4896

5055

5214

5284

5519

5742

5974

6217

6442

6822

7094

16

B

4824

4980

5136

5207

5438

5679

5914

6161

6407

6787

7059

16

Q

5030

5194

5358

5431

5679

5940

6185

6441

6697

7095

7382

16

S

5126

5293

5455

5537

5781

6040

6289

6541

6801

7193

7483

17

B

5051

5214

5377

5455

5706

5969

6221

6474

6736

7137

7424

17

Q

5265

5436

5607

5692

5963

6237

6500

6763

7040

7459

7760

17

S

5360

5533

5706

5793

6069

6344

6606

6868

7142

7567

7867

18

B

5311

5484

5655

5741

6017

6295

6586

6851

7127

7551

7856

18

Q

5543

5723

5901

5997

6291

6585

6882

7164

7450

7896

8211

18

S

5632

5815

5999

6096

6392

6685

6987

7267

7556

7994

8317

19

B

5592

5774

5953

6049

6358

6657

6964

7261

7563

8024

8344

19

Q

5840

6031

6219

6322

6647

6953

7286

7587

7907

8383

8720

19

S

5938

6127

6322

6431

6753

7061

7387

7694

8012

8487

8826

20

B

5901

6095

6286

6391

6714

7024

7361

7681

7999

8485

8825

20

Q

6164

6364

6564

6680

7015

7347

7696

8026

8360

8870

9226

20

S

6261

6466

6669

6786

7120

7450

7797

8129

8463

8971

9330

21

B

6230

6431

6634

6752

7097

7439

7787

8140

8481

9010

9370

21

Q

6505

6717

6929

7055

7416

7776

8136

8510

8866

9417

9793

21

S

6600

6816

7032

7159

7518

7876

8244

8612

8966

9519

9898

22

B

6583

6794

7008

7136

7508

7873

8246

8628

8986

9546

9929

22

Q

6872

7094

7319

7456

7846

8231

8616

9014

9395

9976

10372

22

S

6968

7199

7425

7563

7945

8335

8720

9121

9503

10081

10485

23

B

6975

7203

7430

7570

7969

8379

8776

9179

9576

10183

10591

23

Q

7288

7526

7764

7913

8333

8758

9170

9597

10012

10638

11063

23

S

7381

7622

7862

8018

8434

8862

9275

9699

10117

10743

11168

24

B

7415

7660

7901

8055

8483

8930

9357

9791

10232

10874

11307

24

Q

7749

8000

8254

8420

8869

9331

9782

10228

10691

11363

11817

24

S

7844

8102

8357

8525

8970

9431

9880

10334

10796

11465

11923

25

B

7903

8160

8417

8586

9057

9536

10010

10485

10963

11667

12131

25

Q

8249

8520

8787

8971

9462

9958

10464

10962

11457

12190

12679

25

S

8345

8618

8892

9076

9566

10063

10564

11061

11556

12294

12790

26

B

8422

8697

8974

9164

9666

10179

10692

11192

11694

12447

12945

26

Q

8828

9115

9402

9605

10125

10661

11199

11724

12248

13040

13561

26

S

8908

9198

9487

9693

10222

10765

11308

11835

12366

13168

13696

27

B

8985

9280

9575

9783

10316

10857

11407

11943

12480

13286

13820

27

Q

9390

9698

10004

10224

10779

11349

11928

12485

13044

13888

14444

28

B

9425

9733

10041

10263

10819

11392

11972

12533

13094

13941

14501

29

B

9888

10210

10533

10769

11356

11956

12561

13151

13741

14631

15214

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE Y RC-063 (Educators, Juvenile Justice School Counselors and Special Education Resources Coordinators, AFSCME)

Title

Title Code

Bargaining Unit

Months

Education Levels

Pay Plan

Codes

Educator

13100

RC-063

12

All

E, L, & P

Educator

13100

RC-063

9

All

M, O, V, W & X

Juvenile Justice School Counselor

21970

RC-063

12

MA through MA +32

L & P

Special Education Resources Coordinator

41680

RC-063

12

All

L & P

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 8 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 8 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: RC-063

12-Month Lane

Educational Level

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

BA

E

5032

5195

5357

5438

5692

5942

6214

6534

6837

7418

7714

01

BA

L

5103

5270

5434

5517

5771

6030

6308

6630

6939

7528

7827

01

BA

P

5193

5360

5530

5614

5878

6126

6405

6730

7043

7626

7931

02

BA + 8 Hours

E

5164

5331

5497

5581

5839

6104

6424

6753

7071

7669

7977

02

BA + 8 Hours

L

5241

5411

5582

5667

5924

6190

6515

6847

7174

7782

8092

02

BA + 8 Hours

P

5332

5503

5676

5767

6029

6291

6616

6950

7277

7879

8194

03

BA + 16 Hours

E

5285

5456

5628

5715

5988

6293

6626

6945

7299

7915

8232

03

BA + 16 Hours

L

5359

5535

5709

5799

6074

6382

6724

7049

7405

8030

8353

03

BA + 16 Hours

P

5451

5628

5803

5896

6176

6486

6824

7148

7508

8132

8457

04

BA + 24 Hours

E

5404

5580

5752

5843

6137

6484

6826

7175

7523

8175

8503

04

BA + 24 Hours

L

5481

5660

5836

5931

6230

6578

6925

7284

7634

8292

8626

04

BA + 24 Hours

P

5575

5755

5939

6034

6326

6678

7023

7387

7736

8399

8733

05

MA

E

5540

5720

5900

5996

6313

6674

7029

7399

7744

8420

8758

05

MA

L

5618

5800

5981

6080

6405

6769

7132

7506

7864

8544

8889

05

MA

P

5714

5897

6083

6184

6505

6868

7228

7606

7965

8646

8992

06

MA + 16 Hours

E

5639

5823

6005

6105

6462

6818

7174

7546

7901

8591

8932

06

MA + 16 Hours

L

5720

5905

6091

6192

6551

6916

7279

7662

8015

8718

9066

06

MA + 16 Hours

P

5809

6000

6188

6292

6656

7015

7386

7762

8121

8811

9166

07

MA + 32 Hours

E

5808

5999

6186

6291

6646

7010

7375

7741

8101

8796

9149

07

MA + 32 Hours

L

5893

6084

6275

6381

6742

7113

7485

7859

8219

8922

9281

07

MA + 32 Hours

P

5984

6181

6374

6485

6841

7216

7586

7963

8319

9026

9388

Effective July 1, 2023

Bargaining Unit: RC-063

9-Month Lane

Educational Level

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

BA

M

3737

3858

3979

4014

4236

4467

4686

4926

5155

5659

5883

01

BA

O

3737

3858

3979

4014

4236

4467

4686

4926

5155

5659

5883

01

BA

V

3737

3858

3979

4014

4236

4467

4686

4926

5155

5659

5883

01

BA

W

3792

3915

4035

4073

4293

4533

4757

5001

5233

5742

5969

01

BA

X

3857

3981

4105

4144

4372

4605

4830

5074

5311

5817

6049

02

BA + 8 Hours

M

3850

3977

4100

4140

4362

4601

4839

5091

5333

5841

6076

02

BA + 8 Hours

O

3850

3977

4100

4140

4362

4601

4839

5091

5333

5841

6076

02

BA + 8 Hours

V

3850

3977

4100

4140

4362

4601

4839

5091

5333

5841

6076

02

BA + 8 Hours

W

3909

4035

4162

4205

4427

4668

4909

5162

5411

5929

6163

02

BA + 8 Hours

X

3977

4104

4233

4276

4504

4743

4984

5238

5488

6002

6240

03

BA + 16 Hours

M

3949

4077

4204

4247

4496

4748

4996

5234

5500

6033

6275

03

BA + 16 Hours

O

3949

4077

4204

4247

4496

4748

4996

5234

5500

6033

6275

03

BA + 16 Hours

V

3949

4077

4204

4247

4496

4748

4996

5234

5500

6033

6275

03

BA + 16 Hours

W

4005

4136

4263

4312

4561

4815

5069

5311

5580

6121

6368

03

BA + 16 Hours

X

4074

4205

4333

4383

4636

4893

5145

5387

5659

6197

6448

04

BA + 24 Hours

M

4058

4188

4319

4366

4630

4889

5147

5415

5673

6228

6479

04

BA + 24 Hours

O

4058

4188

4319

4366

4630

4889

5147

5415

5673

6228

6479

04

BA + 24 Hours

V

4058

4188

4319

4366

4630

4889

5147

5415

5673

6228

6479

04

BA + 24 Hours

W

4114

4247

4382

4431

4700

4961

5224

5497

5756

6316

6574

04

BA + 24 Hours

X

4186

4321

4458

4510

4772

5036

5295

5575

5833

6397

6656

05

MA

M

4180

4315

4450

4499

4762

5029

5299

5575

5839

6408

6666

05

MA

O

4180

4315

4450

4499

4762

5029

5299

5575

5839

6408

6666

05

MA

V

4180

4315

4450

4499

4762

5029

5299

5575

5839

6408

6666

05

MA

W

4239

4375

4513

4565

4833

5101

5375

5657

5931

6504

6766

05

MA

X

4310

4448

4587

4643

4909

5177

5451

5729

6005

6580

6843

06

MA + 16 Hours

M

4275

4414

4552

4606

4872

5142

5413

5692

5951

6533

6790

06

MA + 16 Hours

O

4275

4414

4552

4606

4872

5142

5413

5692

5951

6533

6790

06

MA + 16 Hours

V

4275

4414

4552

4606

4872

5142

5413

5692

5951

6533

6790

06

MA + 16 Hours

W

4336

4477

4619

4674

4941

5215

5492

5779

6039

6628

6892

06

MA + 16 Hours

X

4406

4548

4690

4750

5018

5290

5573

5854

6118

6700

6969

07

MA + 32 Hours

M

4403

4546

4688

4746

5013

5284

5560

5835

6106

6689

6960

07

MA + 32 Hours

O

4403

4546

4688

4746

5013

5284

5560

5835

6106

6689

6960

07

MA + 32 Hours

V

4403

4546

4688

4746

5013

5284

5560

5835

6106

6689

6960

07

MA + 32 Hours

W

4466

4610

4755

4814

5088

5360

5643

5925

6194

6784

7060

07

MA + 32 Hours

X

4534

4684

4828

4892

5160

5438

5719

6003

6270

6865

7142

Effective January 1, 2024

Bargaining Unit: RC-063

12-Month Lane

Educational Level

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

BA

E

5158

5325

5491

5574

5834

6091

6369

6697

7008

7603

7907

01

BA

L

5231

5402

5570

5655

5915

6181

6466

6796

7112

7716

8023

01

BA

P

5323

5494

5668

5754

6025

6279

6565

6898

7219

7817

8129

02

BA + 8 Hours

E

5293

5464

5634

5721

5985

6257

6585

6922

7248

7861

8176

02

BA + 8 Hours

L

5372

5546

5722

5809

6072

6345

6678

7018

7353

7977

8294

02

BA + 8 Hours

P

5465

5641

5818

5911

6180

6448

6781

7124

7459

8076

8399

03

BA + 16 Hours

E

5417

5592

5769

5858

6138

6450

6792

7119

7481

8113

8438

03

BA + 16 Hours

L

5493

5673

5852

5944

6226

6542

6892

7225

7590

8231

8562

03

BA + 16 Hours

P

5587

5769

5948

6043

6330

6648

6995

7327

7696

8335

8668

04

BA + 24 Hours

E

5539

5720

5896

5989

6290

6646

6997

7354

7711

8379

8716

04

BA + 24 Hours

L

5618

5802

5982

6079

6386

6742

7098

7466

7825

8499

8842

04

BA + 24 Hours

P

5714

5899

6087

6185

6484

6845

7199

7572

7929

8609

8951

05

MA

E

5679

5863

6048

6146

6471

6841

7205

7584

7938

8631

8977

05

MA

L

5758

5945

6131

6232

6565

6938

7310

7694

8061

8758

9111

05

MA

P

5857

6044

6235

6339

6668

7040

7409

7796

8164

8862

9217

06

MA + 16 Hours

E

5780

5969

6155

6258

6624

6988

7353

7735

8099

8806

9155

06

MA + 16 Hours

L

5863

6053

6243

6347

6715

7089

7461

7854

8215

8936

9293

06

MA + 16 Hours

P

5954

6150

6343

6449

6822

7190

7571

7956

8324

9031

9395

07

MA + 32 Hours

E

5953

6149

6341

6448

6812

7185

7559

7935

8304

9016

9378

07

MA + 32 Hours

L

6040

6236

6432

6541

6911

7291

7672

8055

8424

9145

9513

07

MA + 32 Hours

P

6134

6336

6533

6647

7012

7396

7776

8162

8527

9252

9623

Effective January 1, 2024

Bargaining Unit: RC-063

9-Month Lane

Educational Level

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

01

BA

M

3830

3954

4078

4114

4342

4579

4803

5049

5284

5800

6030

01

BA

O

3830

3954

4078

4114

4342

4579

4803

5049

5284

5800

6030

01

BA

V

3830

3954

4078

4114

4342

4579

4803

5049

5284

5800

6030

01

BA

W

3887

4013

4136

4175

4400

4646

4876

5126

5364

5886

6118

01

BA

X

3953

4081

4208

4248

4481

4720

4951

5201

5444

5962

6200

02

BA + 8 Hours

M

3946

4076

4203

4244

4471

4716

4960

5218

5466

5987

6228

02

BA + 8 Hours

O

3946

4076

4203

4244

4471

4716

4960

5218

5466

5987

6228

02

BA + 8 Hours

V

3946

4076

4203

4244

4471

4716

4960

5218

5466

5987

6228

02

BA + 8 Hours

W

4007

4136

4266

4310

4538

4785

5032

5291

5546

6077

6317

02

BA + 8 Hours

X

4076

4207

4339

4383

4617

4862

5109

5369

5625

6152

6396

03

BA + 16 Hours

M

4048

4179

4309

4353

4608

4867

5121

5365

5638

6184

6432

03

BA + 16 Hours

O

4048

4179

4309

4353

4608

4867

5121

5365

5638

6184

6432

03

BA + 16 Hours

V

4048

4179

4309

4353

4608

4867

5121

5365

5638

6184

6432

03

BA + 16 Hours

W

4105

4239

4370

4420

4675

4935

5196

5444

5720

6274

6527

03

BA + 16 Hours

X

4176

4310

4441

4493

4752

5015

5274

5522

5800

6352

6609

04

BA + 24 Hours

M

4159

4293

4427

4475

4746

5011

5276

5550

5815

6384

6641

04

BA + 24 Hours

O

4159

4293

4427

4475

4746

5011

5276

5550

5815

6384

6641

04

BA + 24 Hours

V

4159

4293

4427

4475

4746

5011

5276

5550

5815

6384

6641

04

BA + 24 Hours

W

4217

4353

4492

4542

4818

5085

5355

5634

5900

6474

6738

04

BA + 24 Hours

X

4291

4429

4569

4623

4891

5162

5427

5714

5979

6557

6822

05

MA

M

4285

4423

4561

4611

4881

5155

5431

5714

5985

6568

6833

05

MA

O

4285

4423

4561

4611

4881

5155

5431

5714

5985

6568

6833

05

MA

V

4285

4423

4561

4611

4881

5155

5431

5714

5985

6568

6833

05

MA

W

4345

4484

4626

4679

4954

5229

5509

5798

6079

6667

6935

05

MA

X

4418

4559

4702

4759

5032

5306

5587

5872

6155

6745

7014

06

MA + 16 Hours

M

4382

4524

4666

4721

4994

5271

5548

5834

6100

6696

6960

06

MA + 16 Hours

O

4382

4524

4666

4721

4994

5271

5548

5834

6100

6696

6960

06

MA + 16 Hours

V

4382

4524

4666

4721

4994

5271

5548

5834

6100

6696

6960

06

MA + 16 Hours

W

4444

4589

4734

4791

5065

5345

5629

5923

6190

6794

7064

06

MA + 16 Hours

X

4516

4662

4807

4869

5143

5422

5712

6000

6271

6868

7143

07

MA + 32 Hours

M

4513

4660

4805

4865

5138

5416

5699

5981

6259

6856

7134

07

MA + 32 Hours

O

4513

4660

4805

4865

5138

5416

5699

5981

6259

6856

7134

07

MA + 32 Hours

V

4513

4660

4805

4865

5138

5416

5699

5981

6259

6856

7134

07

MA + 32 Hours

W

4578

4725

4874

4934

5215

5494

5784

6073

6349

6954

7237

07

MA + 32 Hours

X

4647

4801

4949

5014

5289

5574

5862

6153

6427

7037

7321

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023

80 Ill. Adm. Code 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE Z RC-063 (Physicians, AFSCME)
Section 310.TABLE AA NR-916 (Departments of Central Management Services, Natural Resources and Transportation, Teamsters)
Section 310.TABLE AB RC-150 (Public Service Administrators Option 6, AFSCME) (Repealed)
Section 310.TABLE AC RC-036 (Public Service Administrators Option 8L Department of Healthcare and Family Services, INA)
Section 310.TABLE AD RC-184 (Blasting Experts, Blasting Specialists and Blasting Supervisors Department of Natural Resources, SEIU Local 73)
Section 310.TABLE AE RC-090 (Internal Security Investigators, Metropolitan Alliance of Police Chapter 294) (Repealed)

Title

Title Code

Bargaining Unit

Pay Grade

Physician

32200

RC-063

MD

Physician Specialist, Option A

32221

RC-063

MD-A

Physician Specialist, Option B

32222

RC-063

MD-B

Physician Specialist, Option C

32223

RC-063

MD-C

Physician Specialist, Option D

32224

RC-063

MD-D

Physician Specialist, Option E

32225

RC-063

MD-E

NOTES: Sub-Steps – Step 1a, 1b, and 1c shall be implemented for all employees hired on or after May 20, 2013, with a 3% step differential. Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 per month increases effective July 1, 2020 and July 1, 2021.

Stipend – Effective July 1, 2023, and implemented upon ratification of the Agreement, all bargaining unit employees on active payroll shall receive a $1,200 stipend.

General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: July 1, 2023, 4.0%; January 1, 2024, 2.5%; July 1, 2024, 4.0%; July 1, 2025, 3.95%; and July 1, 2026, 3.5%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Pay – Effective January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 7 in the same or higher pay grade on or before January 1, 2002, the Step 8 rate shall be increased by $50 per month. For employees not eligible for longevity pay on or before January 1, 2002, the Step 8 rate shall be increased by $25 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade, the Step 8 rate shall be increased by $50 per month. Effective July 1, 2010, the Step 8 rate shall be increased by $50 per month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2010, the Step 8 rate shall be increased by $75 per month. Effective July 1, 2013, the Step 6 rate shall be increased by $25 per month to $75 a month for those employees who attain 10 years of continuous service and have three or more years of creditable service on Step 6 in the same or higher pay grade on or before July 1, 2013. For those employees who attain 15 years of continuous service and have three or more years of creditable service on Step 6 in the same or higher pay grade on or before July 1, 2013, the Step 6 rate shall be increased by $25 per month to $100 a month. Employees whose salaries are red-circled above the maximum Step rate continue to receive all applicable general increases and any other adjustments (except the longevity pay) provided for in an applicable collective bargaining agreement. For these employees, the longevity pay shall be limited to the amount that would increase the employee's salary to the amount that is equal to that of an employee on the maximum Step rate with the same number of years of continuous and creditable service. Employees receiving the longevity pay shall continue to receive the longevity pay as long as they remain in the same or successor classification as a result of a reclassification or reevaluation. Employees who are eligible for the increase provided for longevity pay on or before January 1, 2002, shall continue to receive longevity pay after being placed on Step 6 while they remain in the same or lower pay grade. Effective January 1, 2024, longevity shall be increased by $30 to $105 per month for those employees who attain ten years of continuous service and have three or more years of creditable service on Step 8. For those employees who attain fifteen years of continuous service and have three or more years of creditable service on Step 8, longevity shall be increased by $30 to $130 per month.

Effective July 1, 2023

Bargaining Unit: RC-063

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

MD

B

11092

11456

11819

12096

12791

13492

14189

14895

15583

MD

Q

11590

11968

12347

12643

13368

14100

14829

15563

16286

MD

S

11680

12063

12445

12742

13467

14203

14931

15664

16391

MD-A

B

11724

12108

12491

12791

13582

14374

15165

15956

16744

MD-A

Q

12250

12651

13051

13368

14198

15021

15854

16677

17503

MD-A

S

12341

12744

13150

13467

14295

15126

15954

16781

17604

MD-B

B

12782

13199

13619

13952

14787

15629

16464

17307

18147

MD-B

Q

13357

13796

14234

14588

15455

16337

17212

18088

18963

MD-B

S

13448

13887

14329

14685

15560

16440

17310

18185

19066

MD-C

B

14265

14734

15201

15583

16511

17449

18374

19306

20234

MD-C

Q

14906

15394

15883

16286

17261

18236

19203

20177

21146

MD-C

S

14999

15492

15984

16391

17361

18335

19307

20276

21251

MD-D

B

15962

16487

17008

17449

18374

19306

20234

21162

22095

MD-D

Q

16677

17227

17773

18236

19203

20177

21146

22125

23094

MD-D

S

16768

17318

17868

18335

19307

20276

21251

22222

23191

MD-E

B

16915

17469

18024

18493

19480

20467

21451

22441

23422

MD-E

Q

17673

18254

18833

19328

20359

21393

22418

23451

24477

MD-E

S

17769

18355

18936

19434

20455

21488

22519

23554

24582

Effective January 1, 2024

Bargaining Unit: RC-063

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

MD

B

11369

11742

12114

12398

13111

13829

14544

15267

15973

MD

Q

11880

12267

12656

12959

13702

14453

15200

15952

16693

MD

S

11972

12365

12756

13061

13804

14558

15304

16056

16801

MD-A

B

12017

12411

12803

13111

13922

14733

15544

16355

17163

MD-A

Q

12556

12967

13377

13702

14553

15397

16250

17094

17941

MD-A

S

12650

13063

13479

13804

14652

15504

16353

17201

18044

MD-B

B

13102

13529

13959

14301

15157

16020

16876

17740

18601

MD-B

Q

13691

14141

14590

14953

15841

16745

17642

18540

19437

MD-B

S

13784

14234

14687

15052

15949

16851

17743

18640

19543

MD-C

B

14622

15102

15581

15973

16924

17885

18833

19789

20740

MD-C

Q

15279

15779

16280

16693

17693

18692

19683

20681

21675

MD-C

S

15374

15879

16384

16801

17795

18793

19790

20783

21782

MD-D

B

16361

16899

17433

17885

18833

19789

20740

21691

22647

MD-D

Q

17094

17658

18217

18692

19683

20681

21675

22678

23671

MD-D

S

17187

17751

18315

18793

19790

20783

21782

22778

23771

MD-E

B

17338

17906

18475

18955

19967

20979

21987

23002

24008

MD-E

Q

18115

18710

19304

19811

20868

21928

22978

24037

25089

MD-E

S

18213

18814

19409

19920

20966

22025

23082

24143

25197

Section 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE AA NR-916 (Departments of Central Management Services, Natural Resources and Transportation, Teamsters)

Effective January 1, 2020

Title

Title Code

Bargaining Unit

Pay Plan Code

Minimum Salary

Midpoint Salary

Maximum Salary

Cartographer III

06673

NR-916

B

4765

6530

8295

Civil Engineer I

07601

NR-916

B

4635

5823

7010

Civil Engineer II

07602

NR-916

B

4945

6490

8035

Civil Engineer III

07603

NR-916

B

5430

7215

9000

Civil Engineer Trainee

07607

NR-916

B

4365

5163

5960

End-User Computer Services Specialist I

13691

NR-916

B

4190

5753

7315

End-User Computer Services Specialist II

13692

NR-916

B

4765

6530

8295

End-User Computer Systems Analyst

13693

NR-916

B

5120

7138

9155

Engineering Technician I

13731

NR-916

B

2695

3715

4735

Engineering Technician II

13732

NR-916

B

3235

4463

5690

Engineering Technician III

13733

NR-916

B

3920

5348

6775

Engineering Technician IV

13734

NR-916

B

4790

6783

8775

Highway Construction Supervisor I

18525

NR-916

B

4345

5975

7605

Highway Construction Supervisor II

18526

NR-916

B

4855

6823

8790

Technical Manager I

45261

NR-916

B

3680

5040

6400

NOTES:

General Increases – The pay rates for all bargaining unit positions shall be increased the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Longevity Increase – Effective July 1, 2019 bargaining unit employees shall receive a one-time longevity increase based on the following years of service with any agency covered under this agreement:

Years of Service

Per Month

5-9.9

$50

10-14.9

$75

15-19.9

$95

20+

$115

Section 310.TABLE AB RC-150 (Public Service Administrators Option 6, AFSCME) (Repealed)

Section 310.APPENDIX A Negotiated Rates of Pay

Section 310.TABLE AC RC-036 (Public Service Administrators Option 8L Department of Healthcare and Family Services, INA)

Title

Title Code

Bargaining Unit

Pay Plan Code

Public Service Administrator, Option 8L (Department of Healthcare and Family Services' Office of Inspector General's Bureau of Administrative Legislation)

37015

RC-036

B

NOTES: Longevity Pay – Effective September 23, 2013, the Step 8 rate shall be increased by $75 a month for employees who attain 10 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013. For employees who attain 15 years of continuous service and have three or more years of creditable service on Step 8 in the same or higher pay grade on or before July 1, 2013, the Step 8 rate shall increase by $100 a month.

Effective July 1, 2022

RC-036 Bargaining Unit

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

6876

7104

7331

7557

7958

8377

8778

9185

9598

10201

10607

Section 310.TABLE AD RC-184 (Blasting Experts, Blasting Specialists and Blasting Supervisors Department of Natural Resources, SEIU Local 73)

Title

Title Code

Bargaining Unit

Pay Grade

Blasting Expert

04720

RC-184

22

Blasting Specialist

04725

RC-184

21

Blasting Supervisor

04730

RC-184

23

NOTES: General Increases – The pay rates for all bargaining unit classifications and steps shall be increased by the specified percentage amounts effective on the following dates: January 1, 2020, 1.50%; July 1, 2020, 2.10%; July 1, 2021, 3.95%; and July 1, 2022, 3.95%. Pay rates for each step and their effective dates are listed in the rate tables in this Section.

Step Increases – Employees shall receive a step increase to the next step upon satisfactory completion of 12 months creditable service.

Sub-Step Increases – Effective July 1, 2019, Step 1a, 1b, and 1c shall be increased by $25 per month, with subsequent $25 increases effective July 1, 2020 and July 1, 2021.

Effective July 1, 2022

Bargaining Unit: RC-184

Pay Grade

Pay Plan Code

S T E P S

1c

1b

1a

1

2

3

4

5

6

7

8

21

B

5841

6029

6218

6328

6656

6976

7301

7634

7952

8449

8786

22

B

6170

6370

6571

6691

7041

7384

7734

8091

8427

8952

9311

23

B

6538

6754

6966

7096

7473

7858

8229

8609

8981

9549

9932

Section 310.TABLE AE RC-090 (Internal Security Investigators, Metropolitan Alliance of Police Chapter 294) (Repealed)

History

• Source: Peremptory amendment at 47 Ill. Reg. 15712, effective October 18, 2023
• Source: Amended at 45 Ill. Reg. 8651, effective July 1, 2021) Section 310.APPENDIX A Negotiated Rates of Pay
• Source: Repealed by peremptory rulemaking at 37 Ill. Reg. 5925, effective April 18, 2013
• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022) Section 310.APPENDIX A Negotiated Rates of Pay
• Source: Amended at 46 Ill. Reg. 11713, effective July 1, 2022) Section 310.APPENDIX A Negotiated Rates of Pay
• Source: Repealed at 42 Ill. Reg. 5357, effective March 9, 2018

Chapter I Department of Central Management Services

Part 310 Pay Plan

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE A Frozen RC-104-Rates-of-Pay (Conservation Police Supervisors, Laborers' – ISEA Local #2002) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE C Frozen RC-056-Rates-of-Pay (Site Superintendents and Departments of Veterans' Affairs, Natural Resources, Human Services and Agriculture and Historic Preservation Agency Managers, IFPE) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE H Frozen RC-006-Rates-of-Pay (Corrections Employees, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE I Frozen RC-009-Rates-of-Pay (Institutional Employees, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE J Frozen RC-014-Rates-of-Pay (Clerical Employees, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE K Frozen RC-023-Rates-of-Pay (Registered Nurses, INA) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE M Frozen RC-110-Rates-of-Pay (Conservation Police Lodge) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE N Frozen RC-010-Rates-of-Pay (Professional Legal Unit, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE O Frozen RC-028-Rates-of-Pay (Paraprofessional Human Services Employees, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE P Frozen RC-029-Rates-of-Pay (Paraprofessional Investigatory and Law Enforcement Employees, IFPE) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE R Frozen RC-042-Rates-of-Pay (Residual Maintenance Workers, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE S Frozen VR-704-Rates-of-Pay (Departments of Corrections, Financial and Professional Regulation, Juvenile Justice and State Police Supervisors, Laborers' – ISEA Local #2002) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE T Frozen HR-010-Rates-of-Pay (Teachers of Deaf, IFT) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE V Frozen CU-500-Rates-of-Pay (Corrections Meet and Confer Employees) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE W Frozen RC-062-Rates-of-Pay (Technical Employees, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE X Frozen RC-063-Rates-of-Pay (Professional Employees, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE Y Frozen RC-063-Rates-of-Pay (Educator and Educator Trainees, AFSCME) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (repealed)

Section 310.TABLE Z Frozen RC-063-Rates-of-Pay (Physicians, AFSCME) (Repealed)
Section 310.TABLE AB Frozen RC-150-Rates-of-Pay (Public Service Administrators Option 6, AFSCME) (Repealed)
Section 310.TABLE AD Frozen RC-184-Rates-of-Pay (Public Service Administrators Option 8X Department of Natural Resources, SEIU Local 73) (Repealed)
Section 310.TABLE AE Frozen RC-090-Rates-of-Pay (Internal Security Investigators, Metropolitan Alliance of Police Chapter 294) (Repealed)

Section 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (Repealed)

Section 310.TABLE AB Frozen RC-150-Rates-of-Pay (Public Service Administrators Option 6, AFSCME) (Repealed)

Section 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (Repealed)

Section 310.TABLE AD Frozen RC-184-Rates-of-Pay (Public Service Administrators Option 8X Department of Natural Resources, SEIU Local 73) (Repealed)

Section 310.APPENDIX B Frozen Negotiated-Rates-of-Pay (Repealed)

Section 310.TABLE AE Frozen RC-090-Rates-of-Pay (Internal Security Investigators, Metropolitan Alliance of Police Chapter 294) (Repealed)

History

• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013
• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013
• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013
• Source: Repealed at 37 Ill. Reg. 16925, effective October 8, 2013

80 Ill. Adm. Code 310.APPENDIX C Comparison of Pay Grade or Salary Ranges Assigned to Classifications

Section 310.ILLUSTRATION A Classification Comparison Flow Chart: Both Classes are Whole

History

• Source: Old Appendix C repealed at 32 Ill. Reg. 9881, effective July 1, 2008; new Appendix C added at 37 Ill. Reg. 9939, effective July 1, 2013

80 Ill. Adm. Code 310.APPENDIX C Comparison of Pay Grade or Salary Ranges Assigned to Classifications

Section 310.ILLUSTRATION B Classification Comparison Flow Chart: One Class is Whole and One is Divided

History

• Source: Old Appendix C repealed at 32 Ill. Reg. 9881, effective July 1, 2008; new Appendix C added at 37 Ill. Reg. 9939, effective July 1, 2013

80 Ill. Adm. Code 310.APPENDIX C Comparison of Pay Grade or Salary Ranges Assigned to Classifications

Section 310.ILLUSTRATION C Classification Comparison Flow Chart: Both Classes are Divided

History

• Source: Old Appendix C repealed at 32 Ill. Reg. 9881, effective July 1, 2008; new Appendix C added at 37 Ill. Reg. 9939, effective July 1, 2013

80 Ill. Adm. Code 310.APPENDIX C Comparison of Pay Grade or Salary Ranges Assigned to Classifications

Section 310.ILLUSTRATION A Classification Comparison Flow Chart: Both Classes are Whole

Section 310.APPENDIX C Comparison of Pay Grade or Salary Ranges Assigned to Classifications

Section 310.ILLUSTRATION B Classification Comparison Flow Chart: One Class is Whole and One is Divided

Section 310.APPENDIX C Comparison of Pay Grade or Salary Ranges Assigned to Classifications

Section 310.ILLUSTRATION C Classification Comparison Flow Chart: Both Classes are Divided

History

• Source: Old Appendix C repealed at 32 Ill. Reg. 9881, effective July 1, 2008; new Appendix C added at 37 Ill. Reg. 9939, effective July 1, 2013
• Source: Old Appendix C repealed at 32 Ill. Reg. 9881, effective July 1, 2008; new Appendix C added at 37 Ill. Reg. 9939, effective July 1, 2013
• Source: Old Appendix C repealed at 32 Ill. Reg. 9881, effective July 1, 2008; new Appendix C added at 37 Ill. Reg. 9939, effective July 1, 2013

80 Ill. Adm. Code 310.APPENDIX D Merit Compensation System Salary Schedule

Effective January 1, 2024

Salary Range

Minimum Salary

Maximum Salary

MS-01

2284

3231

MS-02

2295

3728

MS-03

2306

4093

MS-04

2317

4357

MS-05

2328

4587

MS-06

2339

4698

MS-07

2350

4897

MS-08

2367

5108

MS-09

2464

5368

MS-10

2556

5802

MS-11

2611

6188

MS-12

2666

6242

MS-13

2779

6530

MS-14

2892

6577

MS-15

2900

6725

MS-16

3020

6917

MS-17

3059

6946

MS-18

3136

7275

MS-19

3174

7321

MS-20

3258

7746

MS-21

3341

7775

MS-22

3435

8127

MS-23

3528

8222

MS-24

3626

8402

MS-25

3724

8731

MS-26

3831

9208

MS-27

3937

9253

MS-28

4058

9714

MS-29

4178

9870

MS-30

4303

11350

MS-31

4432

12021

MS-32

4565

12795

MS-33

4702

13617

MS-34

4843

14577

MS-35

4988

15550

MS-36

5138

16661

MS-37

5292

17913

MS-38

5451

18339

MS-39

5615

18743

MS-60

8414

19954

MS-61

9093

21129

MS-62

9396

21664

MS-63

5783

23309

MS-64

10441

23510

MS-65

10812

24676

MS-66

10987

24953

MS-67

11163

25237

Effective January 1, 2023

Salary Range

Minimum Salary

Maximum Salary

MS-01

2121

3231

MS-02

2138

3728

MS-03

2155

4093

MS-04

2172

4357

MS-05

2189

4587

MS-06

2207

4698

MS-07

2280

4897

MS-08

2367

5108

MS-09

2464

5368

MS-10

2556

5802

MS-11

2611

6188

MS-12

2666

6242

MS-13

2779

6530

MS-14

2892

6577

MS-15

2900

6725

MS-16

3020

6917

MS-17

3059

6946

MS-18

3136

7275

MS-19

3174

7321

MS-20

3258

7746

MS-21

3341

7775

MS-22

3435

8127

MS-23

3528

8222

MS-24

3626

8402

MS-25

3724

8731

MS-26

3831

9208

MS-27

3937

9253

MS-28

4058

9714

MS-29

4178

9870

MS-30

4303

11350

MS-31

4432

12021

MS-32

4565

12795

MS-33

4702

13617

MS-34

4843

14577

MS-35

4988

15550

MS-36

5138

16661

MS-37

5292

17913

MS-38

5451

18339

MS-39

5615

18743

MS-60

8414

19954

MS-61

9093

21129

MS-62

9396

21664

MS-63

5783

23309

MS-64

10441

23510

MS-65

10812

24676

MS-66

10987

24953

MS-67

11163

25237

NOTE: Effective January 1, 2008, the merit compensation grade 12 in the Personnel Code [20 ILCS 415/8b.18(a) and (b) and 8b.19(a) and (b)] that formerly was indicated by MC-12 is MS-32.

History

• Source: Amended at 47 Ill. Reg. 10482, effective July 1, 2023

80 Ill. Adm. Code 310.APPENDIX E Teaching Salary Schedule (repealed)

History

• Source: Repealed at 8 Ill. Reg. 22844, effective November 14, 1984

80 Ill. Adm. Code 310.APPENDIX F Physician and Physician Specialist Salary Schedule (repealed)

History

• Source: Repealed at 8 Ill. Reg. 22844, effective November 14, 1984

80 Ill. Adm. Code 310.APPENDIX G Broad-Band Pay Range Classes Salary Schedule

Effective July 1, 2023

Title

Title Code

Minimum Salary

Maximum Salary

CMS Human Resources Advanced Specialist

08280

2895

9714

Health Information Administrator

18041

2674

7911

Human Resources Representative

19692

2324

6657

Human Resources Specialist

19693

2674

7911

Liquor Control Supervisor

23755

3116

11079

Public Service Administrator

37015

3116

11079

Residential Services Supervisor

38280

2324

6657

Senior Public Service Administrator, Option 3

40070

4295

16667

Senior Public Service Administrator, other than Option 3

40070

4295

13760

NOTE: The positions allocated to the Public Service Administrator and Senior Public Service Administrator titles that are assigned to the broad-banded salary range have options. See the definition of option in Section 310.500.

History

• Source: Amended at 47 Ill. Reg. 12738, effective August 14, 2023

Part 320 Position Classification Plan

80 Ill. Adm. Code 320.10 Legal Requirement

This Position Classification Plan has been prepared in accordance with the provisions of The Personnel Code (Ill. Rev. Stat. 1981, ch. 127, pars. 63b101-63b118 as amended).

80 Ill. Adm. Code 320.20 Statement of Policy

The principle of this plan is to provide a position classification system for positions subject to Jurisdiction A of the Personnel Code based upon similarity of duties performed, responsibilities assigned, and conditions of employment so that the same schedule of pay may be equitably applied to all positions in the same class.

80 Ill. Adm. Code 320.30 Coverage

This Position Classification Plan shall have jurisdiction over all classes and positions which are not exempted from Jurisdiction A by Section 4c of the Personnel Code and legislative action except as modified by Rules adopted pursuant to Section 4b of the Personnel Code.

80 Ill. Adm. Code 320.41 Salary and Wage Relationships

Salary ranges, salary rates and rates of pay for all positions and classes subject to this Position Classification Plan shall be as provided for in the Pay Plan. Such salary and wage ranges and rates of pay shall be as determined by the Director of Central Management Services to assure proper relationship with the competitive labor market consistent with the needs of the State.

80 Ill. Adm. Code 320.50 Class Specifications

The Department of Central Management Services shall maintain written specifications for each class created under this Position Classification Plan. Specifications shall include the class title, distinguishing features of work, illustrative examples of work, and desirable requirements. A copy of each specification shall be filed with the Civil Service Commission.

80 Ill. Adm. Code 320.60 Use of Class Titles

The title of each class shall be the official title of every position allocated to the class. This title or an officially designated code number shall be used on all payrolls and other personnel records and transactions.

80 Ill. Adm. Code 320.70 Allocation of New Positions

The Director of Central Management Services shall allocate all positions to classes upon receipt on the prescribed forms of statements of duties, responsibilities and requirements of such positions from the head of an operating agency. Such allocations become effective only after written approval of the Director of Central Management Services. Unless otherwise approved by the Director, there can be no more than one incumbent occupying each position established under this plan.

80 Ill. Adm. Code 320.80 Allocation Change of Existing Positions

The Director of Central Management Services shall change the allocations of existing positions when sufficient changes occur in duties, responsibilities or requirements of such positions as provided in the Rule on Position Classification and Allocation (80 Ill. Adm. Code 301).

80 Ill. Adm. Code 320.90 Allocation Reconsideration

Upon request of an employee whose position is affected by allocation action, the Director of Central Management Services shall reconsider the allocation as provided in the Rule on Position Classification and Allocation (80 Ill. Adm Code 301).

80 Ill. Adm. Code 320.100 Position Allocation Appeals

If, after reconsideration as provided in the Rule on Position Classification and Allocation, an employee does not accept the decision of the Director of Central Management Services upon the allocation of his/her position, he/she shall have the right of appeal to the Civil Service Commission as provided in the Personnel Code and the Rule on Position Classification and Allocation (80 Ill. Adm. Code 301).

80 Ill. Adm. Code 320.110 Commission Approval

The Department of Central Management Services shall submit to the Civil Service Commission for its approval this Position Classification Plan, class specifications, and any subsequent revisions thereof as required by Section 8a(1) of the Personnel Code.

80 Ill. Adm. Code 320.120 Effective Date

The effective date of this Position Classification Plan shall be October 24, 1960.

Part 330 State Employee Benefit Administration

80 Ill. Adm. Code 330.1 Definitions

"Employee" for purpose of this Part means any regular officer or employee who receives salary or wages for personal service rendered to the State of Illinois.

"Overtime" for purpose of this Part means any work performed by an employee in excess of the regular work schedule as directed or permitted by the agency and as regulated by Agency Rule, policy or labor agreement.

"Sick Leave" for purpose of this Part means approved paid time away from work by reason of an employee's mental or physical inability to perform assigned duties or for other reasons as regulated by Agency Rule, policy or labor agreement.

"Vacation" for purpose of this Part means approved paid time away from work for purpose of rest or relaxation for the employee as provided by Agency Rule, policy or labor agreement.

80 Ill. Adm. Code 330.3 Entitlement

Upon termination of employment from State service an employee, or the employee's estate, is entitled to lump sum payment for accrued vacation and overtime and for accrued sick leave days earned between January 1, 1984 and December 31, 1997.

History

• Source: Amended at 24 Ill. Reg. 16653, effective October 27, 2000

80 Ill. Adm. Code 330.5 Computation of Overtime Days

For purpose of this Part, overtime days eligible for lump sum payment shall be computed by determining the number of days, or fractions thereof, of overtime earned by the employee during the qualifying period and subtracting any days taken or liquidated, as determined by Agency Rule, policy or labor agreement.

80 Ill. Adm. Code 330.10 Computation of Sick Leave Days

For purpose of this Part, sick leave days eligible for lump sum payment shall be computed by determining the number of days, or fractions thereof, granted to the employee between January 1, 1984 and December 31, 1997, subtracting the number of qualifying days used between those dates as determined by Agency Rule, policy or labor agreement, and then dividing the resulting quantity by 2.

History

• Source: Amended at 24 Ill. Reg. 16653, effective October 27, 2000

80 Ill. Adm. Code 330.15 Computation of Vacation Days

For purpose of this Part, vacation days eligible for lump sum payment shall be computed by determining the number of days, or fractions thereof, earned by the employee during the qualifying period and subtracting any days taken or forfeited, as determined by Agency Rule, policy or labor agreement.

80 Ill. Adm. Code 330.30 Computation of Daily Salary Rate

The daily salary rate for any vacation, overtime or sick leave eligible for lump sum payment pursuant to this Part shall be determined by converting the base salary or wage to an annual amount and dividing the result by the number of work days per year provided by the Agency's normal or regular work schedule.

80 Ill. Adm. Code 330.50 Interpretation and Application of This Part

The Director of Central Management Services shall determine the proper interpretation and application of this Part. Such interpretation and application shall not impede the authority of an entity subject to these rules to establish, grant, administer and interpret employee benefit programs pursuant to its enabling authority. The decision of the Director as to the proper interpretation or application of any provision of this Part shall be final and binding upon all parties affected thereby unless or until modified or reversed by competent jurisdiction. Each state agency, whether or not subject to the Personnel Code, shall comply with the decision of the Director in the absence of a written opinion of the Attorney General or a finding of competent jurisdiction that such decision is unlawful.

Part 331 Back Wage Claim Administration

80 Ill. Adm. Code 331.1 Definitions

For purposes of this Part, the following terms shall have the meaning given below unless the context clearly requires otherwise:

"Chief Officer": The appointed or elected head of any constitutional office, department, agency, board or commission separately funded by appropriations of the General Assembly or the duly authorized designee of such Chief Officer;

"Day": Calendar day;

"Department": The Department of Central Management Services;

"Director": The Director of Central Management Services;

"Employee": Any regular officer or employee who receives salary or wages for personal services rendered to the State of Illinois;

"Fiscal Year": Any 12-month period beginning July 1 and ending the following June 30 or any 12-month period designated by the Illinois General Assembly for purpose of appropriations;

"Operating Agency": The organizational entity headed by a Chief Officer.

80 Ill. Adm. Code 331.5 Entitlement

Any employee of the State of Illinois who has reason to believe that he or she is owed back wages from a prior fiscal year is entitled to file a claim for such back wages with the Director of Central Management Services. For purposes of this Section, entitlement is retained by an individual who for any reason leaves State service subsequent to the events giving rise to the entitlement. Entitlement also accrues to the estate of a deceased employee. Any claim less than $1.00 shall be considered de minimis and such claim shall be dismissed from this proceeding.

80 Ill. Adm. Code 331.7 Basis for Back Wage Claim

Any claim for back wages shall be based on one or more of the following final settlements or judgments:

a) a grievance decision at any step, including arbitration;

b) a decision, direction or finding by any administrative tribunal;

c) a finding, decision or order by any court of competent jurisdiction; or,

d) a settlement as a part of or result of any adjudicatory, trial or appellate process pursuant to law.

80 Ill. Adm. Code 331.10 Application

Any claim for back wages shall be made to the Department on a form it shall provide. A xerographic or computer-generated form shall be acceptable. Such claim shall be filed with the Department by the employee, the employee's certified collective bargaining representative or the employee's attorney. The Director shall accept group or multiple claims where such claims arise from the same event or involve common issues.

80 Ill. Adm. Code 331.20 Timeliness

Any claim for back wages shall be received in the Department not later than 365 days after the occurrence of the action provided in Section 331.7 giving rise to or creating the authorization for the claim, except that any claim pending before another forum on January 31, 1986, shall be exempt from such requirement.

80 Ill. Adm. Code 331.30 Mitigation

Any claim for back wages shall be reduced by the operating agency by the amount of money the employee received as wages, unemployment benefits or public assistance from any source during the period claimed for back wages.

80 Ill. Adm. Code 331.35 Withholding

Any claim payment made by the Director shall be subject to all wage withholding provisions.

80 Ill. Adm. Code 331.40 Claim Approval

The Director shall obtain written certification by the chief officer of the employing agency that: the claim is valid; the amount claimed is proper and mitigated under Section 331.30 if appropriate; and the fiscal year and its lapse period for the period of back wages claimed have expired. Upon receipt of such certification, if the Attorney General filed an appearance in the proceeding concerning the wage claim settlement or judgement, the Director shall seek and obtain written certification by the Attorney General of the validity of the claim. No claim shall be paid in the absence of such certification by the Chief Officer and/or the Attorney General.

History

• Source: Amended at 24 Ill. Reg. 16649, effective October 27, 2000

80 Ill. Adm. Code 331.45 Claim Disposition

The Director shall dispose of each claim by:

a) authorizing payment;

b) notifying employee of amount payable as determined by the operating agency if different from the amount claimed; or,

c) dismissing the claim without payment.

80 Ill. Adm. Code 331.46 Notice of Dismissal

In event the Director dismisses a claim for failure to meet the requirements of Section 331.40 or 331.48, the Director shall notify the claimant by certified mail, return receipt requested, of the dismissal and the basis for such dismissal within 30 days of such finding.

80 Ill. Adm. Code 331.48 Duplicate Claims

The Director shall not authorize payment for any claim which duplicates a prior claim or payment made by any other jurisdiction. If an employee seeks payment from any other jurisdiction during the pendency of a claim in the Department, the Director shall dismiss the claim as provided in Section 331.45.

80 Ill. Adm. Code 331.50 Limit of Liability

The Director shall not pay more than $150,000 to any claimant for any single claim in one fiscal year nor more than $150,000 in aggregate to any individual claimant in a fiscal year.

80 Ill. Adm. Code 331.60 Funding

In event valid claims in any fiscal year exceed the amount appropriated for that year, the Department shall continue to receive claims, holding them until funds are available for such payments. The Director shall notify each claimant of the lack of funds and the holding of the claim pending the availability of funds. Claims so deferred shall be paid when funds are available in the order the claims were approved for payment.

80 Ill. Adm. Code 331.70 Payment

The Director shall forward by regular mail the warrant drawn in payment of a claim to the claimant in care of the claimant's representative, if any, or to the claimant. The claimant shall be responsible for providing the Department with her or his correct address.

History

• Source: Amended at 24 Ill. Reg. 16649, effective October 27, 2000

80 Ill. Adm. Code 331.80 Waiver

The Director shall apprise a claimant of the amount determined by the operating agency to be appropriate for a claim if different than the amount claimed. The employee shall be provided an opportunity to waive the amount originally claimed in favor of the amount determined appropriate or to file an amended claim prior to final disposition of the claim. Failure to waive the amount requested or to file an amended claim within 30 days of receipt of such notice shall be cause for the Director to dismiss the claim in accordance with Section 331.45.

80 Ill. Adm. Code 331.90 Appeal

An employee who does not accept disposition of a claim by the Department is entitled to file such claim in the Court of Claims. Such disposition is not grievable nor appealable. Disposition by the Director does not constitute a final administrative decision for purposes of Article III of the Administrative Review Law (Ill. Rev. Stat. 1983, ch. 110, pars. 3-101 et seq.).

80 Ill. Adm. Code 331.100 Interpretation and Application of This Part

The Director shall determine the proper interpretation and application of this Part. Such interpretation and application shall not impede the authority of any entity subject to these rules to administer wage and salary programs, to administer dispute resolution programs, to enter into collective bargaining agreements, or to perform any other act pursuant to its enabling authority. The decision of the Director as to the proper interpretation or application of any provision of this Part shall be final and binding upon all parties affected thereby unless or until modified by competent jurisdiction. Each State agency, whether or not subject to the Personnel Code (Ill. Rev. Stat. 1983, ch. 127, pars. 63b101 et seq.), shall comply with the decision of the Director in the absence of a written opinion of the Attorney General or a finding of competent jurisdiction that such decision is unlawful.

Part 332 Organ Donor Leave

80 Ill. Adm. Code 332.1 Purpose

This Part governs the operation of plans allowing time off with pay for State employees who donate an organ, bone marrow, blood, or blood platelets. This Part does not apply to time off taken for the purpose of preliminary compatibility testing and/or screening for organ or bone marrow transplant.

80 Ill. Adm. Code 332.2 Definitions

"Agency" means any branch, department, board, committee, or commission of State government, but does not include units of local government, school districts, or boards of election commissioners.

"Participating employee" means a permanent full-time or part-time employee who has been employed by an agency for a period of 6 months or more and who donates an organ, bone marrow, blood, or blood platelets.

"Medical documentation" for purposes of donating an organ or bone marrow means a written statement by a physician or medical practitioner licensed under the Medical Practice Act or under similar laws of Illinois or another state or country.

"Medical documentation" for purposes of donating blood or platelets means a written statement from the American Red Cross or blood bank indicating that the employee donated or attempted to donate blood or blood platelets.

80 Ill. Adm. Code 332.3 Organ Donor

a) On request, a participating employee may be entitled to Organ Donor Leave with pay. An employee may use:

1. up to 30 days of Organ Donor Leave in any 12-month period to serve as a bone marrow donor; or

2. up to 30 days of Organ Donor Leave in any 12-month period to serve as an organ donor.

b) An employee may use Organ Donor Leave only after obtaining approval from the employee's agency. Medical documentation of the proposed organ or bone marrow donation shall be required before leave is approved by the employing agency.

80 Ill. Adm. Code 332.4 Blood Donor

a) On request, a participating employee may be entitled to use:

1. up to one hour or more to donate or attempt to donate blood every 56 days, and

2. up to 2 hours or more to donate or attempt to donate blood platelets in accordance with appropriate medical standards established by the American Red Cross or other nationally recognized standards. Leave to donate blood platelets may not be granted more than 24 times in a 12-month period.

b) An employee may be required to submit medical documentation to the employee's agency after donating or attempting to donate blood or blood platelets.

c) An employee may use leave only after obtaining approval from the employee's agency. [5 ILCS 327/20]

History

• Source: Amended at 33 Ill. Reg. 7859, effective June 1, 2009

80 Ill. Adm. Code 332.5 Impact on Accumulated Benefit Time

An employee will not be required to use accumulated sick or vacation leave benefit time before becoming eligible for any provision mentioned in this Part.

Chapter II Secretary of State

Part 410 Position Classification Plan

80 Ill. Adm. Code 410.10 Legal Requirement

This Position Classification Plan has been prepared in accordance with the provisions of Public Act 80-13 (Secretary of State Merit Employment Code) (Ill. Rev. Stat. 1983, ch. 124, pars. 101 et seq.).

80 Ill. Adm. Code 410.20 Statement of Policy

The principle of this plan is to provide a position classification system for positions subject to Jurisdiction A of the Secretary of State Merit Employment Code based upon similarity of duties performed, responsibilities assigned, similarity of necessary job qualifications and conditions of employment so that the same schedule of pay may be equitably applied to all positions in the same class.

80 Ill. Adm. Code 410.30 Coverage

This Position Classification Plan shall have jurisdiction over all classes and positions which are not exempted by Section 5b of the Secretary of State Merit Employment Code and legislative action except as modified by rules adopted pursuant to Section 10 of the Secretary of State Merit Employment Code.

80 Ill. Adm. Code 410.40 Salary and Wage Relationships

Salary ranges, salary rates and rates of pay for all positions and classes subject to this Position Classification Plan shall be as provided for in the Pay Plan of the office of the Secretary of State. Such salary and wage ranges and rates of pay shall be as determined by the Director of Personnel to assure proper relationships with the competitive labor market consistent with the needs of the Office of the Secretary of State.

80 Ill. Adm. Code 410.50 Class Specifications

The Department of Personnel shall maintain written specifications for each class established under this Position Classification Plan. Specifications shall include the class title, distinguishing features of the class, illustrative duties and responsibilities and class requirements.

80 Ill. Adm. Code 410.60 Use of Class Titles

The title of each established class shall be the official title of every position allocated to the class. This title or an officially designated code number shall be used on all payrolls and other personnel records and transactions.

80 Ill. Adm. Code 410.70 Allocation of New Positions

The Director of Personnel shall allocate all positions to classes upon receipt of the necessary statements of duties, responsibilities and requirements of such positions from the head of an operating organizational entity within the Office of the Secretary of State. Such allocations become effective only after approval of the Director of Personnel. Unless authorized by the Director of Personnel, no more than one incumbent may occupy each position established under this Plan.

80 Ill. Adm. Code 410.80 Allocation Change of Existing Positions

The Director of Personnel shall change the allocation of existing positions when sufficient changes occur in duties, responsibilities, requirements or other appropriate criteria as established by the Director of Personnel of such positions as provided in 80 Ill. Adm. Code 420.120.

80 Ill. Adm. Code 410.85 Reclassification of Existing Positions

The Director of Personnel shall reclassify existing positions as a result of the abolishment of old class titles and the establishment of new class titles where the duties, responsibilities and requirements of affected positions remain essentially the same. This action, in regards to pay, shall be processed in accordance with the appropriate provisions of the Pay Plan of the office of the Secretary of State.

80 Ill. Adm. Code 410.90 Allocation Reconsideration

Upon written request of an employee whose position is affected by allocation action, the Director of Personnel shall reconsider the allocation as provided in 80 Ill. Adm. Code 420.120.

80 Ill. Adm. Code 410.100 Allocation Appeal

If, after reconsideration as provided in this Part, an employee is still in disagreement with the decision of the Director of Personnel upon the allocation of his/her position, he/she shall have the right to appeal to the Merit Commission as provided in the Secretary of State Merit Employment Code and this Part.

80 Ill. Adm. Code 410.110 Commission Approval

The Department of Personnel shall submit to the Merit Commission for its approval this Position Classification Plan, all class specifications, and any revisions or abolitions thereof as required by Section 8c of the Secretary of State Merit Employment Code.

80 Ill. Adm. Code 410.120 Effective Date

The effective date of this Position Classification Plan shall be upon approval of the Merit Commission.

Part 420 Department of Personnel

80 Ill. Adm. Code 420.10 Definitions

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

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

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

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

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

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

"Commission": The Secretary of State Merit Commission.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.200 Positions

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

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.210 Position Classification

a) Classification Plan: The Director of Personnel shall maintain, and revise when necessary, a uniform position classification plan for positions under the Merit Employment Code based on the similarity of duties and responsibilities assigned so that the same schedule of pay may be equitably applied to all positions in the same class, under the same or substantially the same employment conditions. It shall be the responsibility of the department directors to report to the Director of Personnel any significant changes in the duties of every position within their department.

b) Allocation:

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

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

c) Reconsideration:

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

2. After such investigation, the Director of Personnel shall render a decision in writing and it shall be served on the employee in person or by certified mail, return receipt requested, at the last address shown in the official personnel file. The effective date of the Director of Personnel's reconsidered decision shall be the same as the effective date of the original allocation decision by the Director of Personnel.

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

d) Assignment to Other Classes: An employee whose position has been allocated to a class having a higher, lower or same maximum permissible salary or rate may remain in the position, provided, however, that the Director of Personnel shall determine, in the case of allocation to a class having a higher maximum salary or rate, whether, considering the nature of such change in duties, the employee is qualified for the position. In the case of allocation to a class having a lower maximum salary or rate, due to loss of duties or responsibilities after appointment to such position, the pay of such employee shall not be required to be lowered for a period of one year after the position allocation, in accordance with the Secretary of State Pay Plan, Section 10.00(b) (on file in the Secretary of State's Department of Personnel).

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

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

g) Temporary Assignment:

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

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

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

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

History

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

80 Ill. Adm. Code 420.220 Pay Plan

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

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

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

History

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

80 Ill. Adm. Code 420.300 Application and Examination

a) Examinations:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1. No applicant may retake a test or tests included within an examination until 14 calendar days have elapsed.

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

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

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

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

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

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

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

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

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

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

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

j) Residency Requirement: Applicants who are not residents of the State of Illinois may be appointed only upon the waiver of residency requirements by the Director of Personnel and only when there are fewer than three qualified residents of Illinois available, including statewide candidates or candidates on the eligibility list for the geographical area in which the position is located.

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

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

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

History

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

80 Ill. Adm. Code 420.310 Appointment and Selection

a) Eligible Lists: The Department of Personnel shall establish and maintain lists of qualified applicants for positions covered by Jurisdiction B of the Code. Such applicants shall have successfully qualified through competitive examinations as provided in Section 420.300(a). The names of qualified applicants shall be arranged in the order of their relative excellence, whether by numerical grade or category grouping. The length of time an eligible applicant's name may remain on the eligible list shall be established by the Director of Personnel.

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

c) Geographical Preference: Applicants for employment shall specify one or more of the locations or areas in which they will accept employment from those choices made available at the time of examination or that may be made available at a later date. Unless otherwise noted in the examination announcement, applicants may select a statewide preference, but will not be considered for employment until all available candidates for the specific geographical location have been exhausted.

d) Removal of Names From Eligible Lists:

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

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

B) Death of an eligible applicant;

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

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

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

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

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

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

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

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

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

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

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

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

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

G) Poor work history of the eligible applicant;

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

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

J) After eligible applicant accepts promotion;

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

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

M) Conviction of a crime involving alcohol or drugs.

e) Replacement of Names on Eligible List:

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

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

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

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

2. Names so restored shall be at the grade in effect when the removal from the list was made and may not remain on the list after that period of time equal to the unexpired time remaining of the original eligibility, except as provided in subsection (e)(1)(B).

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

g) Extension of Jurisdiction B:

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

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

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

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

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

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

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

5. By present employees (May 24, 1977) who having passed examinations in accordance with the Personnel Code under the Governor of the State of Illinois, but who have not completed the probationary period shall be continued in their positions and be given credit for such probationary time toward the completion of the probationary period provided by this Part;

6. By all other present employees subject to Jurisdiction B who shall be continued in their positions providing that they have passed a qualifying examination within 9 months after May 24, 1977;

7. By present employees (May 24, 1977) or past employees who have rights or privileges arising under the Personnel Code under the Governor of Illinois or through judicial process and who shall be continued in the extent of such rights and privileges;

8. By an appointment to a position through promotion of an employee who is qualified pursuant to Section 420.370(b);

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

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

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

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

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

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

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

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

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

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

1. Exempt: For persons in positions not subject to Jurisdiction B. If an exempt employee's position becomes subject to Jurisdiction B by reason of extension of Jurisdiction B, pursuant to Section 5d and 10d of the Code, the employee shall establish eligibility for the position by passing satisfactorily a qualifying examination prescribed by the Director of Personnel within 6 months after the extension of Jurisdiction B to the position. In all other cases, if an exempt employee's position becomes subject to Jurisdiction B, the employee shall establish eligibility for the position within 6 months by successfully competing in the open competitive examination and receiving a probationary appointment according to applicable rules.

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

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

4. Provisional: For persons in positions for which there are fewer than 10 available eligibles on the open competitive eligible list, if the list is in order of numeric examination grade, or fewer than 3 available eligibles, if the list is in category groupings. No positions shall be filled by provisional appointment for more than 6 months out of any 12 month period. If a provisional employee's position is allocated to a class for which there are available eligibles, eligibility for the positions shall be established within 90 days through successfully competing in the open competitive examination and receiving a probationary appointment according to subsection (i)(5).

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

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

History

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

80 Ill. Adm. Code 420.320 Trainees

a) Trainee Appointments: The Director of Personnel may establish trainee or apprenticeship programs for new and/or incumbent employees in accordance with the Position Classification Plan (80 Ill. Adm. Code 410) or at the request of an operating department. No trainee position under this Section shall be established in any class other than a trainee class. A trainee or apprenticeship program shall prescribe the purposes, objectives, curriculum, benefits and duration. Trainee or apprenticeship programs may be established for one or more of the following reasons and purposes and shall be for the duration stated in the class specifications:

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

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

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

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

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

b) Limitations on Trainee Appointments:

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.330 Intermittents

a) Intermittent Positions: The Director of Personnel shall, as required to fulfill the operating needs of a department, establish intermittent positions to perform work seasonal in nature or to help in periods of increased workloads. Intermittent positions shall not be established in lieu of permanent positions, but intermittent employees may substitute for absent employees. Appointments will be made to intermittent positions in the same manner as appointments to other permanent positions.

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

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

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

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

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

3. The continuous service of an intermittent employee shall be computed on the basis of hours worked, each 7½ hours being equivalent to one day.

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

5. Employees refusing to be scheduled 3 times in one calendar quarter shall be considered for discharge for failure to perform assigned duties, if given 24 hour notice of scheduling, unless proof of illness or death in the family is presented.

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

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

History

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

80 Ill. Adm. Code 420.340 Continuous Service

a) Definition:

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

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

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

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

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

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

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

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

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

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

3. Time away from work because of layoff.

d) Veterans' Continuous Service:

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.350 Performance Evaluation Forms

a)

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.360 Probationary Status

a) Probationary Period:

1. A probationary period of 6 months (979 hours for intermittent and permanent part-time) shall be served by:

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

B) an employee who is reinstated as provided under Section 420.420(b);

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

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

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

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

History

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

80 Ill. Adm. Code 420.370 Promotions

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

b) Eligibility for Promotion:

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

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

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

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

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

d) Failure to Complete Probationary Period:

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

2. An employee who is demoted or one who accepts a voluntary reduction, during a probationary period shall serve a probationary period as provided in Section 420.360(a) unless the employee had previously held certified status in the former class, in which case the return shall be to certified status.

3. A promoted employee previously certified may be discharged for cause during the probationary period. The employee has the same rights to appeal as a certified employee.

History

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

80 Ill. Adm. Code 420.380 Employee Transfers

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

b) Geographical Transfer: Geographical transfer is the transfer of an employee from one geographical location in the State to another for the performance of duties other than temporary assignments or details for the convenience of the employer. Geographical transfers shall be made only with the approval of the Director of Personnel. An employee who refuses to accept a geographical transfer must report for duty at the new location but may make written appeal of the transfer to the Merit Commission within 15 days after the effective date of the transfer. An employee shall be reimbursed for all reasonable transportation and moving expenses incurred in moving to a new location because of permanent geographical transfer unless the transfer was applied for by the employee. Reasonable transportation and moving expenses shall be the lowest of 3 bids, unless the lowest bidder is not responsible or available. Notice of an approved management directed geographical transfer shall be served on the employee by the operating department in person or by certified mail, return receipt requested, at the employee's last address appearing in the official personnel file.

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

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

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

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

History

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

80 Ill. Adm. Code 420.390 Demotion

a) Definition:

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

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

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

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

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

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

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

g) Status of Demoted Employees: A demoted certified employee shall be certified in the class to which demoted and shall not be required to serve a new probationary period. Subject to Section 420.360(a), a demoted probationary employee shall serve a new probationary period in the class to which he/she is demoted.

History

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

80 Ill. Adm. Code 420.400 Layoffs and Reemployment

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

b) Layoff Procedure:

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

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

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

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

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

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

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

c) Order of Layoff:

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

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

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

2. Within status groups and in accordance with the layoff plan submitted under subsection (b), consideration shall be given to performance records and Secretary of State continuous service.

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

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

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

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

g) Reemployment Lists:

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

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

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

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

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

2. By provisional appointment;

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

4. By merit system transfer in.

i) Removal of Names from Reemployment List:

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

A) The employee is recalled from layoff;

B) The employee refuses an offer of permanent reemployment;

C) The employee's name has remained on the reemployment list for 12 months; or

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

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

j) Laid Off Probationary Employee:

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

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

History

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

80 Ill. Adm. Code 420.410 Voluntary Reduction

a) Voluntary Reduction of Certified and Probationary Employees:

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.415 Sworn Personnel--Inter-Agency Assignment

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

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

c) Limitations on Inter-Agency Assignments:

1. Inter-Agency assignments are voluntary.

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

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

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

d) Rights of Assigned Employees:

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

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

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

History

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

80 Ill. Adm. Code 420.420 Resignation and Reinstatement

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

b) Reinstatement:

1. The Director of Personnel may reinstate an employee who was formerly certified under the Secretary of State Merit Employment Code and who resigned or terminated in good standing or whose name was placed on a reemployment list. The reinstatement may be to a position in the class to which the employee was assigned prior to resignation, termination, downward allocation, transfer or layoff or to an equivalent or lower position in a related series. The Director of Personnel may reinstate an employee who was formerly certified under a merit system, including the Personnel Code, the State Universities Civil Service Act, the State Treasurer Employment Code or the Comptroller Merit Employment Code. A reinstated employee shall serve an additional 6 months probationary period in the position. Requests for reinstatement shall be accompanied by the employee's performance records when available.

2. A certified employee whose name appears on a reemployment list may be reinstated to a position other than a position to which the employee is eligible for reemployment. Reinstatement to a position in a lower pay grade than that for which the employee is eligible for reemployment shall have no effect on the employee's reemployment rights. Reinstatement to an equal or higher position than that for which the employee is eligible for reemployment shall result in removal of the employee's name from the reemployment list upon satisfactory completion of the new probationary period.

History

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

80 Ill. Adm. Code 420.430 Discipline, Discharge, and Termination

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

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

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

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

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

f) Discharge of Certified Employee:

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

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

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

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

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

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

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

k) Reinstatement from Suspension or Discharge: An employee who is reinstated following a period of suspension or discharge shall receive full compensation for that period. Full compensation shall represent total pay, with any vacation and sick leave benefits the suspended or discharged employee would have earned in the position classification during the period of suspension or discharge, less amounts earned by the employee from any other source, and unemployment compensation payments received during the period.

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.435 Return of State Property

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

History

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

80 Ill. Adm. Code 420.600 Grievance Procedure

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

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

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

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

e) Grievance Procedure – Level 1:

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

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

f) Grievance Procedure – Level 2:

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

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

g) Grievance Procedure – Level 3:

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

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

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

History

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

80 Ill. Adm. Code 420.610 Sick Leave

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

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

c) Reinstatement of Sick Leave:

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

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

d) Advancement of Sick Leave: An employee with more than 2 years continuous service whose personnel records warrant it may be advanced sick leave with pay for not more than 10 working days, with the written approval of the department and the Director of Personnel. Advances will be charged against sick leave accumulated later in subsequent service. No additional advance of sick time will be made until all previously advanced time is repaid.

e) Use of Sick Leave:

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

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

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

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

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

3. Sick leave may be used for illness, disability or injury of the employee or appointments with doctor, dentist or other professional medical practitioner, and also may be used for not more than 30 days in one calendar year in the event of serious illness, disability, injury, or death of a member of the employee's immediate family, unless such time is used pursuant to the Family Medical Leave Act (29 USC 2601 et seq.).

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

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

f) Payment in Lieu of Sick Leave:

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

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

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

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

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

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

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.620 Personal Leave

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

b) Partial Year Credit

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

January 1 through February 14

3 days or 22.5 hours

February 15 through April 15

2½ days or 18.75 hours

April 16 through June 15

2 days or 15.0 hours

June 16 through August 15

1½ days or 11.25 hours

August 16 through October 15

1 day or 7.5 hours

October 16 through December 15

½ day or 3.75 hours

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

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

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

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

History

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

80 Ill. Adm. Code 420.630 On-the-Job Injury – Industrial Disease (repealed)

History

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

80 Ill. Adm. Code 420.640 Leaves of Absence Without Pay

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

History

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

80 Ill. Adm. Code 420.645 Family Leave

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

History

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

80 Ill. Adm. Code 420.650 Limitations on Leaves of Absence

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

History

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

80 Ill. Adm. Code 420.660 Leaves of Absence – Special

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

History

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

80 Ill. Adm. Code 420.665 Leaves of Absence – Sworn Personnel – Inter-Agency Assignment

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

History

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

80 Ill. Adm. Code 420.670 Leaves of Absence – Special – Salary (repealed)

History

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

80 Ill. Adm. Code 420.680 Employee Rights After Leave

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

b) Except for those leaves granted under Sections 420.665, 420.705, 420.710 or 420.760(g) and when an employee returns from a leave or leaves exceeding 6 months and there is no vacant position available to the employee in the same class in which the employee was incumbent prior to the leave or leaves commencing, the employee may be laid off without consideration of continuous service and, if laid off, the employee's name shall be placed on the reemployment list.

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

History

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

80 Ill. Adm. Code 420.690 Leave of Absence – Election to Public Office

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

History

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

80 Ill. Adm. Code 420.700 Failure to Return from Leave of Absence

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

History

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

80 Ill. Adm. Code 420.705 National Service Leave

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

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

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

History

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

80 Ill. Adm. Code 420.710 Military Leave

a) Leaves of absence shall be granted to all employees, except temporary or emergency employees, who leave their positions and enter military service for 4 years or less, or as may be required by law.

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

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

History

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

80 Ill. Adm. Code 420.715 Disaster Services Leave with Pay

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

History

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

80 Ill. Adm. Code 420.720 Leave for Annual Military Reserve Training or Special Duty

a) Any employee who is a member of a reserve component of the Armed Services, the Illinois National Guard or the Illinois Naval Militia shall be allowed annual leave with pay for one full pay period during any one State fiscal year and such additions or extensions to fulfill the military reserve obligation. These leaves will be granted without loss of continuous service or other accrued benefits.

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.730 Leave for Military Physical Examinations

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

80 Ill. Adm. Code 420.740 Leave to Take Exempt Position

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

History

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

80 Ill. Adm. Code 420.745 Blood/Organ/Tissue Donation Leave

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.750 School Visitation Leave

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

History

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

80 Ill. Adm. Code 420.760 Non-Service Connected and Service Connected Disability Leave

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

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

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

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

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

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

c) Termination of Leave:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.770 Attendance in Court

a) Any permanent employee called for jury duty or subpoenaed by any legislative, judicial or administrative tribunal for purposes other than personal private litigation shall be allowed time away from work with pay for such purposes. Upon receiving the sum paid for jury service or witness fee, the employee shall submit the warrant, or its equivalent, to the department to be returned to the fund in the State Treasury from which the original payroll warrant was drawn. Provided, however, an employee may elect to fulfill the call or subpoena on accrued time off or personal leave and retain the full amount received for the service.

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

History

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

80 Ill. Adm. Code 420.775 Victims' Economic Security and Safety Leave

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

History

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

80 Ill. Adm. Code 420.800 Vacation

a) Eligibility:

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

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

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

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

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

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

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

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

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

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

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

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

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

b) Vacation Schedule and Loss of Earned Vacation:

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

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

c) Vacation Scheduling:

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

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

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

e) Vacation Benefits on Death of Employee:

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

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

f) Payment in Lieu of Vacation:

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

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

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

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

History

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

80 Ill. Adm. Code 420.810 Work Schedules

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

History

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

80 Ill. Adm. Code 420.820 Overtime

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

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

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

d) Overtime Compensation in Cash: Compensatory time not used within the fiscal year, except for time carried over in accordance with subsection (c), may be liquidated in cash. Whenever it is not practical to liquidate an employee's overtime with compensatory time off, the employee shall be reimbursed in cash. The payment shall be at a straight time rate for work in excess of the approved work schedule but less than a 40 hour work week. Work in excess of a 40 hour work week shall be paid at time and one-half.

e) Overtime Payable Upon Death: Upon the death of an employee, the person or persons specified in Section 14a of the State Finance Act shall be entitled to receive from the appropriation for personal services available for payment of the employee's compensation the sum for accrued overtime that would have been paid or allowed to the employee had the employee survived.

History

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

80 Ill. Adm. Code 420.825 Temporary Assignment (repealed)

History

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

80 Ill. Adm. Code 420.830 Holidays

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

New Year's Day

Martin Luther King Day

Lincoln's Birthday

Presidents' Day

Memorial Day

Independence Day

Labor Day

Columbus Day

Veteran's Day

Thanksgiving Day (which shall include the Friday immediately following)

Christmas Eve

Christmas Day

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

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

b) Holiday Observance: Subject to any applicable federal or State laws, when employees are scheduled and required to work on a holiday, equivalent time off will be granted within the following 12 month period at a time convenient to the employee and consistent with the department's operating needs.

c) Holiday During Vacation: When a holiday falls on an employee's regularly scheduled work day during the employee's vacation period, the employee's account will not be charged for accrued vacation time for that day.

d) Eligibility for Holiday Pay: To be eligible for holiday pay, the employee shall be in pay status for the total scheduled hours on the employee's last scheduled work day before the holiday and first scheduled work day after the holiday unless absence on either or both of these work days is for good cause and approved by the department. Dock in pay approved in accordance with FMLA shall be deemed the same as pay status for purposes of this Section.

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

History

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

80 Ill. Adm. Code 420.835 Notification of Absence

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

History

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

80 Ill. Adm. Code 420.1000 Records

a) Performance Records:

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

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

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

c) Time and Manner of Inspection:

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

d) Employee Roster Files: The Director of Personnel shall establish and maintain official personnel files for employees subject to the Code showing the name, gender, county of residence, date of birth, date of original appointment to service, date of promotions, demotions, transfers, and other transactions, present position title, status, salary, and the operating department to which the employee is assigned.

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

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

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

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

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

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 420.1010 Benefits

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

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

History

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

80 Ill. Adm. Code 420.1015 Proration of Rights and Benefits

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

History

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

80 Ill. Adm. Code 420.1020 Prohibition of Discrimination

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

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

History

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

80 Ill. Adm. Code 420.1030 Other Provisions

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

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

History

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

Chapter III Comptroller

Part 500 Personnel Rules

80 Ill. Adm. Code 500.10 Definitions

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

"Board" Refers to the Merit Advisory Board.

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

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

"Code" The Comptroller Merit Employment Code.

"Commission" The Comptroller Merit Commission.

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

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

"Department" The Comptroller Department of Personnel.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

80 Ill. Adm. Code 500.110 Position Classification

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

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

c) Reconsideration:

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

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

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

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

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

80 Ill. Adm. Code 500.120 Pay Plan

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

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

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

80 Ill. Adm. Code 500.210 Application and Examination

a) Examination:

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

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

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

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

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

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

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

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

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

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

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

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

1. Retaking examinations –

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

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

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

2. Regrading examinations –

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

q) Removal of Names From Eligible Lists:

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

A) Appointment of an eligible from the eligible list;

B) Death of an eligible;

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

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

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

F) Request of an eligible to remove name.

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

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

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

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

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

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

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

G) Poor work history of eligible;

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

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

J) After eligible accepts promotion;

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

L) Conviction of an eligible of a felony;

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1. Exempt:

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

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

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

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

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

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

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

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

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

v) Extension of Jurisdiction B:

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

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

History

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

80 Ill. Adm. Code 500.220 Trainees

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

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

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

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

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

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

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

c) Limitations on Trainee Appointments:

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

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

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

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

80 Ill. Adm. Code 500.225 Intermittents

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

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

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 500.230 Continuous Service

a) Definition:

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

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

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

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

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

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

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

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

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

3. Time away from work because of layoff.

d) Veterans Continuous Service:

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

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

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

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

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

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

80 Ill. Adm. Code 500.240 Performance Review

a) Performance Records:

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

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

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

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

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

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

80 Ill. Adm. Code 500.250 Probationary Status

a) Probationary Period:

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

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

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 500.260 Promotions

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

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

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

d) Failure to Complete Probationary Period:

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

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

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

80 Ill. Adm. Code 500.270 Employee Transfer

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

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

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

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

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

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

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

80 Ill. Adm. Code 500.275 Demotion

a) Definition:

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

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

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

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

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

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

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

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

History

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

80 Ill. Adm. Code 500.280 Layoffs and Reemployment

a) Layoff Procedure:

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

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

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

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

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

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

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

b) Order of Layoff:

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

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

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

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

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

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

e) Reemployment Lists:

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

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

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

g) Removal of Names From Reemployment List:

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

A) The employee is recalled from layoff;

B) The employee refuses an offer of permanent reemployment;

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

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

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

h) Laid Off Probationary Employees:

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

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

i) Reconsideration Request Laid Off Certified Employee:

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

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

History

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

80 Ill. Adm. Code 500.285 Voluntary Reduction

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

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

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

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

80 Ill. Adm. Code 500.290 Resignation and Reinstatement

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

b) Reinstatement:

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

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

History

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

80 Ill. Adm. Code 500.295 Discipline, Discharge, and Demotion

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

p) Prohibition of Discrimination:

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

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

History

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

80 Ill. Adm. Code 500.310 Grievance Procedure

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

b) Grievance Procedure – Limitation:

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

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

c) Grievance Procedure – Abandonment – Extension:

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

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

d) Grievance Procedure – Steps of:

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

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

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

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

e) Grievance Committee:

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

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

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

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

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

80 Ill. Adm. Code 500.320 Leave of Absence

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

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

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

d) Leave for Personal Business:

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

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

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

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

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

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

i) Maternity Absence:

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

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

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

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

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

2. Sick leave may be used to cover periods of absence during pregnancy and convalescence thereafter.

j) Leave to Take Exempt Position: The Director may approve leaves of absence for certified employees who accept appointment in a position which is exempt from Jurisdiction B of the Merit Employment Code. Such leaves of absence may be for a period of one year or less and may be extended for additional one year periods. At the expiration thereof, an employee shall be restored to the same or similar position upon making application to the department with continuous service including the period of such leave.

k) Military, Job Corps, and Peace Corps Leave: Leaves of absence shall be allowed employees who enter military service, the Peace Corps, or Job Corps as provided in Section 500.230(d) and (f) and as may be required by law.

l) Leave For Annual Military Reserve Training or Special Duty:

1. An employee who is a member of a reserve component of the Armed Services, the Illinois National Guard, or the Illinois Naval Militia shall be allowed leave with pay not to exceed one full pay period annually without loss of any other accrued benefit.

2. If time required on any of the types of military service covered by this Part exceeds one full pay period in any one fiscal year, the employee shall be granted additional leave without pay by the employing department provided, however, that during periods of active service to meet emergencies as proclaimed by the Governor, the employee shall be granted a leave of absence with pay. Upon receiving the sum paid for such service under the Illinois Military Code, the employee shall submit the warrant, or its equivalent, to the department to be returned to the fund in the State Treasury from which the original agency payroll warrant was drawn. In the event the military pay is greater than the State compensation for the period of emergency call-up, the employee shall retain the military pay and return to the department the amount the agency paid the employee for the period.

3. An employee shall provide the department with certification by the commanding officer of the employee's unit that all leave time was used for the purpose for which granted.

m) Leave For Military Physical Examinations: Any employee drafted into military service shall be allowed up to three days leave with pay to take a physical examination required by such draft. Upon request, the employee must provide the department with certification by a responsible authority that the period of leave was actually used for such purpose.

n) Leave of Absence – Election to Public Office: Employees who are elected to public office shall, upon request, be granted a leave of absence without pay for so long as he/she remains an elected public officer and he/she shall be returned to the same or comparable position from which he/she was on leave providing he/she so requests within 30 calendar days following termination of his/her elected office.

o) Employee Rights After Leave: When an employee returns from a leave of absence of six months or less, the department shall return the employee to the same or similar position in the same class in which the employee was incumbent prior to the commencement of such leave. Except for those leaves granted under subsections (j) and (k) of this Section, when an employee returns from a leave or leaves exceeding six months and there is no vacant position available to him/her in the same class in which the employee was incumbent prior to such leave or leaves commencing, the employee may be laid off without consideration of continuous service and if laid off, the employee's name shall be placed on the reemployment list.

p) Failure to Return: Failure to return from leave within five days after the expiration date may be cause for discharge.

q) Attendance in Court: Any permanent employee called for jury duty or subpoenaed by any legislative, judicial, or administrative tribunal, shall be allowed time away from work with pay for such purposes. Upon receiving the sum paid for jury service or witness fee, the employee shall submit the warrant, or its equivalent, to the department to be returned to the fund in the State Treasury from which the original payroll warrant was drawn. Provided, however, an employee may elect to fulfill such call or subpoena on accrued time off and personal leave and retain the full amount received for such service. Emergency or temporary employees shall be allowed time off without pay for such purpose and shall be allowed to retain the reimbursement received therefor.

History

• Source: Amended at 21 Ill. Reg. 13294, effective September 15, 1997

80 Ill. Adm. Code 500.330 Holidays

a) Authorized Holidays: All employees shall have time off, with full salary payment, on the following holidays:

New Year's Day

Martin Luther King Day

Lincoln's Birthday

Washington's Birthday

Memorial Day

Independence Day

Labor Day

Columbus Day

Veterans' Day

Thanksgiving Day

Day after Thanksgiving

Christmas Day

General Election Day (on which members of the House of Representative are elected)

and any additional days proclaimed as holidays or non-working days by the Comptroller of the State of Illinois or by the President of the United States.

b) Holiday Observance: Where employees are scheduled and required to work on a holiday, equivalent time off will be granted within the following twelve month period at a time convenient to the employee and consistent with the department's operating needs.

c) Holiday During Vacation: When a holiday falls on an employee's regularly scheduled work day during the employee's vacation period, an extra day shall be added to the employee's vacations.

d) Eligibility for Holiday Pay: To be eligible for holiday pay, the employee shall work the employee's last scheduled work day before the holiday and first scheduled work day after the holiday unless absence on either or both of these work days is for good cause and approved by the department head. Intermittent employees are eligible for holiday pay under conditions stated in Section 500.225(b)(5).

e) Holidays – Regional or Special: The Comptroller or the Director may grant employees full or partial days off with pay to meet the unique needs of any region or area within the State. Such special time off shall not accrue to any other employee in any other region or area of the State.

History

• Source: Amended at 21 Ill. Reg. 13294, effective September 15, 1997

80 Ill. Adm. Code 500.340 Vacation

a) Eligibility: Employees, except emergency, temporary, and those paid pursuant to Part II, Section 3, of the Pay Plan, shall earn vacation time. No employee on leave of absence may earn vacation except when the leave was for the purpose of accepting a temporary working assignment in another class.

b) On and after July 1, 1979: Eligible employees shall earn vacation time in accordance with the following schedule:

1. From the date of hire until the completion of five years of continuous service: 10 working days per year of employment.

2. From the completion of five years of continuous service until the completion of nine years of continuous service: 15 workdays per year of employment.

3. From the completion of 9 years of continuous service until the completion of 14 years of continuous service: 17 workdays per year of employment.

4. From the completion of 14 years of continuous service until the completion of 19 years of continuous service: 20 workdays per year of employment.

5. From the completion of 19 years of continuous service until the completion of 25 years of continuous service: 22 workdays per year of employment.

6. From the completion of 25 years of continuous service: 25 workdays per year of employment.

c) Vacation time may be taken in increments of not less than ½ day at a time, any time after it is earned, provided the employee has at least six months of continuous service since latest date of hire. Vacation time shall not be accumulated for more than 24 months after the end of the calendar year in which it is earned.

d) Prorated vacation time for intermittent employees: Intermittent employees shall earn vacation in accordance with the schedule set forth in subsection (b) of this Section on a prorated basis.

e) Computation of vacation time of State employees who have interrupted continuous State service shall be determined as though all previous State service which qualified for earning of vacation benefits is continuous with present service.

History

• Source: Amended at 21 Ill. Reg. 13294, effective September 15, 1997

80 Ill. Adm. Code 500.350 Work Schedules

Each supervisor and/or department head shall prepare a schedule of working hours and work days pertaining to his/her work unit. Such schedule shall set out starting and quitting times, break times, lunch time, and the work days that apply to the employees within his/her area of supervision. Work schedules shall be submitted to the Director for his approval. Upon approval, the schedules shall be posted and complied with by all of the employees within the work unit.

80 Ill. Adm. Code 500.360 Overtime

a) Overtime: For those positions approved by the Director and designated on lists maintained by the Director, authorized work in excess of an approved work schedule shall be overtime. Such work may be compensated for in cash or compensatory time as determined by the department. Overtime work shall be distributed as equitably as possible among qualified employees competent to perform the services required when overtime is required. Employees shall be given as much advance notice as possible. Except where required by law, time spent in travel shall not be considered overtime.

b) Compensatory Time: An employee's overtime accumulation shall be liquidated by the utilization of compensatory time off, when such utilization is practical. Where the approved work schedule is less than a 40 hour work week, overtime shall be compensated as a straight time rate. Work in excess of a 40 hour week shall be compensated at time and one-half.

c) Compensatory Time Schedule: Compensatory time shall be scheduled at the employee's preference excepting in those circumstances where, with reasonable certainty, such absence would be harmful to the operation of his/her work unit.

d) Overtime Compensation in Cash: Whenever it is not practical to liquidate an employee's overtime with compensatory time off, the employee shall be reimbursed in cash. Such payment shall be paid at straight-time rate for work in excess of the approved work schedule but less than a 40 hour work week. Work in excess of a 40 hour work week shall be paid at time and one-half.

e) Overtime – Accumulation: All employee overtime compensation shall be liquidated within 45 calendar days of its accumulation.

f) Overtime Payable Upon Death: Upon the death of an employee, the person or persons specified in Section 14a of "An Act in relation to State finance," approved June 10, 1919, as now or hereafter amended (Ill. Rev. Stat. 1981, ch. 127, par. 150a), shall be entitled to receive from the appropriation for personal services theretofore available for payment of the employee's compensation such sum for accrued overtime as would have been paid or allowed to such employee had the employee survived.

History

• Source: Amended at 5 Ill. Reg. 890, effective January 9, 1981

80 Ill. Adm. Code 500.410 Public Records

Except as otherwise provided in this Subpart E, all records of the Department including eligible lists shall be public records and shall be available for inspection on written request to the Director.

80 Ill. Adm. Code 500.415 Time and Manner of Inspection

a) The records of the Department shall be available for inspection during regularly scheduled hours of work. Such records may be inspected only in the presence of an authorized employee of the Department.

b) In the event the working conditions or the number of persons inspecting such records or the volume of records to be inspected interfere with the operations of the Department, the Director may schedule appointments for the inspection of such records.

80 Ill. Adm. Code 500.420 Employee Roster Files

The Director shall establish and maintain personnel files for employees subject to the Code showing the name, sex, county of residence, date of birth, date of original appointment to service, date of promotions, demotions, transfers, and other transactions, present position title, status, salary, and the operating department wherein the employee is assigned.

80 Ill. Adm. Code 500.425 Confidential Records

The following records of the Department of Personnel shall be confidential and not available for public inspection:

a) Personal history of employee. The employee or authorized agent may inspect the employee's personal history and personnel file; if authorization is in writing and signed by employee.

b) Reports of medical, psychological, and psychiatric examinations. An employee may inspect such reports pertaining to him/her.

c) All parts of examinations. An employee or applicant may inspect his/her own answer sheet.

d) The identity, complete questionnaire, and other documents related to salary surveys. Results of salary surveys shall be available.

e) No records of personnel transactions including requisitions and referrals will be made available until such transactions have been completed.

80 Ill. Adm. Code 500.430 Attendance Records

Each operating department shall maintain accurate, daily attendance records.

80 Ill. Adm. Code 500.435 Notification of Absence

An employee shall, whenever possible, provide advance notice of absence from work. Absence of an employee for 5 consecutive days without reporting to the department may be cause for discharge.

80 Ill. Adm. Code 500.440 Review of Attendance Records

An employee shall have the right to review his/her attendance record on file in his/her operating department or the Department of Personnel.

80 Ill. Adm. Code 500.445 Undated Forms

No supervisor or other person in a position of authority shall demand or request that an employee sign an undated resignation or any blank form. No employee shall be required to sign such a form. Any such demand shall entitle the employee to immediate appeal to the Director.

80 Ill. Adm. Code 500.450 Incomplete Forms

Any information placed on a form or any modification or alteration of existing information made on a form subsequent to having been signed by an employee shall be null and void insofar as it may affect the employee, the employee's position, or condition of employment. Any employee required to sign any form prepared pursuant to this Part shall be given a copy of it at the time the employee's signature is affixed.

80 Ill. Adm. Code 500.455 Evaluation Forms

Employees shall be required to sign all evaluation forms to indicate they have read the evaluation and it has been discussed with them.

80 Ill. Adm. Code 500.460 Portability of Certain Benefits

Sick leave earned but not taken by employees in the course of employment not subject to the Merit Employment Code shall be deemed to have been earned by them at the time they become subject to such jurisdiction to the extent such benefits are provided and would have been earned hereunder.

80 Ill. Adm. Code 500.470 Effective Date of Rules

This Part and amendments thereto shall become effective 10 days after copies thereof have been filed with the Secretary of State – Index Division, except that, in case of emergency, Rules or amendments thereto may become effective immediately upon such filing if accompanied by a certificate executed by the Director pursuant to applicable provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.).

80 Ill. Adm. Code 500.475 Savings Clause

If any Section or part of any Section of this Part shall be held invalid, the remaining provisions of the Part shall have, and be given full force and effect as completely as if the invalidated part had not been included therein.

80 Ill. Adm. Code 500.480 Interpretation and Application of Rules

The Director of Personnel shall determine the proper interpretation and application of each Rule of the Department of Personnel. The decision of the Director as to the proper interpretation or application of any such rule shall be final and binding upon all departments and employees affected thereby unless or until modified or reversed by the Commission or the courts. All departments and employees shall comply with the Director's decision in the absence of a written opinion of the Attorney General or a written directive of the Commission declaring the Director's decision to be unlawful.

80 Ill. Adm. Code 500.485 Policy

The Director shall promulgate such policy as is necessary to obtain compliance with the Rules and with the Code.

80 Ill. Adm. Code 500.490 Retroactivity

This Part shall not be retroactive beyond the date of its effectiveness excepting as herein expressly stated.

Part 510 Sick Pay Plans

80 Ill. Adm. Code 510.10 Statement of Purpose

a) Pursuant to the authority granted the Comptroller in Section 36 of "An Act in relation to State finance", approved June 10, 1919, (Ill. Rev. Stat., 1979, ch. 127, par. 167.04), these rules are promulgated to set forth procedures to be followed by State agencies in implementing sick pay plans.

b) Effective July 1, 1981, each personnel jurisdiction shall establish a sick pay plan. For the purposes of these Rules, the term "personnel jurisdiction' means the department, institution, board, commission, office, court or agency having legal authority to establish rates of compensation for employees.*

History

• Source: Peremptory amendment at 6 Ill. Reg. 928, effective January 13, 1982

80 Ill. Adm. Code 510.20 Calculating Gross Wages Subject to Social Security Withholding

a) Effective January 1, 1982, Departments need not separately report sick pay for personal illness or accidental disability. By the terms of Public Law 97-123, sick pay paid after January 1, 1982, during the first 6 months the employee is off work is subject to Social Security Withholding. Social Security Withholdings on sick pay beyond the first 6 months the employee is off work may be subject to refund. Questions concerning refunds should be directed to the Accounting Division of the State Employees' Retirement System.

b) For the purposes of these Rules, the term "Department" means any department, institution, board, commission, office, court or any agency of the State having the power to certify payrolls to the State Comptroller authorizing payments of salary or wages against State appropriations, or against trust funds held by the State Treasurer, except those departments included under the term "Employer" in the State Universities Retirement System.

History

• Source: Peremptory amendment at 6 Ill. Reg. 928, effective January 13, 1982

80 Ill. Adm. Code 510.30 Record Retention

Each department shall maintain accurate employee attendance records distinguishing sick pay benefit payments for personal illness or accidental disability from sick pay payments for other legitimate purposes for sick pay payments made in calendar year 1981. Such records shall be retained until at least April 15, 1985.

History

• Source: Peremptory amendment at 6 Ill. Reg. 928, effective January 18, 1982

Chapter IV Treasurer

Part 610 Classification and Pay

80 Ill. Adm. Code 610.110 Classification Plan

The Director of the Division of Personnel (Director of the Department) shall maintain, and revise when necessary, a uniform position classification plan for positions under the State Treasurer Employment Code (Code) (Ill. Rev. Stat. 1989, ch. 130, pars. 101 et seq) based on the similarity of duties and responsibilities assigned so that the same schedule of pay may be equitably applied to all positions in the same class, under the same or substantially the same employment conditions. However, the pay of an employee whose position is reduced in rank or grade by reallocation because of loss of duties or responsibilities after his/her appointment to the position shall not be required to be lowered for a period of one year after the position reallocation.

80 Ill. Adm. Code 610.120 Allocation

It is the responsibility of each department head to report to the Director any significant changes in the duties of every position within the Department. At the request of a department head, or at the discretion of the Director, a survey, audit, or other similar investigation as may be deemed necessary by the Director shall be made to determine the allocation of the employee's position. After making the survey, audit, or other investigation, the Department of Personnel shall notify the department head in which the position is located of its decision as to the proper allocation of the position in question. It shall be the responsibility of the department head in which the position is located to notify the incumbent of the position of the decision of the Department of Personnel.

80 Ill. Adm. Code 610.130 Reconsideration

a) Within 30 days after receiving notice of the decision, the incumbent in the position may make a written request of the Director for a reconsideration of the decision. Thereafter, the Director shall reinvestigate the duties and responsibilities of the position and related positions, if necessary, and shall give the affected employee a reasonable opportunity to be heard.

b) After this investigation, the Director shall render a written decision which shall be served on the employee in person or by certified mail, return receipt requested, at the last address shown in the personnel file. The effective date of the Director's reconsideration decision shall be the date the request for reconsideration was received by the Director.

c) An employee wishing to appeal the Director's reconsidered decision shall serve upon the Personnel Review Board a written notice of appeal of the reconsidered decision within fifteen (15) calendar days after receipt of notice of the reconsidered decision. A copy of the notice of appeal shall also be served upon the Director.

80 Ill. Adm. Code 610.140 Assignments to Other Classes

An employee whose position has been allocated to a class having a higher, lower, or same maximum permissible salary or rate may remain in the position provided, however, that the Director shall determine, in the case having a higher maximum salary or rate, whether, considering the nature of such change in duties, such employee is qualified for the position.

80 Ill. Adm. Code 610.150 Revised Class Requirements

When requirements for a class are revised and the duties and responsibilities of positions comprising the class remain essentially unchanged, incumbents in these positions who qualify under the previous requirements for the class will be considered qualified.

80 Ill. Adm. Code 610.210 Establishment of Plan

The Director shall prepare and maintain a Pay Plan for all employees subject to the Code.

80 Ill. Adm. Code 610.220 Provisions of the Pay Plan

The Pay Plan shall provide for uniform and equitable starting rates of pay, the time and manner in which subsequent changes of salary may be made, the rate each employee is to be paid, and rates that are fair and reasonable compensation for the type of employment and services rendered. The Pay Plan may also include other provisions not inconsistent with law to assist in the administration of good personnel practices for the Office of the Treasurer.

80 Ill. Adm. Code 610.230 Approval of Pay Plan

The Pay Plan and amendments thereto shall be prepared by the Director after consultation with department heads. The Pay Plan, or amendments thereto, shall become effective only after approval by the Treasurer.

Part 620 Merit and Fitness

80 Ill. Adm. Code 620.110 Examination

a) The Director of the Department of Personnel (Director of the Department) in the Office of the Treasurer shall conduct examinations to test the relative fitness of applicants for positions subject to the State Treasurer Employment Code (Code) (Ill. Rev. Stat. 1989, ch. 130, pars. 101 et seq.). Examinations may include an evaluation of factors such as education, experience, training, capacity, knowledge, manual dexterity, character, and physical fitness. Tests shall be job related and may be written, oral, a physical demonstration of skill, an evaluation of physical or manual fitness, or an evaluation of education and experience. Examinations shall consist of one or more tests in any combination. Where minimum or maximum requirements are established for any examination, they shall be specified in the examination announcement.

b) Applicants shall not be questioned with respect to non-merit matters except as is necessary to meet the requirements of law or State policy.

c) In lieu of announcing or conducting examinations, the Director may accept the results of competitive examinations conducted by an established merit system.

80 Ill. Adm. Code 620.120 Examinations - Time and Place

Examinations shall be held at such times and places as are necessary to meet the requirements of the Office of the Treasurer, provide economical administration, and be generally convenient for applicants. The Director may cancel or postpone examinations at any time (e.g., lack of applicants at the time the examination is scheduled to be held).

80 Ill. Adm. Code 620.130 Veterans' Preference

a) For the granting of appropriate preference in entrance examinations to qualified persons who have been members of the armed forces of the United States or to unqualified persons who, while citizens of the United States, were members of the armed forces of allies of the United States in time of hostilities with a foreign country, and to certain other persons as set forth in this Section.

1. "Time of hostilities with a foreign country," means any period of time in the past, present, or future during which a declaration of war by the United States Congress has been or is in effect or during which an emergency condition has been or is in effect that is recognized by the issuance of a Presidential proclamation or a Presidential executive order and in which the armed forces expenditionary medal or other campaign service medals are awarded according to Presidential executive order.

2. "Armed forces of the United States" means the United States Army, Navy, Air Force, Marine Corps, or Coast Guard. Service in the Merchant Marines that constitutes active duty under 38 U.S.C. 106 shall also be considered service in the Armed Forces of the United States for purposes of this Section.

b) The preference granted under this Section shall be in the form of points added to the final grades of the persons if they otherwise qualify and are entitled to appear on the list of those eligible for appointments.

c) A veteran is qualified for a preference of 10 points if the veteran currently holds proof of a service connected disability from the United States Department of Veterans Affairs or an allied country or if the veteran is a recipient of the Purple Heart.

d) A veteran who has served during a time of hostilities with a foreign country is qualified for a preference of 5 points if the veteran served under one or more of the following conditions:

1. The veteran served a total of at least 6 months;

2. The veteran served for the duration of hostilities regardless of the length of engagement;

3. The veteran was discharged on the basis of hardship; or

4. The veteran was released from active duty because of a service connected disability and was discharged under honorable conditions.

e) A person not eligible for a preference under subsection (c) or (d) above is qualified for a preference of 3 points if the person has served in the armed forces of the United States, the Illinois National Guard, or any reserve component of the armed forces of the United States and the person:

1. service for at least 6 months and has been discharged under honorable conditions;

2. has been discharged on the ground of hardship; or

3. was released from active duty because of the service connected disability.

An active member of the National Guard or a reserve component of the armed forces of the United States is eligible for the preference if the member meets the service requirements of this subsection.

f) The rank order of persons entitled to a preference on eligible lists shall be determined on the basis of their augmented ratings. When the Director establishes eligible lists on the basis of category ratings such as "superior", "excellent", "well qualified", and "qualified", the veteran eligible in each such category shall be preferred for appointment before the non-veteran eligibles in the same category.

g) Employees in positions covered by this Code who, while in good standing, leave to engage in military service during a period of hostility, shall be given credit for seniority purposes for time served in the armed forces.

h) A surviving unremarried spouse of a veteran who suffered a service connected death or the spouse of a veteran who suffered a service connected disability that prevents the veteran from qualifying for civil service employment shall be entitled to the same preference to which the veteran would have been entitled under this Section.

i) A preference shall also be given to the following individuals: 10 points for one parent of an unmarried veteran who suffered a service connected death or a service connected disability that prevents the veteran from qualifying for civil service employment. The first parent to receive a civil service appointment shall be the parent entitled to the preference.

History

• Source: Amended at 17 Ill. Reg. 4510, effective March 22, 1993

80 Ill. Adm. Code 620.140 Equal Opportunity

Applicants or employees shall not be discriminated against on the basis of race, religion, sex, marital status, national origin, political affiliation, or membership in, or activity in or on behalf of, employee labor organizations, or any other non-merit factor. Applicants capable of performing the duties in the class shall not be discriminated against because of physical or mental handicap.

80 Ill. Adm. Code 620.150 Residency Requirement

Applicants who are not residents of the State of Illinois may be appointed only upon the waiver of residency requirements by the Director and only when there are fewer than three qualified residents of Illinois available.

80 Ill. Adm. Code 620.160 Employment of Family Members

No spouse, parent, child, brother or sister of a present employee of the Office of the Treasurer is eligible for a position of employment within the same operational unit which is subject to the Code. This Section does not affect relatives employed prior to the effective date of this Section.

80 Ill. Adm. Code 620.170 Linguistic Requirements

The Director may establish linguistic options when bilingual skills are required of the job.

80 Ill. Adm. Code 620.180 Eligible Lists

The Department shall establish and maintain lists of qualified applicants for positions covered by the Code. These applicants shall have successfully qualified through competitive examinations as provided in Section 620.110. The names of successful applicants shall be arranged in the order of their relative excellence (e.g., well qualified, qualified, or minimally qualified) whether by numerical grade or category grouping. The length of time an eligible's name may appear on the list shall be specified in the examination announcement.

80 Ill. Adm. Code 620.190 Responsibilities of Eligibles

It shall be the responsibility of each eligible to inform the Department in writing of any changes in address or availability for employment.

80 Ill. Adm. Code 620.200 Appointments - Positions Subject to the Code

Positions which are covered by the Code shall be filled in one of the following ways:

a) By appointment of an applicant ranking among the three highest on an eligible list which is numerically rated;

b) By appointment of an applicant from the highest ranking group of eligibles from an eligible list which is not numerically rated;

c) By present employees, as of January 1, 1989, who have passed the probationary period and who shall be continued in their positions without further examination;

d) By an appointment to a position through promotion of an employee who is qualified pursuant to Section 620.610;

e) By emergency appointment for a period not in excess of ninety (90) calendar days to meet emergency situations. Emergency appointments may be made without regard to eligible lists. Such appointments may not be renewed;

f) By temporary appointments to positions which are temporary or seasonal in nature as determined by the Director. Such appointments shall not exceed six (6) months out of any twelve (12) month period;

g) By provisional appointments to positions without competitive examination when there is no appropriate eligible list. Provisional appointments may not exceed six (6) months out of any twelve (12) month period;

h) By the transfer of employees from one position to another if the qualifications, responsibilities, duties, and salary range are similar.

i) By reinstatement of persons who formerly held certified status under the Code, the Personnel Code (Ill. Rev. Stat. 1989, ch. 127, pars. 63b101 et seq.), the Secretary of State Merit Employment Code (Ill. Rev. Stat. 1989, ch. 124, pars. 101 et seq.), the Comptroller Merit Employment Code (Ill. Rev. Stat. 1989, ch. 15, pars. 401 et seq.), or the State Universities Civil Service System (Ill. Rev. Stat. 1989, ch. 24 ½, pars. 38b1 et seq.). To be eligible for reinstatement, such persons shall have resigned while in good standing or shall have been laid off from employment within their respective merit systems.

j) By reemployment of an employee whose name appears upon a reemployment list; reemployment may be made to positions in the same or lower salary range as the salary range applicable to the position from which the person to be reemployed was laid off; reemployment appointments shall be qualified employees and shall be made after consideration of seniority and performance records;

k) By the appointment of trainees into training programs approved by the Director; appointments may be made with or without examination of applicants; trainees do not acquire any rights under the Code by virtue of trainee appointments;

l) By the reduction in rank or class of an employee, for cause, with the prior approval of the Director;

m) By the transfer of active, certified employees from the jurisdictions of the Personnel Code, the Secretary of State Merit Employment Code, the Comptroller Merit Employment Code, or the State Universities Civil Service System; persons so transferred shall retain the same status under the Code as that which they held under their previous merit employment.

80 Ill. Adm. Code 620.210 Types of Status

The following types of appointments may be made by the Director:

a) Exempt:

1. For persons in positions not subject to the Code. If an exempt employee's position becomes subject to the Code by reason of extension of the Code, pursuant to Section 7(c) of the Code, the employee shall establish eligibility for the position by satisfactorily passing a qualifying examination prescribed by the Director within six (6) months after the extension of the Code to the position.

2. In all other cases, if an exempt employee's position becomes subject to the Code, the employee shall establish eligibility for the position within six (6) months by successfully competing in the open competitive examination and receiving a probationary appointment according to applicable rules.

b) Emergency: For persons selected to meet emergency situations. Emergency appointments shall not exceed ninety (90) days, shall not be renewed, and may be made without regard to an eligible list. Notices of selections and terminations shall be reported to the Director.

c) Temporary: For persons in positions to perform temporary or seasonal work. No position shall be filed by temporary appointment for more than six (6) months out of any twelve (12) month period.

d) Provisional: For persons in positions for which there are fewer than three available eligibles on the open competitive eligible list. No positions shall be filled by provisional appointment for more than six (6) months out of any twelve (12) month period. If a provisional employee's position is allocated to a class for which there are available eligibles, eligibility for such position shall be established within ninety (90) days through successfully competing in the open competitive examination and receiving a probationary appointment according to the applicable rules therein.

e) Probationary: For persons appointed from an eligible list or those receiving a promotion or being reinstated. If a probationary employee's position is declared exempt from the Code, the balance of the probationary period shall be served after which certified status shall be attained.

f) Certified: For persons having successfully completed the required probationary period. If a certified employee's position is declared exempt from the Code, certified status shall be retained in that position.

g) Trainee: For persons in positions pursuant to established trainee and apprenticeship programs.

80 Ill. Adm. Code 620.220 Extension of the Code

a) Employees in positions to which the Code is extended pursuant to Section 7(c) of the Code shall be continued in such positions and shall attain certified status therein, provided they pass a qualifying examination prescribed by the Director within six (6) months after the jurisdiction is extended and provided they satisfactorily complete their respective probationary periods.

b) Appropriate standards for probationary appointments shall be prepared by the Director and appointments of probationary employees shall be without regard to eligible lists and without regard to the provisions of the Code and this Part requiring the appointment of the person standing among the three highest on the appropriate eligible list to fill a vacancy or from the highest category ranking group if the list is by ranking instead of numerical ratings. Nothing herein shall preclude the reclassification or reallocation as provided by this Part of any position held by any such incumbent.

80 Ill. Adm. Code 620.310 Definition

a) Continuous service is the uninterrupted period of service from the date of original appointment to State service except as provided in Section 620.370.

b) Employees who have accrued continuous service in another merit system in State service or who have accrued continuous service in State service not covered by a merit system and who have been transferred to a department subject to the Code shall be given credit for said service as shall be determined by the Director or required by law.

80 Ill. Adm. Code 620.320 Interruptions in Continuous Service

Continuous service shall be interrupted by:

a) Resignation; provided, however, that such continuous service will not be interrupted by resignation when an employee is employed in another position in State service within four (4) calendar days of such resignation;

b) Discharge; provided, however, such continuous service shall not be interrupted if the employee is retained in the position after the hearing before the Personnel Review Board;

c) Termination; because an employee has not been reemployed within two (2) years after layoff.

80 Ill. Adm. Code 620.330 Deductions from Continuous Service

Except as provided in Section 620.360, the following shall be deducted from, but not interrupt, continuous service:

a) Time away from work for any leaves of absence without pay totaling more than thirty (30) days in any twelve (12) month period, except time away from work for a leave of absence to accept a temporary, provisional, emergency, or exempt assignment in another class shall not be deducted from continuous service;

b) Time away from work because of disciplinary suspensions totaling more than (30) days in any twelve (12) month period;

c) Time away from work because of layoff.

80 Ill. Adm. Code 620.340 Veterans Continuous Service

a) Leaves of absence shall be granted to all employees, except temporary or emergency employees, who leave their positions and enter military service for four (4) years or less (exclusive of any additional service imposed pursuant to law). An employee shall be restored to the same or similar position on making an application to the Department of Personnel within ninety (90) days after separation from active duty or release from hospitalization continuing after discharge for not more than one (1) year. The employee must provide evidence of satisfactory completion of training and military service when making application and be qualified to perform the duties of the position.

b) Subject to the provisions of Section 620.200, a veteran who returns to State service after having been granted a leave of absence from provisional status shall be permitted and required to pass the same or similar examination for his/her position within ninety (90) days.

c) Trainees who have not previously done so and whose training was interrupted by military leave shall be required to qualify in an examination in the trainee class before being granted allocation or non-competitive promotion to a higher class.

80 Ill. Adm. Code 620.350 Peace Corps or Job Corps Enrollees Continuous Service

Any employee who volunteers and is accepted for service in the overseas or domestic Peace Corps or Job Corps shall be given a leave or absence from his/her State employment for the duration of his/her initial period of service and restored to the same or similar position provided that the employee returns to his/her employment within ninety (90) days of the termination of his/her service or release from hospitalization from a service Peace Corps or Job Corps connected disability.

80 Ill. Adm. Code 620.360 Accrual and Retention of Continuous Service During Certain Leaves

During a maternity absence or an educational, military, Peace Corps, Job Corps, or service-connected disability leave, an employee shall retain and accrue continuous service provided appropriate application or return, as the case may be, is made pursuant to the requirements of Sections 620.430 and 620.440. No other employment benefit shall be granted during such leave.

80 Ill. Adm. Code 620.370 Limitations on Continuous Service

Temporary and emergency employees employed after January 1, 1989, shall not accumulate continuous service except as provided in the Code.

80 Ill. Adm. Code 620.410 Performance Records

a) Performance records shall constitute all material in an employee's personnel file which, in the judgment of the Director, is relevant to determining the appropriateness of proposed or recommended personnel transactions.

b) Such records shall be considered by the Director in all cases of promotion, demotion, discharge, layoff, recall, reinstatement, geographical transfer, and certification.

80 Ill. Adm. Code 620.420 Performance Evaluation Forms

a) Performance records shall include an evaluation of employee performance prepared by each department head or designee on forms prescribed by the Director.

b) For an employee serving a six (6) month probationary period, the department head or designee shall prepare and submit to the Department two such evaluations - one at the end of the third (3rd) month of the employee's probationary period and another fifteen (15) days before the conclusion thereof.

c) For an employee serving a three (3) month probationary period, the department head or designee shall prepare and submit to the Department of Personnel an evaluation form two and one-half (2 ½) months after commencement of the probationary period.

d) For a certified employee, each department head or designee shall prepare an evaluation not less often than each time an employee receives a satisfactory or superior performance increase under the Department's Pay Plan. Each employee shall receive an annual performance evaluation.

80 Ill. Adm. Code 620.510 Probationary Period

a) A probationary period of six (6) months shall be served by:

1. an employee who enters service or commences a new period of continuous service;

2. an employee who is reinstated as provided under Section 620.1120;

3. an employee who is appointed from an open competitive eligible list, whether or not it is considered an advancement in rank or grade. Trainees whose positions are allocated upward may achieve probationary status pursuant to Section 620.210.

b) A probationary period of three (3) months shall be served by an employee who is demoted or promoted except a demoted probationary employee shall not be required to serve any probationary period if the employee previously held certified status in the class to which demoted. A probationary employee transferred during the probationary period shall serve that portion of the probationary period which was not completed at the time of such transfer.

c) A probationary period shall not be deemed to be continued by the payment of any sum for vacation or other benefits accrued during probationary period.

d) If an employee is absent from work for more than fifteen (15) calendar days during the probationary period because of leave of absence, disciplinary suspension, sick leave, work-related injury, or industrial disease, the absence shall serve to extend the probationary period by the length of the absence.

80 Ill. Adm. Code 620.520 Certified Status

A probationary employee shall attain certified status only after successful completion of a probationary period. Notice of certification will be sent to the employee and department head by the Director promptly thereafter.

80 Ill. Adm. Code 620.530 Status Change in Probationary Period

An employee may not be promoted, demoted, discharged or transferred during the probationary period without the approval of the Director.

80 Ill. Adm. Code 620.610 Definitions

A promotion is the appointment of an employee, with the approval of the department head and the Department of Personnel, to a vacant position in a class in higher salary grade than the former class.

80 Ill. Adm. Code 620.620 Eligibility for Promotion

The Director may approve the promotion of qualified employees who have established eligibility for the appropriate class, in accordance with merit standards set forth in Section 620.110.

80 Ill. Adm. Code 620.630 Limitations on Promotions

No provisional, temporary, emergency, or probationary employee shall be promoted unless the employee has previously held certified status during his current period of continuous service.

80 Ill. Adm. Code 620.640 Failure to Complete Probationary Period

a) A promoted, certified employee who fails to satisfactorily complete the probationary period in the promoted position because of inability to perform the duties and responsibilities of the new position shall be returned to a position in the class, department, and locality and with the status from which promoted.

b) A promoted employee who is demoted during a probationary period shall serve a probationary period of three (3) months unless he/she had previously held certified status in the former class in which case the return shall be to certified status.

c) A promoted employee previously certified may be discharged for cause during the probationary period, and in such event, the employee has the same right to appeal as a certified employee.

80 Ill. Adm. Code 620.710 Transfer

A transfer is the assignment of an employee to a vacant position whose classification has the same maximum permissible salary or rate.

80 Ill. Adm. Code 620.720 Intra-Agency Transfer

An employee may be transferred to a position in the same class to which appointed or to a position involving similar qualifications, duties, responsibilities, and salary range, in another department, section, or other unit within the office. No intra-agency transfer shall be made without the approval of the Director.

80 Ill. Adm. Code 620.730 Intra-Agency Transfer

An employee may be transferred to a position in the same class, or to a position involving similar qualifications, duties, responsibilities, and salary range in another agency or jurisdiction, with the approval of both agencies, the Directors, and with the consent of the employee.

80 Ill. Adm. Code 620.740 Rights of Transferred Employees

A transferred employee shall retain status, continuous service, and all accrued benefits.

80 Ill. Adm. Code 620.750 Transfer of Duties

When the duties of a position are relocated by transfer or by abolition and reestablishment and when the duties are substantially the same, an incumbent employee may elect to relocate and retain the duties of the position.

80 Ill. Adm. Code 620.760 Limitation on Transfers

Temporary, emergency, and provisional employees shall not be transferred.

80 Ill. Adm. Code 620.810 Definition

a) Demotion is the assignment of an employee to a vacant position in a class having a lower maximum permissible salary or rate than the class from which the demotion was made for reasons of inability to perform work of the class from which the demotion was made.

b) A department head may initiate demotion of an employee by filing with the Director a written statement of reasons for demotion in the form and manner prescribed. Such written statement shall be signed by the head of the department and shall contain sufficient facts to show good cause for the demotion. No demotion shall become effective without the prior approval of the Director who shall take into consideration the employee's education, experience, and performance records.

80 Ill. Adm. Code 620.820 Notice to Employee

If the statement of reasons for demotion of a certified employee is approved by the Director, a copy of the approved statement of reasons for demotion shall be served on the employee by the Director in person or by certified mail, return receipt requested, at the employee's address appearing in the personnel file.

80 Ill. Adm. Code 620.830 Employee Obligations

Upon receipt by the employee of the approved statement of reasons for demotion or upon the effective date thereof, whichever is later, the employee shall leave the position in which assigned prior to such statement of reasons and report for duty to the position to which demoted without prejudice to the right to appeal under Section 620.860.

80 Ill. Adm. Code 620.840 Salary and Other Benefits of Employee

Upon receipt by the employee of the approved statement of reasons for demotion, or on the effective date thereof, whichever is later, all salaries and benefits of such employee in the position in which assigned prior to receipt of such statement of reasons shall be adjusted to reflect the demotion.

80 Ill. Adm. Code 620.850 Appeal by Certified Employee

A certified employee who has been served with an approved statement of reasons for demotion may appeal to the Personnel Review Board, provided the written appeal is made without fifteen (15) days of receipt of the approved statement of reasons for demotion.

80 Ill. Adm. Code 620.860 Demotion of Other Employees

The Director may approve the demotion of probationary employees. Notice of such demotion shall be served on the employee by the Director in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

80 Ill. Adm. Code 620.870 Status of Demoted Employees

A demoted certified employee shall be certified in the class to which demoted and shall not be required to serve a new probationary period. Subject to Section 620.510, a demoted probationary employee shall serve a new probationary period in the class to which he is demoted.

80 Ill. Adm. Code 620.910 Layoff Procedure

a) A department head may request the layoff of an employee because of lack of funds, material change in duties or organization, lack of work, or the abolition of a position for any of these reasons. Based on class, department, or other designation, layoffs shall be within organizational units justified by operations and approved prior to the layoffs by the Director.

b) A proposed layoff is subject to the approval of the Director before becoming effective and shall include the following for the organizational unit in which the layoff is proposed:

1. A list of all employees showing status and total continuous service;

2. A listing of those employees to be laid off;

3. Performance records of all employees in classes affected by layoff plan;

4. An explanation of any layoff not in order of continuous service;

5. An explanation of the organizational unit selected, reflecting department, facility, geographical, operational, and other elements deemed relevant by the department head.

80 Ill. Adm. Code 620.920 Order of Layoff

a) The following order shall be observed in making layoffs:

1. No certified or probationary employee may be laid off until all temporary, emergency, provisional, and exempt employees in the same call and organizational unit are terminated;

2. No certified employee may be laid off until all probationary employees in the same class and organizational unit are terminated.

b) Within status groups and in accordance with the layoff plan submitted under Section 620.1010, consideration shall be given to performance records and continuous service as defined in Section 620.310.

80 Ill. Adm. Code 620.930 Effective Date of Layoff

Unless extraordinary operating conditions or events are specified in the proposed layoff plan, no layoff shall be effective until ten (10) working days after the Director's approval of the layoff plan.

80 Ill. Adm. Code 620.940 Disapproval

The Director may disapprove any layoff plan which results in a disproportionate impact on any group of employees.

80 Ill. Adm. Code 620.950 Reemployment Lists

a) The department shall establish and maintain a reemployment list, by class, department, or geographical area, approved by the Director before layoff. A certified employee who has been laid off shall be placed in order of length of continuous service, as defined in Section 620.310, on a reemployment list for recall to the first available assignment to a position in the class (or related classes with substantially similar requirements and duties), department, county, or other designated geographical location or area in which the employee was assigned prior to being placed on the reemployment list. Where circumstances warrant, at the discretion of the Director, the reemployment list may be established by related classes whose duties are substantially similar to the class from which the employee was laid off.

b) An employee whose name has been placed on the reemployment list will also be eligible for reinstatement in accordance with Section 620.1120.

80 Ill. Adm. Code 620.960 Employment from Reemployment List

Whenever there is any person available on a reemployment list for recall to a vacant position for the same class, or related classes, where established pursuant to Section 620.950, department, county, or other designated geographical area, no temporary, provisional, or probationary appointment shall be made to such vacancy.

80 Ill. Adm. Code 620.970 Removal of Names from Reemployment List

a) A laid off employee's name shall be removed from the reemployment list when:

1. The employee is recalled from layoff;

2. The employee refuses an offer of permanent reemployment;

3. The employee's name has remained on the reemployment list for twenty-four (24) months;

4. The employee has been reinstated in accordance with Section 620.1120.

b) Offers of temporary, exempt, or emergency appointment shall not be considered as recall or reinstatement.

80 Ill. Adm. Code 620.980 Laid Off Probationary Employees

a) The name of an original entrance employee who is terminated as a result of layoff before the completion of the probationary period shall be returned to the eligible list with the same grade as when appointed.

b) An employee serving a probationary period subsequent to promotion from a position in which the employee was certified who is to be laid off shall be given notice and may request a voluntary reduction pursuant to Sections 620.1010 or 620.1030. If no voluntary reduction is effected, the employee will be laid off and the employee's name placed in seniority order on the reemployment list, as provided in Section 620.310, for the department, work location, and title in which certified.

80 Ill. Adm. Code 620.990 Reconsideration Request Laid Off Certified Employee

a) Within fifteen (15) calendar days of receipt of notice of a certified employee's layoff and without prejudice to the right to request voluntary reduction, such employee may directly petition the Director of Personnel in writing for reconsideration of the decision approving the layoff.

b) In the event a request for reconsideration is made, the Director shall designate a hearing officer to hear, review, and investigate the application of this Part and the validity of the layoff and shall submit findings to the Director for final determination. Notice of the final decision of the Director shall be served on the employee in person or by certified mail, return receipt requested, to the employee's last address appearing in the personnel file.

80 Ill. Adm. Code 620.1010 Voluntary Reduction of Certified and Probationary Employees

Certified and probationary employees may voluntarily request or accept assignment to a vacant position in a class having a lower maximum permissible salary or rate. All requests for or acceptances of voluntary reductions shall be in writing, shall be signed by the employee, and shall be directed to the head of the department in which the vacant position exists. No reduction shall become effective without the written approval of the Director. A certified employee who is assigned and accepts a voluntary reduction in grade shall be certified in the lower class without serving a probationary period and a probationary employee shall serve the balance of the probationary period; provided, however, if reduction results in return to a trainee class or other class for which there is no provision for certification in the class, the individual's certification shall be terminated.

80 Ill. Adm. Code 620.1020 Limitations in Voluntary Reduction

Temporary, emergency, and provisional employees shall not be granted a request for voluntary reduction.

80 Ill. Adm. Code 620.1030 Employee Opportunity to Seek Voluntary Reduction

A certified employee or an employee serving a probationary period subsequent to promotion from a position in which certified who is subject to layoff as a result of the Director's approval of a layoff plan shall be promptly notified of the effective date of layoff and shall then be advised of the opportunity to request voluntary reduction to a current vacant position in accordance with Section 620.1010. An employee seeking voluntary reduction must submit a written request to the head of the employing department prior to the proposed effective date of layoff.

80 Ill. Adm. Code 620.1040 Order of Preference in Voluntary Reduction

In the event a certified employee, or an employee serving a probationary period subsequent to promotion from a position in which the employee was certified, requests voluntary reduction as a result of his/her pending layoff, the certified employee shall be preferred in seniority order over

a) any probationary or provisional employees,

b) any applicant on an eligible list for such vacant position, and

c) any certified employee requesting such reduction who is not subject to layoff,

for any current vacant position in a lower class within the same department which the employee is then incumbent as the time of the layoff.

80 Ill. Adm. Code 620.1110 Resignation

An employee who voluntarily leaves the Office of the Treasurer shall, except in emergency circumstances approved by the Director, give advance notice of intent not less than fifteen (15) calendar days before its effective date. Resignation in standing shall mean that the employee gave the required notice, or that emergency circumstances justified failure to do so, and that the employee's conduct and work performance were satisfactory at the effective date thereof.

80 Ill. Adm. Code 620.1120 Reinstatement

a) On request of a department head, the Director may reinstate an employee

1. who was formerly certified under the Code and who resigned or was terminated in good standing or

2. whose position was reallocated downward or

3. who was laterally transferred or

4. whose name was placed on a reemployment list.

b) Such reinstatement may be to a position in the class to which the employee was assigned prior to resignation, termination, downward allocation, lateral transfer, or layoff, or to an equivalent or lower position in a related series. The Director may reinstate an employee who was formerly certified under the Personnel Code, the Secretary of State Merit Employment Code, the Comptroller Merit Employment Code, or the State Universities Civil Service System. A reinstated employee shall serve an additional six (6) month probationary period in the position. Requests for reinstatement shall be accompanied by the employee's performance records when available.

c) A certified employee whose name appears on a reemployment list may be reinstated to a position other than the position to which the employee is eligible for reemployment. If reinstated to a position in the same or a higher pay grade than that for which the employee is eligible for reemployment, then upon satisfactory completion of the new probationary period, the employee's name shall be removed from the reemployment list. If reinstated to a position in a lower pay grade than that for which the employee is eligible for reemployment, it shall have no effect on the employee's reemployment rights.

80 Ill. Adm. Code 620.1210 Progressive Corrective Discipline

Unless grounds clearly are present warranting immediate discharge or suspension pending decision on discharge, employees shall be subject to corrective discipline progressively applied utilizing counseling, warnings, or suspensions, as the facts and circumstances dictate, prior to discharge. If an employee's work or work-related conduct remains unacceptable after the application of progressive corrective discipline, such employee may be discharged in accordance with the appropriate Sections in this Subpart.

80 Ill. Adm. Code 620.1220 Discipline - Written Warnings

A department head or designee may warn an employee either orally or in writing as a disciplinary measure. A copy of any written warning shall be placed in the employee's personnel file and may be used in considering further discipline, demotion, withholding of salary increases, and other personnel transactions when such actions occur within twelve (12) months of the date of issuance of the written warning. The employee shall sign one copy signifying he/she has received and read it and shall retain one copy for his/her own records. The written warning shall bear the signature of the issuing official.

80 Ill. Adm. Code 620.1230 Suspension Totaling Not More Than Thirty Days in Any Twelve Month Period

Disciplinary suspensions without pay totaling not more than thirty (30) days in any twelve (12) month period may be imposed upon an employee by a department head or designee. Unless a delay in the imposition of discipline will result in clear harm or damage to a department, the employee shall be informed in writing of the proposed suspension and the reasons therefor at least four (4) working days prior to the effective date of the proposed suspension and shall be provided with copies of pertinent documents on which the proposed suspension is based. The employee shall have two (2) working days after being informed of the proposed suspension within which to address to the department head written rebuttal to the reasons given for the suspension. A decision of a department head or designee not to suspend the employee shall be rendered in writing before the proposed suspension date. Written notice of any suspension imposed with the reasons therefor must be served upon the employee on a form described by the Director on or before the effective date of the suspension in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file. The Personnel Director must be notified of any suspensions and copies of all written notices must be filed with the Director on the same day or prior to the date the suspension became effective.

80 Ill. Adm. Code 620.1240 Suspension Totaling More Than Thirty Days in Any Twelve Month Period

The department head or a designee may, after complying with the procedures set forth in this Section, initiate a disciplinary suspension of any employee totaling more than thirty (30) days in any twelve (12) month period and, if such employee is certified, the department head shall file written charges for such suspension with the Director in the form and manner prescribed. The written charges shall be accompanied by a copy of the employee's performance records. Unless a delay in the imposition of discipline will result in clear harm or damage to a department, the employee shall be informed in writing of the proposed suspension and the reasons therefor at least four (4) working days prior to the effective date of the proposed suspension and shall be provided with copies of pertinent documents on which the proposed suspension is based. The employee shall have two (2) working days after being informed of the proposed suspension within which to address to the department head or designee written rebuttal to the reasons given for the suspension. A decision of a department head or designee not to suspend the employee shall be rendered in writing before the proposed suspension date. A copy of the written decision must be forwarded to the Director on the day the decision is rendered.

80 Ill. Adm. Code 620.1250 Notice of Suspension to Employee

Notice of approved charges for a disciplinary suspension totaling more than thirty (30) days in any twelve (12) month period shall be served on a certified employee by the Director in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

80 Ill. Adm. Code 620.1260 Employee Obligations

Upon receipt by the employee of a disciplinary suspension or charges for discharge, the employee shall leave the place of employment and, if deemed appropriate by the department head, any housing or other accommodations furnished the employee by the Office of the Treasurer.

80 Ill. Adm. Code 620.1270 Hearing - Suspension Thirty Calendar Days or More

Employees who have been suspended for a period in excess of thirty (30) calendar days in a twelve (12) month period for cause may make a written request to the Review Board for a hearing within fifteen (15) calendar days of receipt of the written charges.

80 Ill. Adm. Code 620.1280 Suspension Pending Decision on Discharge

A department head or designee may suspend any employee for up to thirty (30) days pending the decision of the department head to file charges for discharge against such employee. The department head shall, at the time of this suspension, provide the employee with written reasons therefor in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file. Notice of the suspension must also be filed immediately with the Director. The Department head shall thereafter promptly investigate the facts and circumstances and render his/her decision. Should the department head determine that the facts and circumstances do not warrant disciplinary suspension or charges for discharge, the employee shall be made whole. Should the department head determine that a disciplinary is appropriate, Section 620.1230 or 620.1240, as the case may be, shall apply in its entirety. Should the department head determine that discharge of the employee is appropriate, Section 620.1300 shall apply in its entirety.

80 Ill. Adm. Code 620.1290 Approval of Director of Personnel

No disciplinary suspension totaling more than thirty (30) days in any twelve (12) month period for a certified employee shall be effective without the approval of the Director.

80 Ill. Adm. Code 620.1300 Discharge of Certified Employee

The department head or his designee may initiate discharge of a certified employee by filing written charges for discharge with the Director in the form and manner prescribed by the Director. Written charges shall be signed by the Department head, shall contain a clear and concise statement of facts showing good cause for discharge, and shall be accompanied by a copy of the employee's file and performance records. No discharge of a certified employee shall be effective without the approval of the written charges for discharge by the Director.

80 Ill. Adm. Code 620.1310 Notice of Discharge to Employee

Notice of approved charges for discharge shall be served on the employee by the Director in person or by certified mail, return receipt requested, at the employee's last address appearing in the personnel file.

80 Ill. Adm. Code 620.1320 Appeal by Employee

A certified employee who has been served with approved charges for suspension in excess of thirty (30) days or discharge may appeal to the Personnel Review Board, provided the appeal is made in writing within fifteen (15) days of receipt of the approved charges.

80 Ill. Adm. Code 620.1330 Discharge of Probationary Employee

The Director may approve the discharge or suspension of a probationary employee at the request of a department head or designee. In determining whether or not to approve the discharge of such employee, the Director shall consider the employee's employment record.

80 Ill. Adm. Code 620.1340 Reinstatement from Suspension or Discharge

An employee reinstated for the period for which he/she was suspended or discharged shall receive full compensation for the suspension or discharge period. Full compensation shall mean compensation the suspended or discharged employee would have earned in the position classification during the period of suspension or discharge less amounts earned by the employee from any other source and any unemployment compensation payments received during the suspension or discharge period.

80 Ill. Adm. Code 620.1350 Prohibition of Discrimination

a) Discrimination against any person in recruitment, examination, appointment, training, promotion, retention, or any other personnel transaction because of religion, race, national origin, sex, age, or other non-merit factor is prohibited except where such may be a bona fide job qualification.

b) Any applicant or employee who feels adversely affected in employment because of discrimination shall have resort to the grievance procedure (80 Ill. Adm. Code 630.Subpart A) and may be joined in the grievance procedure by Equal Employment Opportunity Officer or designee where necessary or appropriate.

Part 630 Conditions of Employment

80 Ill. Adm. Code 630.110 Grievance - Definition

Any employee of the Office of the Treasurer may grieve the impact upon his/her employment condition or status of the application of the State Treasurer Employment Code (Code) (Ill. Rev. Stat. 1989, ch. 130, pars. 101 et seq.), the rules or any policy.

80 Ill. Adm. Code 630.120 Limitation

a) The rules of the Department of Personnel (Department) in the Office of the Treasurer (80 Ill. Adm. Code 610, 620, 630, and 640) and the related official policy are not grievable matters. Probationary terminations, charges seeking discharge, demotion, or suspension totaling more than thirty (30) days in any twelve (12) month period of certified employees, appeals of allocation of duties, or transfers from one area to another are not subject to the grievance procedures.

b) An employee shall be allowed reasonable time during working hours for the presentation of a grievance, provided the employee has obtained permission from his/her immediate supervisor and the employee's absence will not interfere with agency operations.

80 Ill. Adm. Code 630.130 Abandonment - Extension

a) Failure of either party to comply with the form or time requirements of the grievance procedures shall resolve the matter in favor of the other. The parties may mutually extend the time limits in writing at any level of the procedure except in the case of a hearing arising from demotion or discharge of a certified employee.

b) An employee's failure to submit a grievance, or to submit it or appeal it to the next level of this procedure within the specified time limits, shall mean that the employee has withdrawn the grievance or accepted the last answer given in the grievance procedure.

1. Step 1: A grieving employee shall present the grievance orally to the immediate supervisor explaining its nature and circumstances within five (5) scheduled working days after learning of the circumstances or conditions leading to it. The immediate supervisor shall answer within five (5) scheduled working days of its presentation.

2. Step 2: If the grievance is not satisfactorily resolved or no answer is given within five (5) scheduled working days of its presentation, the employee may, within ten (10) days of the date the Step 1 answer was due, submit the grievance to the next higher supervisor by reducing the grievance to writing on a form prescribed by the Department for such purpose and presenting it to the next higher supervisor or the person designated to act at this Step. A written answer shall be given within five (5) working days of its receipt by such person.

3. Step 3:

A) If the grievance is not satisfactorily resolved or no answer is given within five (5) scheduled working days after its written submission at Step 2, the employee may, within ten (10) scheduled working days after the Step 2 answer is due, appeal the grievance to the head of the department by using the same or a different form.

B) Within twenty (20) working days after the Step 3 appeal is filed, the head of the department shall render a written decision and shall serve a copy of the written decision upon the grievant. Failure of the Department head to render a written decision and to serve it upon the grieving employee within the specified time shall automatically move the grievance to Step 4.

4. Step 4: If the grievance is not satisfactorily resolved or no answer is given within the time limit set forth in Step 3, the employee may submit a copy of the written statement of grievance submitted in Step 3 within ten (10) days from the date the decision was due to the Director of Personnel for review and final determination.

80 Ill. Adm. Code 630.140 Grievance Committee

a) The Director of Personnel shall appoint ten (10) employees of the State of Illinois to comprise a grievance committee panel to hear grievances. In addition to State employees, the Director shall appoint persons to the panel who are not employees of the State of Illinois but who have knowledge and experience in personnel administration or employee relations. Committees of three (3) persons may be selected by the Director of Personnel from the grievance committee panel to hear employee grievances. Not more than one panel member shall be selected from any one department, and no panel member shall be appointed to a committee which is convened to hear a grievance arising from the department in which the panelist is an employee.

b) In addition to the three (3) committee members appointed to hear a grievance, there shall be an employee of the Department present at all grievance hearings and deliberations to assist the panel in its determination. The Department employee shall act as secretary-chairperson of the committee and shall be entitled to vote on its recommendations. Unless an expedited Step 4 procedure is agreed to by the parties pursuant to procedures and policies issued by the Director, the members of the grievance committee shall reduce to writing their recommendations on the disposition of the grievance and shall submit them to the Director of Personnel. A dissenting member of the committee may make separate recommendations. All recommendations will bear the signature of the concurring committee members.

c) Upon the receipt of recommendations from a grievance committee, the Director shall approve, disapprove, or modify the panel recommendations, shall render a decision in writing, and shall cause a copy of such decision to be served upon the parties. The Director's decision shall be final.

d) The written statement of the employee's grievance, the recommendations of the grievance committee, and the decision of the Director of Personnel shall be made a part of the permanent record of the grieving employee in the files of the Department.

80 Ill. Adm. Code 630.150 Representation

In discussion or meetings with the employer in Steps 2, 3, or 4 of the grievance procedure, the employee shall be entitled to be present and may be accompanied by a representative of his/her choice.

80 Ill. Adm. Code 630.210 Sick Leave

All employees, except those in emergency, intermittent, per diem, or temporary status unless such status is the result of accepting a nonpermanent work assignment in another class, shall accumulate sick leave at the rate of one (1) day for each month's service. Sick leave may be used for illness, disability, or injury of the employee, appointments with doctor, dentist, or other professional medical practitioner and also may be used for not more than thirty (30) days in one (1) calendar year in the event of serious illness, disability, injury, or death of a member of the employee's immediate family. The Department may require evidence to substantiate that such leave days were used for the purposes set forth.

80 Ill. Adm. Code 630.220 Accumulation of Sick Leave

Employees shall be allowed to carry over from year to year of continuous service any unused sick leave allowed under this Section or Section 630.210 and shall retain any unused sick leave accumulated prior to the effective date of this Part.

80 Ill. Adm. Code 630.230 Leave of Personal Business

a) All employees, except those in emergency, per diem, or temporary status, shall be permitted twenty-one (21) hours (or the equivalent three (3) working days) of leave for personal business each calendar year with pay. Such personal days shall not be used to extent holiday or annual leave except as permitted in advance by the department head through prior written approval. Employees entitled to receive personal leave who enter service during the year shall be given credit for the leave at the rate of three and one-half (3 ½) hours (one-half (½) day) for each two (2) months service during the calendar year in which they were hired. Such personal leave may not be used in increments of less than one (1) hour at a time. Except for those emergency situations which preclude the making or prior arrangements, personal days off shall be scheduled sufficiently in advance to be consistent with operating needs of the employer.

b) Personal leave shall not accumulate from calendar year to calendar year.

80 Ill. Adm. Code 630.240 Leave of Absence Without Pay

Unless otherwise provided in this Part, and with the prior approval of the Director, a department head may grant leaves of absence without pay to employees for period not to exceed six (6) months, and the leaves may be extended for good cause by the department head for additional six (6) month periods with the Director's approval. No emergency or temporary employee shall be granted a leave of absence.

80 Ill. Adm. Code 630.250 Leaves of Absence - Special

The Director may grant special leaves of absence with pay to employees for purposes of education, attendance at professional or union conventions, or similar reasons.

80 Ill. Adm. Code 630.270 Leave to Take Exempt Position

The Director shall approve leaves of absence for certified employees who accept appointment in a position which is exempt from the Code. Such leaves of absence may be for a period of one (1) year or less and may be extended for additional one (1) year periods. At the expiration of the leave of absence, an employee shall be restored to the same or similar position upon making application to the department with continuous service including the period of such leave.

80 Ill. Adm. Code 630.280 Military, Job Corps, and Peace Corps Leave

Leaves of absence shall be allowed employees who enter military service, the Peace Corps, or Job Corps as provided in 80 Ill. Adm. Code 620.340 and 620.360 and as may be required by law.

80 Ill. Adm. Code 630.290 Leave for Annual Military Reserve Training or Special Duty

a) An employee who is a member of a reserve component of the Armed Services, the Illinois National Guard, or the Illinois Naval Militia shall be allowed leave with pay not to exceed one (1) full pay period annually without loss of any other accrued benfit.

b) If time required on any of the types of military service covered by this Section exceeds one (1) full pay period in any one fiscal year, the employee shall be granted additional leave without pay by the employing department, provided, however, that during periods of active service to meet emergencies as proclaimed by the Governor, the employee shall be granted a leave of absence with pay. Upon receiving the sum paid for such service under the Military Code of Illinois (Ill. Rev. Stat. 1989, ch. 129, pars 220.001 et seq.), the employee shall submit the warrant, or its equivalent, to the department to be returned to the fund in the State Treasury from which the original agency payroll warrant was drawn. In the event the military pay is greater than the State compensation for the period of emergency call-up, the employee shall retain the military pay and return to the department the amount the agency paid the employee for the period.

c) An employee shall provide the department with certification by the commanding officer of the employee's unit that all leave time was used for the purpose for which granted.

80 Ill. Adm. Code 630.300 Leave for Military Physical Examinations

Any employee drafted into military service shall be allowed up to three (3) days leave with pay to take a physical examination required by the draft. Upon request, the employee must provide the department with certification by a responsible authority that the period of leave was actually used for such purpose.

80 Ill. Adm. Code 630.310 Election to Public Office

Employees who are elected to public office shall, upon request, be granted a leave of absence without pay for so long as they remain elected public officers and they shall be returned to the same position from which they were on leave or a comparable position providing they so request within thirty (30) calendar days following termination of their elected offices.

80 Ill. Adm. Code 630.315 Disaster Service Leave

Any employee, except those in temporary, emergency or per diem status, who is a certified disaster service volunteer of the American Red Cross may be granted leave with pay for up to 20 working days in any 12 month period. The leave may be granted upon request of the American Red Cross and approval of the Treasurer. Disasters must be disasters designated at Level III and above occurring within Illinois.

Source: Added at 17 Ill. Reg. 15123, effective September 7, 1993)

80 Ill. Adm. Code 630.320 Employee Rights After Leave

When an employee returns from a leave of absence of six (6) months or less, the department shall return the employee to the same or similar position in the same class in which the employee was incumbent prior to the commencement of the leave. Except for those leaves granted under Sections 630.270 and 630.280, when an employee returns from a leave or leaves exceeding six (6) months and there is no vacant position available to him/her in the same class in which the employee was incumbent prior to the leave or leaves commencing, the employee may be laid off without consideration of continuous service and, if laid off, the employee's name shall be placed on the reemployment list.

80 Ill. Adm. Code 630.330 Failure to Return from Leave

Failure to return from leave within (5) days after the expiration date may be cause for discharge.

80 Ill. Adm. Code 630.340 Attendance in Court

Any permanent employee called for jury duty or subpoenaed by any legislative, judicial, or administrative tribunal shall be allowed time away from work with pay for such purposes. Upon receiving the sum paid for jury service or witness fee, the employee shall submit the warrant, or its equivalent, to the department to be returned to the fund in the State Treasury from which the original payroll warrant was drawn, provided, however, an employee may elect to fulfill the call or subpoena on accrued time off or personal leave and retain the full amount received for such service. Emergency or temporary employees shall be allowed time off without pay for such purpose and shall be allowed to retain the reimbursement received therefor.

80 Ill. Adm. Code 630.350 Holiday Observance

Where employees are scheduled and required to work on a holiday, equivalent time off will be granted within the following twelve (12) month period at a time convenient to the employee and consistent with the deparment's operating needs.

80 Ill. Adm. Code 630.360 Holiday During Vacation

When a holiday falls on an employee's regularly scheduled work day during the employee's vacation period, an extra day shall be added to the employee's vacation.

80 Ill. Adm. Code 630.370 Eligibility for Holiday Pay

To be eligible for holiday pay, the employee shall work the employee's last scheduled work day before the holiday and first scheduled work day after the holiday unless absence on either or both of these work days is for good cause and approved by the Department head.

80 Ill. Adm. Code 630.380 Holidays – Regional or Special

The Treasurer or the Director may grant employees full or partial days off with pay to meet the unique needs of any region or area within the State. Special time off shall not accrue to any other employee in any other region or area of the State.

80 Ill. Adm. Code 630.410 Eligibility

a) Employees, except emergency and temporary, shall earn vacation time. No employee on leave of absence may earn vacation except when the leave was for the purpose of accepting a temporary working assignment in another class. Vacation accrual rates will be determined by the Director and shall be consistently applied to all employees.

b) Vacation time may be taken in increments of not less than one-half (½) day at a time, any time after it is earned, provided the employee has at least six (6) months of continuous service since the latest date of hire. Vacation time shall not be accumulated for more than twenty-four (24) months after the end of the calendar year in which it is earned.

c) Computation of vacation time of State employees who have interrupted continuous State service shall be determined as though all previous State service which qualified for earning of vacation benefits is continuous with present service.

80 Ill. Adm. Code 630.510 Work Schedules

Each supervisor or department head shall prepare a schedule of working hours and work days pertaining to his/her work unit. Such schedule shall set forth starting and quitting times, break times, lunch time, and the work days that apply to the employees within his/her area of supervision. Work schedules shall be submitted to the Director for his approval. Upon approval, the schedules shall be posted and complied with by all of the employees within the work unit.

80 Ill. Adm. Code 630.610 Overtime

For those positions determined by the Director to be covered by the Fair Labor Standards Act (29 U.S.C. 201 et seq.), authorized work in excess of an approved work schedule shall be overtime. Such work may be compensated in cash or compensatory time as determined by the department. Overtime work shall be distributed as equitably as possible among qualified employees competent to perform the services required when overtime is required. Employees shall be given as much advance notice as possible. Except where required by law, time spent in travel shall not be considered overtime.

80 Ill. Adm. Code 630.620 Compensatory Time

An employee's overtime accumulation shall be liquidated by the utilization of compensatory time off when such utilization is practical. Where the approved work schedule is less than a forty (40) hour work week, overtime shall be compensated as a straight time rate. Work in excess of a forty (40) hour week shall be compensated at time and one-half.

80 Ill. Adm. Code 630.630 Compensatory Time Schedule

Compensatory time shall be scheduled as often as possible at the employee's preference excepting in those circumstances where, with reasonable certainty, such absence would be harmful to the operation of his/her work unit (e.g., another agency's payroll would be delayed because of the employee's absence).

80 Ill. Adm. Code 630.640 Overtime Compensation in Cash

Whenever it is not practical to liquidate an employee's overtime with compensatory time off, the employee shall be reimbursed in cash. Such payment shall be paid at the straight-time rate for work in excess of the approved work schedule but less than a forty (40) hour work week. Work in excess of a forty (40) hour work week shall be paid at time and one-half.

80 Ill. Adm. Code 630.650 Overtime – Accumulation

All employee overtime compensation shall be liquidated within forty-five (45) calendar days of its accumulation.

80 Ill. Adm. Code 630.660 Overtime Payable Upon Death

Upon the death of an employee, the person or persons specified in Section 14a of "AN ACT in relation to State finance" (Ill. Rev. Stat. 1989, ch. 127, par. 150a), as now or hereafter amended, shall be entitled to receive, from the appropriation for personal services available for payment, the sum of the employee's compensation for accrued overtime which would have been paid or allowed to such employee had the employee survived.

Part 640 General Provisions

80 Ill. Adm. Code 640.110 Public Records

Except as otherwise provided in this Part, all records of the Department of Personnel in the Office of the Treasurer (Department) including eligible lists shall be public records and shall be available for inspection on written request to the Director of the Department (Director) in accordance with the Freedom of Information Act (Ill. Rev. Stat. 1989, ch. 116, pars. 201 et seq.).

80 Ill. Adm. Code 640.120 Time and Manner of Inspection

a) The records of the Department shall be available for inspection during regularly scheduled hours of work. Such records may be inspected only in the presence of an authorized employee of the Department.

b) In the event the working conditions or the number of persons inspecting such records or the volume of records to be inspected interfere with the operations of the Department, the Director may schedule appointments for the inspection of such records.

80 Ill. Adm. Code 640.130 Employee Roster Files

The Director shall establish and maintain personnel files for employees subject to the State Treasurer Employment Code (Code) (Ill. Rev. Stat. 1989, ch. 130, pars. 101 et seq.), pursuant to Section 6(c) of the Code, showing the name, sex, county of residence, date of original appointment to service, date of promotions, demotions, transfers, and other transactions, present position title, status, salary, and the operating department to which the employee is assigned.

80 Ill. Adm. Code 640.140 Confidential Records

The following records of the Department of Personnel shall be confidential and not available to public inspection:

a) Personnel history of employee. The employee or authorized agent may inspect the employee's personnel history and personnel file, if authorized is in writing and signed by employee.

b) Reports of medical, psychological, and psychiatric examinations. An employee may inspect all reports pertaining to him/her.

c) All parts of examinations. An employee or applicant may inspect his/her own answer sheet.

d) The identity, complete questionnaire, and other documents related to salary surveys. Results of salary surveys shall be available.

e) No records of personnel transactions including requisitions and referrals will be made available until the transactions have been completed.

80 Ill. Adm. Code 640.150 Attendance Records

Each operating department shall maintain accurate, daily attendance records.

80 Ill. Adm. Code 640.160 Notification of Absence

An employee shall, whenever possible, provide advance notice of absence from work. Absence of an employee for five (5) consecutive days without reporting to the department may be cause for discharge.

80 Ill. Adm. Code 640.170 Review of Attendance Records

An employee shall have the right to review his/her attendance record on file in his/her operating department or the Department of Personnel.

80 Ill. Adm. Code 640.180 Undated Forms

No supervisor or other person in a position of authority shall demand or request that an employee sign, nor shall any employee be required to sign, an undated resignation or any blank form. Any such demand shall entitle the employee to immediate appeal to the Director.

80 Ill. Adm. Code 640.190 Incomplete Forms

Any information placed on a form or any modification of alteration of existing information made on a form subsequent to having been signed by an employee shall be null and void as it may effect the employee, the employee's position, or condition of employment. Any employee required to sign any form prepared pursuant to this Part shall be given a copy of it at the time the employee's signature is affixed.

80 Ill. Adm. Code 640.200 Evaluation Forms

Employees shall be required to sign all evaluation forms to indicate they have read the evaluation and have discussed it with their supervisor.

80 Ill. Adm. Code 640.210 Portability of Certain Benefits

Sick leave earned but not taken by employees in the course of employment not subject to the Code shall be deemed to have been earned by them at the time they become subject to the jurisdiction to the extent the benefits are provided and would have been earned pursuant to the rules of the Office (80 Ill. Adm. Code 610, 620, 630, and 640).

80 Ill. Adm. Code 640.220 Effective Date of Rules

This Part and any amendments shall become effective upon filing with the Secretary of State, Administrative Code Division, pursuant to the provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.).

80 Ill. Adm. Code 640.230 Savings Clause

If any Section or subsection of any Section of this Part shall be held invalid, the remaining provisions of the Part shall have, and shall be given, full force and effect as completely as if the invalidated Section or subsection had not been included therein.

80 Ill. Adm. Code 640.240 Interpretation and Application of Rules

The Director of Personnel shall determine the proper interpretation and application of each Section and Part promulgated by the Department of Personnel. The decision of the Director as to the proper interpretation or application of any Section or Part shall be final and binding upon all departments and employees affected unless or until modified by the Review Board or the courts. All departments and employees shall comply with the Director's decision in the absence of a written opinion of the Attorney General or a written directive of the Review Board declaring the Director's decision to be unlawful.

80 Ill. Adm. Code 640.260 Retroactivity

This Part shall not be retroactive beyond the date of its effectiveness.

Chapter III Illinois Educational Labor Relations Board

Part 1100 General Procedures

80 Ill. Adm. Code 1100.10 Definitions

a) The term "Act" shall mean the Illinois Educational Labor Relations Act [115 ILCS 5].

b) This Part incorporates the definitions contained in Section 2 of the Act.

c) The term "incumbent employee organization" or "incumbent exclusive representative" shall mean the existing exclusive representative of the employees in the bargaining unit.

d) The term "charging party" shall mean the person who files an unfair labor practice charge.

e) The term "respondent" shall mean the party named in an unfair labor practice charge or complaint as having allegedly committed the unfair labor practice.

f) The term "scheduled start of the forthcoming school year" shall mean the first date scheduled for student attendance for that year.

g) The term "professional instructional personnel" shall mean, in the case of a public school district, any employee whose position requires a certificate issued pursuant to Article 21 of the School Code [105 ILCS 5/Art.21].

h) The term "professional instructional personnel" shall mean in the case of an employer other than a public school district, any employee whose position includes or could include the provision of academic instruction to students.

i) The term "legal holiday" shall mean a "legal school holiday" as specified in Sec. 24-2 of the School Code (not to include "special holidays" or "commemorative holidays"), or a holiday observed by the Board.

j) The term "representation petition" shall include both a petition seeking recognition as exclusive representative through an election and a petition seeking recognition as exclusive representative through the Board's card check procedures (majority interest petition).

History

• Source: Amended at 28 Ill. Reg. 7932, effective May 28, 2004

80 Ill. Adm. Code 1100.20 Filing and Service of Documents

a) All documents relating to any proceeding before the Illinois Educational Labor Relations Board (the Board) shall be filed in either the Board's Springfield or Chicago office or shall be sent to the Board's electronic mailbox (ELRB.mail@illinois.gov). Except as otherwise specified in the rules of the Board, documents shall be considered filed with the Board on the date they are received by the Board, except that documents sent by certified or registered mail shall be considered to have been filed on the date on which they are postmarked, and documents sent by overnight delivery service shall be considered to have been filed on the date the receipt shows they were given to the overnight delivery service. A party may file a document by facsimile if the party also sends a hard copy. Documents may also be filed electronically. The Board may direct parties to provide hard copies of documents. Documents, including but not limited to documents filed electronically, must be received by the close of business in order to be considered to have been filed that day. Except for documents filed electronically, a party must file an original and two copies of each document in proceedings before a hearing officer or the Board.

b) Whenever 80 Ill. Adm. Code: Subtitle C, Chapter III requires that a document be on a form developed by the Board, the document may be prepared on a form obtained from the Board or on a facsimile thereof. Minor deviations in the form of a document shall not be grounds for objecting to the document. Minor deviations are those deviations that involve form but not substance and thus do not prejudice any other party to the case.

c) The Board will serve final Board opinions, complaints and notices of hearing, petitions, intervening claims, unfair labor practice charges, and fair share fee objections on the appropriate parties by personal service, registered or certified mail, leaving a copy at the principal office or place of business of the person required to be served, or email in accordance with subsection (g). A party may agree to service of the above documents by other means by giving written consent. The Board may serve other documents by other means.

d) All documents, except those listed in subsection (c), will be served on the appropriate parties by the party propounding the document by means calculated to provide proper service. When a party is represented in a proceeding before the Board, service shall be on the party's representative. When a party is not represented, service shall be on the party. Subpoenas will be served by the party requesting the subpoena by personal service, registered or certified mail, leaving a copy at the principal office or place of business of the person required to be served, or email in accordance with subsection (g).

e) Whenever a document is filed with the Board, it shall be accompanied by a certificate of service. A certificate of service shall consist of a written statement, signed by the party effecting service, detailing the name of the party served and the date and manner of service.

f) Failure of a party to serve a document or failure to attach a certificate of service may be grounds to strike the document, if the failure results in prejudice to another party (such as lack of notice or detrimental reliance) or demonstrates disregard of the Board's processes (such as continued noncompliance).

g) The Board may provide service upon a party or its representative through email. Documents issued by the Board in connection with a Board proceeding may be served by email in lieu of other specified means of service. The following procedures for service of documents and other information by verifiable electronic methods, including, but not limited to, email (collectively referred to as "service") will apply to service under 80 Ill. Adm. Code, Subtitle C, Chapter III:

1. A party or its representative shall designate an email address at which service is accepted upon filing an unfair labor practice charge, representation petition, or notice of appearance.

2. A party or its representative shall immediately notify the Board of a change of email address. Any person or entity who regularly practices before the Board shall verify the email address on an annual basis.

3. The showing of interest in a representation petition shall not be served by email. No document containing protected confidential or personally identifying information, as set out in Section 10-75(b) of the Illinois Administrative Procedure Act [5 ILCS 100], shall be served by email.

4. Service by email is effective at the time of the transmission and will be deemed confirmed unless a failure to deliver message is received for all designated email addresses for that Board proceeding. If the Board receives notification that service to all designated email addresses fails, the Board will accomplish service by some other means, such as facsimile or First-Class or Priority Mail to the last facsimile or mailing address provided by the party.

History

• Source: Amended at 45 Ill. Reg. 1808, effective February 1, 2021

80 Ill. Adm. Code 1100.30 Computation and Extensions of Time

a) In computing any period of time prescribed by the Act or this Part or 80 Ill. Adm. Code 1105, 80 Ill. Adm. Code 1110, 80 Ill. Adm. Code 1120, 80 Ill. Adm. Code 1125, 80 Ill. Adm. Code 1130, and 80 Ill. Adm. Code 1135, except for objections to an election, the day of the act, event, or default after which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included. If the last day of the period so computed falls on a Saturday, Sunday or legal holiday, the time period shall be automatically extended to the next day that is not a Saturday, Sunday or legal holiday.

b) When a time period prescribed under the Act or 80 Ill. Adm. Code: Subtitle C, Chapter III is less than seven days, intervening Saturdays, Sundays or legal holidays shall not be included. Time periods shall otherwise be calculated according to calendar days.

c) Whenever a time period begins running upon the service of notice or other document upon a party, and service is effected by first class mail, three days shall be added to the prescribed period. However, three days shall not be added if any extension of time has been granted.

d) In all proceedings before the Board, extensions of time will be granted only upon timely written motion to the General Counsel, if the matter is before the members of the Board, or the presiding hearing officer if the matter is before a hearing officer, and only upon a specific showing that compliance with the deadline would be unduly burdensome for the party seeking the extension, and the extension will not unduly delay the proceeding (undue delay to be determined by factors including the length of the requested extension, the length of time the matter has been pending, whether the party has previously requested extensions and the impact of delay on other parties).

History

• Source: Amended at 41 Ill. Reg. 10566, effective August 1, 2017

80 Ill. Adm. Code 1100.40 Hearing Officers (repealed)

History

• Source: Repealed at 41 Ill. Reg. 10566, effective August 1, 2017

80 Ill. Adm. Code 1100.50 Recording of Hearings (repealed)

History

• Source: Repealed at 41 Ill. Reg. 10566, effective August 1, 2017

80 Ill. Adm. Code 1100.60 Representation of Parties

Subject to any restrictions on the unauthorized practice of law, a party may be represented by counsel or any other representative of the party's choosing. The representative shall file a notice of appearance with the Board.

History

• Source: Amended at 41 Ill. Reg. 10566, effective August 1, 2017

80 Ill. Adm. Code 1100.70 Subpoenas

a) All subpoenas shall be issued by the Board upon written application of a party to the Administrative Law Judge or hearing officer, or, in the event that an Administrative Law Judge or hearing officer has not been named, to the General Counsel. The application shall contain the name and address of the party and its representative, the name of the person to be subpoenaed, and, when applicable, a description of any documents to be produced.

b) A person objecting to the subpoena, including a subpoena duces tecum, may file a motion to revoke the subpoena. Any motion to revoke a subpoena shall be filed with the hearing officer or Administrative Law Judge or, in the event that a hearing officer or Administrative Law Judge has not been named, with the General Counsel. The motion must be filed by the date on which the person is required to appear or the documents are to be produced, and, in any event, no later than five days after service of the subpoena. Grounds for revocations of subpoenas shall include such factors as irrelevance, burdensomeness of compliance, or privilege.

c) Witnesses appearing at a hearing pursuant to subpoenas are entitled to the same fees and mileage as are allowed witnesses in civil cases in the courts of the State of Illinois, pursuant to Section 4.3 of the Circuit Courts Act [705 ILCS 35]. Witness fees and mileage shall be paid by the party at whose request the subpoena was issued.

d) A subpoena duces tecum shall specify the date for production of the documents. If the date so specified is other than at the hearing, the date specified for production shall be a date in advance of the hearing, which shall be no less than 10 days after the receipt of the subpoena by the person or entity to whom it is directed.

e) A party may be awarded its costs and reasonable attorney's fees incurred in seeking enforcement of a subpoena when the noncompliant party has, in refusing to comply with the subpoena, made allegations or denials without reasonable cause that are found to be untrue or has engaged in frivolous litigation for the purpose of delay or needless increase in the cost of litigation.

History

• Source: Amended at 41 Ill. Reg. 10566, effective August 1, 2017

80 Ill. Adm. Code 1100.80 Limitation on Practice Before the Board by Former Employees

No person who has been a Board member or an employee of the Board shall engage in practice before the Board or its agents in any respect in connection with any case or proceeding in which he participated which was pending during the time of his membership on the Board or employment with the Board.

History

• Source: Amended at 14 Ill. Reg. 1270, effective January 5, 1990

80 Ill. Adm. Code 1100.90 Amicus Curiae

Amicus Curiae briefs may be filed by leave of the Board, or at the request of the Board. A motion for leave to file an amicus curiae brief will state the reasons why an amicus curiae brief is desirable. The Board's standards by which to grant leave to file an amicus brief will include the importance of the issue presented, the general application of the issue presented and the need perceived by the Board for additional briefing on the issue presented. The amicus curiae brief shall conform to any conditions imposed by the Board for briefs in the case in which the brief is filed. The amicus curiae brief shall be filed on or before the due date of the initial brief of the party whose position it supports. Amicus curiae parties will be invited to participate in oral arguments heard by the Board.

History

• Source: Added at 14 Ill. Reg. 1270, effective January 5, 1990

80 Ill. Adm. Code 1100.100 Gender Usage

Whenever the masculine gender is used in 80 Ill. Adm. Code: Subtitle C, Chapter III, that reference also refers to the female gender.

History

• Source: Added at 14 Ill. Reg. 1270, effective January 5, 1990

80 Ill. Adm. Code 1100.105 Qualifications of Administrative Law Judges

In all contested case hearings, the Hearing Officer shall be an administrative law judge. The administrative law judge shall be an attorney licensed to practice law in Illinois. The administrative law judge shall be an employee of the Board or an individual hired by contract with the Board for the purpose of conducting a particular hearing.

History

• Source: Added at 26 Ill. Reg. 11472, effective July 23, 2002

80 Ill. Adm. Code 1100.110 Conflict of Interest

At any time prior to the issuance of the recommended decision and order, a party may move to disqualify the administrative law judge on the grounds of bias or conflict of interest. The motion shall be submitted in writing to the General Counsel, with a copy to the administrative law judge, setting out the specific instances of bias or conflict of interest. An adverse decision or ruling, in and of itself, is not grounds for disqualification. The General Counsel may decline to disqualify the administrative law judge or appoint another administrative law judge to hear the case.

History

• Source: Added at 26 Ill. Reg. 11472, effective July 23, 2002

80 Ill. Adm. Code 1100.120 Oral Argument

Oral argument shall be allowed only at the discretion of the Board. The Board shall direct oral argument when it determines that oral argument will assist determination of the issues.

History

• Source: Added at 35 Ill. Reg. 14438, effective August 12, 2011

80 Ill. Adm. Code 1100.130 Board Meeting Procedures

a) If a quorum of Board members is physically present at a Board meeting, a Board member may be allowed to attend by video or audio conferencing if that Board member cannot be physically present at the meeting because of personal illness or disability; employment purposes or the business of the public body; or a family or other emergency. The Board member must provide advance notice to the Chair of the Board unless advance notice is impractical.

b) After the Board has considered pending cases, members of the public shall be permitted to address the Board during the open portion of a Board meeting on subjects relevant to the Board's functions. The comments by each member of the public shall be limited to a reasonable period of time, not to exceed five minutes unless the Board gives permission.

c) Any person shall be permitted to photograph, tape, film or otherwise record the open portions of Board meetings. Persons may be required to locate their cameras or other recording devices at a sufficient distance from the Board members as is necessary to avoid interference with the Board's discussion.

History

• Source: Added at 38 Ill. Reg. 8371, effective April 1, 2014

Part 1105 Hearing Procedures

80 Ill. Adm. Code 1105.10 General Statement of Purpose

This Subpart details the procedures that will be followed in hearings that deal with issues related to the holding of an election, challenged ballots, amendment of certification or unit clarification, pursuant to Section 7 of the Illinois Educational Labor Relations Act [115 ILCS 5/7] (the Act), and 80 Ill. Adm. Code 1110.100.

History

• Source: Amended at 28 Ill. Reg. 8710, effective June 6, 2004

80 Ill. Adm. Code 1105.20 Setting of Representation Hearing

a) Where a representation petition has been filed and the Illinois Educational Labor Relations Board (the Board) has determined that the petition is supported by an adequate showing of interest and there is reasonable cause to believe that a question of representation exists pursuant to Section 7 of the Act and 80 Ill. Adm. Code 1110.100 a hearing shall be scheduled on any unresolved issues relating to the holding of an election. These issues include (but are not limited to) the scope of the bargaining unit, the exclusion of confidential, supervisory, or managerial employees as defined in the Act, or the existence of a bar to a petition or an election. Where the parties to a representation petition are able to agree to the holding of an election and enter into a consent agreement pursuant to 80 Ill. Adm. Code 1110.100, no hearing will be held.

b) Where a petition to clarify an existing bargaining unit is filed pursuant to 80 Ill. Adm. Code 1110.160 and it presents unresolved issues of material fact, it shall be set for hearing. When the petition does not present unresolved issues of material fact, the Executive Director will rule on the petition without a hearing. A fact is material to the claim or defense in issue when the success of the claim or defense is dependent upon the existence of that fact.

c) Where a petition to amend certification is filed pursuant to 80 Ill. Adm. Code 1110.170 and it presents unresolved issues of material fact, it shall be set for hearing. When the petition does not present unresolved issues of material fact, the Executive Director will rule on the petition without a hearing. A fact is material to the claim or defense in issue when the success of the claim or defense is dependent upon the existence of that fact.

d) Whenever a challenged ballot is determinative of the results of an election, a hearing shall be set when the challenge presents unresolved questions of material fact. Issues shall include (but are not limited to) whether the challenged ballot shall be counted in the final tally of the election. When the challenge does not present unresolved questions of material fact, the Executive Director will rule on the challenge without a hearing.

e) When such a hearing is necessary to resolve issues relating to the holding of an election, challenged ballots, amendment of certification or unit clarification, the Executive Director shall appoint a hearing officer and shall give at least seven days' notice to the parties. That notice shall include:

1. The name of the hearing officer;

2. The nature, location, date and time of the hearing;

3. A statement of the legal authority and jurisdiction under which the hearing is to be held; and

4. A reference to the particular Section of the Act and the rules of the Board involved.

f) Motions to intervene or participate in the hearing, motions for continuances, and motions to revoke or quash subpoenas shall be directed to the hearing officer or, in the event that a hearing officer has not been named, to the General Counsel. All such motions or requests must be in writing, must state with specificity the reasons or grounds for the motion, and must be served on all parties simultaneously with their filing with the hearing officer or General Counsel.

g) Unless otherwise provided in the rules of the Board governing specific types of proceedings, the briefing schedule for all motions shall be as follows:

1. Any supporting brief by the moving party shall be filed and served on all other parties simultaneously with the motion.

2. Other parties shall have seven days to file a response and serve that response on all other parties simultaneously with the filing.

3. The parties must seek leave of the hearing officer to file any additional briefs. The hearing officer will allow the filing of additional briefs upon demonstration that material issues which could not have been anticipated have been raised.

h) Requests for continuances must be made in writing, but need not be submitted as formal motions. Requests for continuances will be granted only for good cause shown, such as the unavoidable absence of a person essential to the hearing, and only when the continuance will not unduly delay the hearings. The party requesting the continuance shall state specifically the reasons that a continuance is being sought and shall state whether the party has discussed the request with all other parties and whether any other party opposes the request. Multiple requests for continuance will be viewed more strictly.

History

• Source: Amended at 41 Ill. Reg. 10574, effective August 1, 2017

80 Ill. Adm. Code 1105.30 Authority of Hearing Officer

The hearing officer shall have the duty to conduct a fair hearing, to ensure development of a clear and complete record, to take all necessary action to avoid delay, and to maintain order. The hearing officer shall have all powers necessary to these ends including (but not limited to) the authority to:

a) Require submission of exhibits before the hearing;

b) Require all parties to state in writing their positions with respect to issues, and to submit pre-hearing information, including a list of all exhibits to be offered by each party in their case in chief and a copy of each such exhibit, stipulations as to the authenticity and business record status of each such exhibit, and the estimated time proposed for the party's case in chief. Parties submitting pre-hearing information specified above must serve that information on all other parties;

c) Administer oaths and affirmations or direct the administration of oaths and affirmations by the court reporter transcribing the hearing;

d) Examine witnesses, direct witnesses to testify, call or subpoena witnesses not offered by the parties, and examine such witnesses;

e) Rule upon offers of proof and receive evidence and rule upon objections to the introduction of evidence;

f) Regulate the proceedings of the case, and the conduct of the parties and their counsel, including (but not limited to) determining the order in which the parties shall present evidence after considering the parties' relative access to relevant evidence;

g) Enter, on his own motion or motion of a party, such orders as are just when a party fails to comply with any order entered under 80 Ill. Adm. Code 1100, 80 Ill. Adm. Code 1105, 80 Ill. Adm. Code 1110, 80 Ill. Adm. Code 1120, 80 Ill. Adm. Code 1125, 80 Ill. Adm. Code 1130 and 80 Ill. Adm. Code 1135;

h) Establish reasonable limits on the frequency and duration of the testimony of any witness and limit repetitious or cumulative testimony;

i) Establish reasonable time limits and guidelines for opening or closing statements based upon the number and complexity of the issues;

j) Establish deadlines and limitations for the filing of post-hearing briefs, including (but not limited to) requiring each party to elect between offering closing arguments or submitting post-hearing briefs simultaneously on a date set by the hearing officer; and

k) Issue decisions pursuant to Section 1105.80 of this Subpart.

History

• Source: Amended at 14 Ill. Reg. 1278, effective January 5, 1990

80 Ill. Adm. Code 1105.40 Rights of Parties

a) All parties to a representation hearing shall have the following rights:

1. To appear on their own behalf or to be represented in accordance with 80 Ill. Adm. Code 1100.60;

2. To offer evidence through the testimony of witnesses or through exhibits;

3. To request subpoenas in order to subpoena witnesses or documents for the hearing;

4. To question witnesses offered by other parties or the hearing officer;

5. To object to testimony or exhibits offered by other parties or the hearing officer; and

6. To make opening statements and to make either closing statements or submit post-hearing briefs simultaneously, subject to any limitation established by the hearing officer pursuant to Section 1105.30 of this Subpart.

b) Misnomer of a party shall not be grounds for dismissal; the name of any party may be corrected at any time while the case is pending.

c) All representation and decertification petitions may be amended at any time to conform with the evidence presented in the hearing.

History

• Source: Amended at 41 Ill. Reg. 10574, effective August 1, 2017

80 Ill. Adm. Code 1105.50 Conduct of Hearing

a) All hearings under this Subpart shall be public.

b) All witnesses shall be sworn.

c) All testimony shall be recorded stenographically, or by other means which adequately preserve the record. The parties shall be responsible for obtaining their own copies of the transcript from the reporter. In the event that a party wishes to correct a transcription error in the transcript, the party shall notify the hearing officer in writing within seven days of receipt of the transcript and shall simultaneously serve a copy of that notification upon all other parties.

d) A party tendering an exhibit for identification or admission into evidence shall be responsible for providing the original and three copies of the exhibit to the hearing officer and one copy to each other party at the time that the exhibit is tendered.

e) The hearing record in all non-adversarial proceedings shall include:

1. All petitions (excluding showing of interest submitted pursuant to 80 Ill. Adm. Code 1110), motions, briefs, exceptions, and rulings or decisions by the hearing officer;

2. All evidence received by the hearing officer;

3. A statement of all matters of which official notice has been taken;

4. Offers of proof, objections, and rulings thereon;

5. Proposed findings of fact and conclusions of law; and

6. Any ex parte communications prohibited by Section 10-60 of the Illinois Administrative Procedure Act [5 ILCS 100/10-60], but such communications shall not form the basis for any finding of fact.

History

• Source: Amended at 28 Ill. Reg. 8710, effective June 6, 2004

80 Ill. Adm. Code 1105.60 Admissible Evidence

a) The Hearing Officer shall follow the rules of evidence as applied in the courts of Illinois pertaining to civil actions. In addition, the Hearing Officer will receive evidence which is material, relevant, and would be relied upon by reasonably prudent persons in the conduct of their affairs provided that the rules relating to privileged communications and privileged topics shall be observed.

b) Evidence may be presented in the form of testimony, exhibits, or stipulations.

80 Ill. Adm. Code 1105.70 Official Notice

The Hearing Officer and the Board may take official notice of all facts of which Illinois courts may take judicial notice and of other facts within the specialized knowledge and experience of the Board.

80 Ill. Adm. Code 1105.80 Decisions and Exceptions (repealed)

History

• Source: Repealed at 41 Ill. Reg. 10574, effective August 1, 2017

80 Ill. Adm. Code 1105.90 General Statement of Purpose

The rules in this Subpart detail the procedures that will be followed in hearings on election objections and unfair labor practice charges pursuant to Sections 8, 14, and 15 of the Act and 80 Ill. Adm. Code 1110.50 and 1120.10 through 1120.60.

80 Ill. Adm. Code 1105.100 Setting of Contested Case Hearing

a) Where the Executive Director has issued a complaint on an unfair labor practice charge pursuant to Section 15 of the Act and 80 Ill. Adm. Code 1120.30 or a finding of probable cause with respect to an election objection pursuant to Section 8 of the Act and 80 Ill. Adm. Code 1110.150, a hearing shall be scheduled. Unfair labor practice charges and election objections having a common nucleus of operative facts shall be consolidated for purposes of hearing.

b) Complaints will issue or probable cause will be found when the investigation has disclosed adequate credible statements, facts, or documents which, if substantiated, and not rebutted in a hearing, would constitute sufficient evidence to support a finding of a violation of the Act. Issuance of a complaint or finding of probable cause that objectionable conduct occurred by the Executive Director is not a decision that an unfair labor practice or objectionable conduct has in fact occurred.

c) When such a hearing is necessary, the Executive Director shall appoint an Administrative Law Judge. When the Executive Director issues a Complaint and Notice of Hearing, the parties shall be given at least seven days' notice of the hearing. That notice and the complaint or finding of probable cause shall include:

1. The name of the Administrative Law Judge;

2. The location, date and time of the hearing;

3. A statement of the legal authority and jurisdiction under which the hearing is to be held;

4. A reference to the particular Section of the Act and the rules of the Board involved; and

5. A brief statement of the nature of the matters at issue.

d) Motions shall be directed to the Administrative Law Judge or, in the event that an Administrative Law Judge has not been named, to the General Counsel. All such motions or requests must be in writing, must state with specificity the reasons or grounds for the motion, and must be served on all parties simultaneously with their filing with the Administrative Law Judge or General Counsel. Motions that would preclude a hearing, such as a motion to dismiss or to refer the matter to arbitration, shall be filed with the Answer. However, such a motion may be filed at any time with the permission of the Administrative Law Judge or the General Counsel.

e) Unless otherwise provided in the rules of the Board governing specific types of proceedings, the briefing schedule for all motions shall be as follows:

1. Any supporting brief by the moving party shall be filed and served on all other parties simultaneously with the motion.

2. Other parties shall have seven days to file a response and serve that response on all other parties simultaneously with the filing.

3. The parties must seek leave of the Administrative Law Judge to file any additional briefs. The Administrative Law Judge will allow the filing of additional briefs upon demonstration that material issues which could not have been anticipated have been raised.

f) Requests for continuances must be made in writing, but need not be submitted as formal motions. Requests for continuances will be granted only for good cause shown, such as the unavoidable absence of a person essential to the hearing, and only when the continuance will not unduly delay the hearing. The party requesting the continuance shall state specifically in the motion the reasons that a continuance is being sought and shall state whether the party has discussed the request with all other parties and whether any other party opposes the request. Multiple requests for continuances will be viewed more strictly.

g) The Executive Director may amend the complaint prior to the hearing upon motion of a party or on the Executive Director's own motion. Grounds for amendment will include newly discovered evidence, inadvertent exclusions and new allegations. The parties shall receive reasonable notice of the amendment, and the Respondent shall have 15 days after the service of the amended complaint, unless waived by the Respondent, within which to file an answer to the amended complaint.

History

• Source: Amended at 41 Ill. Reg. 10574, effective August 1, 2017

80 Ill. Adm. Code 1105.110 Parties

a) The party filing an unfair labor practice charge or election objection shall be designated the complainant. Any adverse party shall be designated the respondent.

b) Misnomer of a party shall not be grounds for dismissal; the name of any party may be corrected at any time.

History

• Source: Amended at 14 Ill. Reg. 1278, effective January 5, 1990

80 Ill. Adm. Code 1105.120 Authority of Hearing Officer

The Hearing Officer shall have the duty to conduct a fair hearing, to take all necessary action to avoid delay, to maintain order and to ensure development of a clear and complete record. The Hearing Officer shall have all powers necessary to these ends including (but not limited to) the authority to:

a) Hold pre-hearing conferences for settlement, simplification of the issues, or any other related purposes;

b) Enter, on his own motion or motion of a party, such orders as are just when a party fails to comply with any order entered under 80 Ill. Adm. Code 1100, 80 Ill. Adm. Code 1105, 80 Ill. Adm. Code 1110, 80 Ill. Adm. Code 1120, 80 Ill. Adm. Code 1125, 80 Ill. Adm. Code 1130 and 80 Ill. Adm. Code 1135.

c) Regulate the proceedings of the contested case and the conduct of the parties and their counsel;

d) Administer oaths and affirmations or direct the administration of oaths and affirmations by the court reporter transcribing the hearing;

e) Rule upon offers of proof and receive evidence and rule upon objections to the introduction of evidence;

f) Examine witnesses and direct witnesses to testify ;

g) Establish reasonable time limits and guidelines for opening and closing statements based upon the number and complexity of the issues;

h) Establish deadlines and limitations for the filing of post-hearing briefs, including (but not limited to) requiring each party to elect between offering closing arguments or submitting post-hearing briefs simultaneously on a date set by the Hearing Officer;

i) Except as otherwise provided, consider and rule as justice may require upon motions appropriate to an adjudicative proceeding;

j) On motion of a party, to amend a complaint before the hearing concludes to conform to the evidence presented in the hearing; and

k) Issue decisions subject to appeal to the Board.

History

• Source: Amended at 14 Ill. Reg. 1278, effective January 5, 1990

80 Ill. Adm. Code 1105.130 Requests for Documents (repealed)

History

• Source: Repealed at 14 Ill. Reg. 1278, effective January 5, 1990

80 Ill. Adm. Code 1105.140 Pre-Hearing Memorandum

a) The parties shall each file written pre-hearing memoranda with the Administrative Law Judge not less than seven days before the hearing. The pre-hearing memoranda shall include:

1. A list of all exhibits to be offered by each party, and a statement that the parties have exchanged these exhibits;

2. Objections to the authenticity of any of the exhibits tendered by all other parties, and the status of any of the exhibits as business records;

3. A list of proposed witnesses, an estimate of the time that will be required for the direct examination of those witnesses, and a summary of the matters to which they will testify;

4. A joint statement of the uncontested material facts.

b) The parties may submit individual or joint statements of the contested material facts or contested issues of law with the required portions of the pre-hearing memoranda.

c) The Administrative Law Judge, on his or her own motion, may waive the filing of the pre-hearing memorandum in whole or in part when he or she finds that such waiver is needed to avoid unnecessary delay of the hearing or an undue burden to a party.

d) Failure by a party to disclose an exhibit or the identity of a witness may be grounds for a motion by an opposing party or by the Administrative Law Judge for exclusion of that exhibit or witness where offered in a party's case-in-chief or, in the alternative, for a continuance to allow the opposing party time to review the exhibit or determine the nature of the witness' testimony and prepare to meet or counter such evidence. Such motions shall be granted only upon a showing that the moving party was surprised and placed at a disadvantage by the failure to disclose in the pre-hearing memorandum. Exhibits and witnesses not listed in the pre-hearing memorandum can be presented for rebuttal or impeachment purposes.

History

• Source: Amended at 28 Ill. Reg. 8710, effective June 6, 2004

80 Ill. Adm. Code 1105.150 Rights of Parties

All parties to a contested case hearing shall have the following rights:

a) To appear on their own behalf or to be represented in accordance with 80 Ill. Adm. Code 1100.60;

b) To offer evidence through the testimony of witnesses or through exhibits;

c) To request subpoenas in order to subpoena witnesses or documents for the hearing;

d) To question witnesses offered by other parties;

e) To object to testimony or exhibits offered by other parties; and

f) To make opening statements and to make either closing statements or submit post-hearing briefs simultaneously subject to any limitation established by the Hearing Officer pursuant to Section 1105.100 of this Subpart.

History

• Source: Amended at 41 Ill. Reg. 10574, effective August 1, 2017

80 Ill. Adm. Code 1105.160 Order of Hearing

a) The following shall be the order of all contested case hearings, subject to modification by the Administrative Law Judge for good cause:

1. Presentation, argument, and disposition of motions preliminary to a hearing on the merits of the matters raised in the complaint;

2. Presentation of opening statements;

3. Complainant's case-in-chief;

4. Respondent's case-in-chief;

5. Complainant's case-in-rebuttal;

6. Complainant's closing argument, which may include legal argument;

7. Respondent's closing argument, which may include legal argument;

8. Complainant's rebuttal argument, which may include legal argument;

9. Presentation and argument of motions regarding removal of the case to the Board pursuant to 80 Ill. Adm. Code 1120.40, where applicable; and

10. A schedule of submission of briefs to the Administrative Law Judge or Board pursuant to 80 Ill. Adm. Code 1120.40.

b) The order of the contested case hearing will be modified by the Administrative Law Judge for good cause shown, such as upon motion of a party demonstrating that such modification is necessary because of the unavailability of a necessary witness or an attorney and that the moving party has not caused or contributed to such unavailability.

c) The respondent may, at the close of the complainant's case, move for judgment in favor of the respondent. If the ruling on the motion is favorable to the respondent, an order dismissing the action shall be entered. If the ruling on the motion is adverse to the respondent, the respondent may proceed to adduce evidence in support of the respondent's defense.

d) The hearing record in all contested cases shall include:

1. All pleadings (including all notices and responses thereto), motions, briefs, exceptions, and rulings, or decisions by the Administrative Law Judge;

2. All evidence received by the Administrative Law Judge;

3. A statement of all matters of which official notice has been taken;

4. Offers of proof, objections, and rulings thereon;

5. Proposed findings of fact and conclusions of law; and

6. Any ex parte communications prohibited by Section 10-60 of the Illinois Administrative Procedure Act [5 ILCS 100/10-60], but such communications shall not form the basis for any finding of fact.

e) Any findings of fact in decisions issued by the Administrative Law Judge or Board shall be based exclusively on the evidence in the Record and on matters of which official notice has been taken.

History

• Source: Amended at 28 Ill. Reg. 8710, effective June 6, 2004

80 Ill. Adm. Code 1105.170 Conduct of Hearing

a) All hearings under this Subpart shall be public.

b) All witnesses shall be sworn.

c) All testimony shall be recorded stenographically or by other means which adequately preserve the record. The parties shall be responsible for obtaining their own copies of the transcript from the reporter. In the event that a party wishes to correct a transcription error in the transcript, the party shall notify the Hearing Officer in writing within seven days of receipt of the transcript and shall simultaneously serve a copy of that notification upon all other parties.

d) A party tendering an exhibit for identification or admission into evidence shall be responsible for providing the original and three copies of the exhibit to the Hearing Officer and one copy to each other party at the time that the exhibit is tendered.

History

• Source: Amended at 14 Ill. Reg. 1278, effective January 5, 1990

80 Ill. Adm. Code 1105.180 Confidentiality

a) Except as provided in subsection (b) of this Section or in the Board's rules relating to the Freedom of Information Act [5 ILCS 140], no Board member or employee of the Board shall produce or present any files, documents, reports, memoranda, or records of the Board in any contested case proceeding held pursuant to the rules of the Board, whether in response to a subpoena duces tecum or otherwise, without the written consent of the Board. Nor shall any such person testify in behalf of any party in any such proceeding with respect to any information, facts, or other matter coming to his or her knowledge in his or her official capacity or with respect to the contents of any files, documents, reports, memoranda, or records of the Board, whether in answer to a subpoena or otherwise, without the written consent of the Board. The Board will consent upon a demonstration of the absolute necessity of such documents or testimony to the case and the impossibility of obtaining the evidence sought from any other source.

b) Notwithstanding the prohibitions of subsection (a) of this Section, after a witness called by the charging party or the respondent has testified in a hearing upon an unfair labor practice complaint, the Administrative Law Judge shall, upon motion of the opposing party, inspect in camera any statement (as hereinafter defined) of such witness in the possession of the Board. The Administrative Law Judge shall excise the portions of such statement which, although not relating to the subject matter of the testimony of the witness, do relate to other matters raised by the pleadings. With such material excised, the Administrative Law Judge shall then direct delivery of such statement to the parties for use on cross-examination and redirect. If, pursuant to such procedure, any portion of such statement is withheld from the parties and a party objects to such withholding, the entire text of such statement shall be preserved by the Administrative Law Judge, and, in the event a party files exceptions with the Board based upon such withholding, shall be made available to the Board for the purpose of determining the correctness of the ruling of the Administrative Law Judge. If the entire contents of any such statement relate to the subject matter of the testimony of the witness, the Administrative Law Judge shall order it to be delivered directly to the parties for examination and use for the purpose of cross-examination and redirect. The right to inspect any such statements shall be waived if the motion to have the Administrative Law Judge inspect and deliver the statement for use in cross-examination is not made before the witness is excused from the stand.

c) The term "statement" as used in this Section means:

1. A written statement made by said witness and signed or otherwise adopted or approved by him; or

2. A stenographic, mechanical, electrical, or other recording, or a transcription thereof, which is a substantially verbatim recital of an oral statement made by said witness to an agent of the party obligated to produce the statement and recorded contemporaneously with the making of such oral statement.

History

• Source: Amended at 28 Ill. Reg. 8710, effective June 6, 2004

80 Ill. Adm. Code 1105.190 Admissible Evidence

a) The Hearing Officer shall follow the rules of evidence as applied in the courts of Illinois pertaining to civil actions. In addition, the Hearing Officer will receive evidence which is material, relevant, and would be relied upon by reasonably prudent persons in the conduct of their affairs provided that the rules relating to privileged communications and privileged topics shall be observed.

b) Evidence may be presented in the form of testimony, exhibits, or stipulations.

80 Ill. Adm. Code 1105.200 Official Notice

The Hearing Officer and the Board may take official notice of all facts of which Illinois courts may take judicial notice and of other facts within the specialized knowledge and experience of the Board.

80 Ill. Adm. Code 1105.210 Examination of Hostile Party or Adverse Witness

The parties to a hearing under this Subpart shall be entitled to call hostile or adverse witnesses as provided by Section 2-1102 of the Civil Practice Law [735 ILCS 5/2-1102].

History

• Source: Amended at 28 Ill. Reg. 8710, effective June 6, 2004

80 Ill. Adm. Code 1105.220 Decisions and Exceptions (repealed)

History

• Source: Repealed at 41 Ill. Reg. 10574, effective August 1, 2017

80 Ill. Adm. Code 1105.230 Motions for Production of Documents (repealed)

Part 1110 Representation Procedures

80 Ill. Adm. Code 1110.10 General Statement of Purpose

The regulations contained in this Part detail the procedures that employers, employees, and employee organizations should use for employer voluntary recognition of an employee organization and for instituting representation and related proceedings. These procedures are the exclusive means by which an educational employer may recognize an employee organization after the effective date of this Part if the bargaining relationship and any ensuing collective bargaining agreement are to be pursuant to the Illinois Educational Labor Relations Act (the Act) [115 ILCS 5] and subject to the processes of this Board.

History

• Source: Amended at 28 Ill. Reg. 7938, effective May 28, 2004

80 Ill. Adm. Code 1110.15 Investigations

The extent and nature of all investigations by the Board or its designated agents in the course of representation proceedings shall be determined by the specific issues and facts raised by the parties.

a) Investigations of the showing of interest for representation petitions and intervention in elections shall include a review of the evidence submitted to the Board that a sufficient number of employees desire representation by an employee organization for purposes of collective bargaining in order to establish that the levels of interest required by the Act and this Part have been met.

b) Investigations of the showing of interest for a decertification petition shall include a review of the evidence submitted to the Board that 30 percent of the employees in the bargaining unit no longer desire to be represented by the incumbent bargaining agent. The Board of its designated agent will interview witnesses and take statements when necessary to ascertain whether the evidence was obtained in accordance with the Act and this Part.

c) Investigations relating to all other matters under this Part shall include a review of all documents and other evidence submitted by the parties and, when necessary, interviews of representatives of the parties or other persons having knowledge of relevant facts.

80 Ill. Adm. Code 1110.20 Employee Organizations Seeking Recognition

a) An employee organization seeking recognition in a bargaining unit in which no other employee organization has lawfully attained representation rights may either request that the employer voluntarily recognize it or may file a representation petition with the Board.

b) An employee organization seeking recognition in a bargaining unit in which another employee organization has lawfully attained representation rights may pursue its request only by filing a representation petition with the Board.

80 Ill. Adm. Code 1110.30 Employer Responses to Recognition Requests

a) An employer faced with a request for recognition in a bargaining unit that is not currently represented by an employee organization may file a representation petition with the Board, may decline to respond to the request, or, if an election is sought, may consent to a representation election. Where the bargaining unit is not currently represented, the employer shall recognize an employee organization that seeks voluntary recognition if that organization appears to represent a majority of employees in the unit and if the voluntary recognition procedures specified in Section 1110.40 of this Part are followed.

b) An employer faced with a request for recognition in a bargaining unit in which another employee organization has lawfully attained representation rights may file a representation petition with the Board, may decline to respond to the request, or, if an election is sought, may consent to a representation election. The employer may not resort to the voluntary recognition procedures in response to such a request.

History

• Source: Amended at 28 Ill. Reg. 7938, effective May 28, 2004

80 Ill. Adm. Code 1110.40 Voluntary Recognition Procedures

a) Voluntary recognition procedures may not be used under the following circumstances:

1. whenever another employee organization has lawfully attained representation rights as the exclusive representative of the employees in the bargaining unit;

2. whenever there has been a valid representation election or a majority interest petition has been dismissed within the preceding 12 months;

3. whenever the proposed bargaining unit would include both professional and nonprofessional employees.

b) An employee organization is not required to follow voluntary recognition procedures prior to employing majority interest procedures.

c) Whenever a party intends to use the voluntary recognition procedures, the party shall notify the Board of its intent. The notification shall be on a form developed by the Board and shall include:

1. the name and address of the employer;

2. the name, address and affiliation, if any, of the employee organization to be recognized;

3. a description of the proposed bargaining unit;

4. the approximate number of employees in the proposed bargaining unit;

5. the reasons why the employee organization appears to represent a majority of the employees;

6. the date on which the employer posted or intends to post the voluntary recognition notice; and

7. a copy of the voluntary recognition notice that has been or will be posted.

d) The employer must post the voluntary recognition notice provided by the Board on bulletin boards and other places where notices for employees in the bargaining unit are customarily placed.

e) The notice shall remain posted for a period of at least 20 school days. For purposes of computing the 20-day period, a school day shall not include weekends, days on which holidays are recognized, or any day on which a significant portion of the regularly scheduled work force in the bargaining unit is not scheduled to work. The employer shall attempt to ensure that the notice is not removed or defaced and shall replace any notice that is removed or defaced.

f) During the posting period, any competing employee organization may file a petition with the Board. Prior to, or simultaneously with, its filing with the Board, the petition shall also be served on the employer and the employee organization that was to have been voluntarily recognized. The petition shall be on a form developed by the Board and shall contain:

1. the name, address and affiliation, if any, of the employee organization;

2. the names of the employer and employee organization that the employer intends to voluntarily recognize;

3. a description of the proposed bargaining unit;

4. the date the voluntary recognition notice was posted; and

5. the date the posting period is scheduled to terminate.

g) A competing employee organization's petition must be supported by a showing of interest by at least 15 percent of the employees in an appropriate bargaining unit which includes all or some of the employees in the unit intended to be recognized (Section 7(b) of the Act).

h) Upon the filing of a competing employee organization's petition, the Board shall treat the notification of intent to use the voluntary recognition proceedings as a representation proceeding. The Board shall proceed in accordance with Section 7(c) of the Act and Sections 1110.90 through 1110.150.

i) The petition must be supported by objective evidence that a majority of the employees in the bargaining unit wish to be represented by the employee organization.

1. If authorization cards are offered as evidence, those cards that would not qualify as evidence in support of a representation petition, pursuant to Section 1110.80(c) and (d), will not be considered sufficient evidence of majority status.

2. If employees signing such authorization cards have also signed cards authorizing other employee organizations to represent them, those cards will not be considered sufficient evidence of majority status.

j) If no competing employee organization petitions have been filed with the Board by the termination of the posting period, the Board will investigate the voluntary recognition request.

1. If the Board concludes that the employee organization represents a majority of the employees in the bargaining unit, and that the petition is otherwise consistent with the Act and this Part, the Board shall certify the employee organization as the exclusive representative of the employees.

2. If the Board determines that there is insufficient evidence to support the claim of majority status, or that the petition otherwise contravenes the Act or this Part, the Board shall dismiss the petition without prejudice to the filing of a representation petition by either the employer or the employee organization.

History

• Source: Amended at 41 Ill. Reg. 10587, effective August 1, 2017

80 Ill. Adm. Code 1110.50 Representation Petitions

a) A representation petition may be filed by:

1. an employee, a group of employees, or an employee organization; or

2. an employer alleging that one or more labor organizations have presented a claim to be recognized as an exclusive bargaining representative of a majority of the employees in an appropriate unit and that it doubts the majority status of any of the organizations or that it doubts the majority status of an exclusive representative (Section 7(c)(2) of the Act).

b) Representation petitions shall be signed by a representative of the petitioning party and shall contain:

1. the name and address of the employer;

2. the name, address, and affiliation, if any, of the employee organization;

3. a description of the proposed bargaining unit which petitioner claims to be appropriate;

4. the approximate number of employees in the proposed bargaining unit;

5. the name of any existing exclusive representative of any employees in the proposed bargaining unit;

6. a brief description of any collective bargaining agreements covering any employees in the proposed bargaining unit, and the expiration dates of the agreements;

7. the date that the employer recognized any existing exclusive representative of any employees in the proposed bargaining unit, and the method of recognition;

8. election and/or recognition history prior to January 1, 1984, to the extent known;

9. in the case of a petition filed by an employee, a group of employees, or an employee organization, a statement whether the petitioner intends to use the majority interest procedure or the election procedure;

10. in the case of a petition filed by an employer, a statement that one or more employee organizations has demanded recognition and that the employer doubts either their majority status or the continued majority status of the existing representative.

c) The Board shall serve the representation petition on the appropriate parties.

1. Employer petitions shall be served on the employee organizations that demanded recognition, and on the existing exclusive representative, if any.

2. Employee and employee organization petitions shall be served on the employer and on the existing exclusive representative, if any.

d) Employee and employee organization petitions seeking an election shall be accompanied by a showing of interest that at least 30 percent of the employees in the petitioned for bargaining unit wish to be represented by the employee organization. Employee and employee organization majority interest petitions shall be accompanied by a showing of a majority interest.

e) A petition may seek joint representation by two or more employee organizations if an instrument, such as a joint council, has been established to effectuate the joint representation. In such instances, the petition shall describe the instrument.

f) A petitioner may withdraw a representation petition seeking an election as follows:

1. If there are no intervenors, at any time prior to the direction of an election.

2. If there are no intervenors, at any time after the direction of an election, but prior to the election. However, such withdrawal shall bar the petitioner from petitioning for an election or filing a majority interest petition in a bargaining unit covering all or part of the petitioned for unit for one year following the withdrawal.

3. If there are intervenors, the employee organization may not withdraw its petition without the consent of all parties. However, the employee organization may file a statement signed by its authorized representative that it no longer wishes to appear on the ballot. The statement shall be filed no later than ten days prior to the election. Upon receipt of such a statement, the Board shall strike the employee organization's name from the ballot.

g) A petitioner may withdraw a majority interest petition as follows:

1. If there are no intervenors, at any time. However, if the petitioner withdraws the petition after the Board has determined that there is clear and convincing evidence of fraud or coercion in obtaining the showing of interest, such withdrawal shall bar the petitioner from filing a representation petition in a bargaining unit covering all or part of the petitioned for unit for one year following the withdrawal.

2. If there are intervenors that meet the requirements of Section 1110.105(q) and Section 1110.80(b) of this Part, the employee organization may not withdraw its petition without the consent of all parties. However, the employee organization may file a statement signed by its authorized representative that it no longer wishes to appear on the ballot. The statement shall be filed no later than 10 days prior to the election. Upon receipt of such a statement, the Board shall strike the employee organization's name from the ballot.

h) Failure to complete the petition by listing all of the information contained in subsection (b) of this Section shall not be grounds for dismissal of the petition so long as the unlisted information is available from any other party. A petition seeking an election may be revised by the filing party at any time prior to a hearing or agreement to a consent election. A majority interest petition may be revised by the filing party within 21 days after service of the petition. Notice of any revision shall be served upon all other parties.

History

• Source: Amended at 28 Ill. Reg. 7938, effective May 28, 2004

80 Ill. Adm. Code 1110.60 Decertification Petitions

a) A petition to decertify an existing exclusive representative may be filed by an employee or group of employees. The Board shall serve the petition on the exclusive representative and on the employer. The petition shall be on a form developed by the Board. It shall be signed and shall contain the following:

1. the name and address of the petitioner;

2. the name, address, and affiliation, if any, of the exclusive representative;

3. the name and address of the employer;

4. a description of the bargaining unit;

5. the approximate number of employees in the bargaining unit;

6. the date that the exclusive representative was recognized and the method of recognition, if known; and

7. a brief description of any collective bargaining agreements covering any employees in the bargaining unit, and the expiration dates of the agreements.

b) An employer shall not instigate or lend support to a decertification petition. Allegations that an employer has violated this subsection may be raised in motions to dismiss the decertification petition, objections to the decertification election, or unfair labor practice charges.

c) The majority interest procedure shall not be used to decertify an employee organization.

History

• Source: Amended at 28 Ill. Reg. 7938, effective May 28, 2004

80 Ill. Adm. Code 1110.70 Timeliness of Petitions and Bars to Elections

a) Election bar: With respect to any bargaining unit, no election may be conducted in a bargaining unit, or subdivision thereof, in which a valid election has been held within the preceding 12 month period (Section 7(d) of the Act). The Board will dismiss majority interest petitions for a bargaining unit, or subdivision thereof, in which a valid election has been held within the proceeding 12 month period. However, petitions seeking an election filed within the last three months of the 12 month period will be processed, and any resulting election will be conducted after the 12 month period has elapsed. Petitions seeking an election filed in the first 9 months of the 12 month period will be dismissed.

b) Certification bar: With respect to any bargaining unit, absent unusual circumstances the Board will dismiss a representation or decertification petition filed within 12 months following the date of Board certification of an exclusive representative for all or some of the employees in the bargaining unit, as a result of voluntary certification, majority interest proceeding or representation election. Unusual circumstances include when the exclusive representative dissolves or becomes defunct; when as a result of a schism, substantially all of the members and officers of the exclusive representative transfer their affiliation to a new local or international; or the size of the bargaining unit fluctuates radically within a short time.

c) Representation and decertification petitions may not be filed whenever there is in effect a collective bargaining agreement of three years or shorter duration covering all or some of the employees in the bargaining unit. Collective bargaining agreements of longer than three years duration shall serve as a bar for the first three years of their existence. In all cases, representation and decertification petitions may be filed between January 15 and March 1 of the year in which the collective bargaining agreement is due to expire or in the third year of an agreement of more than three years duration. However, no such petition may be filed if it would otherwise be barred by subsection (a) or (b).

d) A collective bargaining agreement shall not bar the filing of a representation or decertification petition if the agreement is between an employer and an employee organization recognized by the employer after the effective date of this Part without having used the voluntary recognition, majority interest or representation election procedures specified in the Act and this Part.

History

• Source: Amended at 35 Ill. Reg. 14447, effective August 12, 2011

80 Ill. Adm. Code 1110.80 Showing of Interest

a) Representation petitions filed by employees, groups of employees and employee organizations that seek an election and all decertification petitions must be accompanied by a 30 percent showing of interest. Majority interest petitions must be accompanied by a showing of majority interest.

1. The showing of interest in support of a representation petition seeking an election shall consist of authorization cards, petitions, or other evidence which demonstrates that at least 30 percent of the employees in the proposed bargaining unit desire to be represented for collective bargaining by the petitioned for or petitioning employee organization.

2. The showing of interest in support of a decertification petition shall consist only of cards or petitions clearly stating that the employee does not want the incumbent employee organization to continue serving as exclusive representative.

3. The showing of interest in support of a majority interest petition shall consist of current dues deduction authorizations, authorization cards, petitions, or other evidence that demonstrates that more than 50 percent of the employees wish to be represented for collective bargaining by the petitioned for or petitioning employee organization. An authorization card including the information in Appendix A shall be considered sufficient to support a showing of majority interest.

4. The showing of interest in support of a petition may be evidenced by the electronic signature of the employee, as set forth in subsections (i) through (m).

b) A petition to intervene in an election or majority interest proceeding must be supported by a 15 percent showing of interest when the petition proposes a bargaining unit substantially similar to the originally proposed unit. In the case of a majority interest petition, the requirements of Section 1110.105(q) also apply. When the intervenor proposes a bargaining unit substantially different from the originally proposed unit, the petition must be supported by a 30 percent showing of interest in the case of a petition seeking an election and a showing of majority interest in the case of a majority interest petition. In determining whether the proposed bargaining units are substantially similar, the Board will consider the number and type of employees in each of the proposed units. The proposed units will not be considered substantially similar whenever less than 50 percent of the employees in the originally proposed unit are included in the unit proposed by the intervenor. An incumbent exclusive representative shall automatically be allowed to intervene without submitting any showing of interest.

c) If authorization cards or petitions are submitted as a showing of interest, each signature appearing thereon should be dated by the employee.

d) Each signature appearing on an authorization card or petition shall be effective for twelve months from the date it was given.

e) In the case of a petition seeking an election, whenever an employee has signed authorization cards or petitions for two or more employee organizations, each card or petition shall be counted in computing the required showing of interest. In the case of a majority interest petition, whenever an employee has signed authorization cards or petitions for two or more employee organizations, neither card or signature on a petition shall be counted in computing the required showing of interest.

f) The Board shall maintain the confidentiality of the showing of interest. The evidence submitted in support of the showing of interest shall not be furnished to any of the parties.

g) The Executive Director will determine whether the evidence submitted demonstrates the appropriate level of showing of interest pursuant to subsections (a) and (b). Except as provided in Section 1110.105, the showing of interest shall not be subject to collateral attack and shall not be an issue at hearing. However, any person who has evidence that the showing of interest was fraudulent or was obtained through misrepresentation or coercion may bring the evidence to the attention of the Board's agent investigating the petition.

h) If the Executive Director determines that the evidence submitted does not demonstrate the appropriate level of showing of interest, the petitioner or intervenor shall have 48 hours to provide the necessary showing of interest to the Executive Director, except as provided by Section 1110.105(p). If the petitioner or intervenor is unable to present any necessary additional evidence of showing of interest within that time, then the petition shall be subject to dismissal.

i) Authorization cards or other documents evidencing majority support may be signed with an electronic signature.

j) "Electronic signature" means an electronic sound, symbol, or process attached to or logically associated with a record and executed or adopted by a person with the intent to sign the record. [815 ILCS 333/2(8)].

k) Submissions supported by electronic signature must contain the following:

1. the signer's name;

2. the signer's email address or other known contact information;

3. the signer's telephone number;

4. the language to which the signer has agreed;

5. the date the electronic signature was submitted; and,

6. the name of the employer of the employee.

l) Submissions supported by electronic signature will be verified by the Board or its agent.

m) Submissions supported by electronic signature may not contain dates of birth, social security numbers, or other sensitive personal identifiers. The Board will not accept such submissions until the petitioner redacts them.

History

• Source: Amended at 47 Ill. Reg. 19307, effective December 21, 2023

80 Ill. Adm. Code 1110.90 Posting of Notice

Following the filing of a representation or decertification petition, the Board shall provide the employer with a notice that shall be posted, by the day after the employer receives the notice, on bulletin boards and other places where notices for employees in the bargaining unit are customarily posted, or in conspicuous places in the absence of a customary posting location. If the posting would occur during a seasonal break or other period when a substantial number of bargaining unit members are not working, notice shall be provided to bargaining unit members through alternative means agreed to by the parties and the Executive Director or Board agent. If the parties and the Executive Director or Board agent are not able to agree on the alternative means of posting, the Executive Director or Board agent shall determine the alternative means of posting. In the case of majority interest petitions, the notice shall be posted for at least 21 days.

History

• Source: Amended at 38 Ill. Reg. 8375, effective April 1, 2014

80 Ill. Adm. Code 1110.100 Processing of Petitions Seeking an Election

a) All parties served with a representation petition seeking an election or a decertification petition shall respond to the petition within seven days after service. The response shall set forth the party's position with respect to the matters asserted in the petition, including, but not limited to, the appropriateness of the bargaining unit. A party that fails to file a timely response without good cause shall be deemed to have waived its right to a hearing. Good cause will include when there is no prejudice to another party or the other parties have consented to a hearing without the filing of a timely response.

b) Upon receipt of the petition, the Board or its agent shall investigate the petition. If the investigation discloses that there is no reasonable cause to suspect that a question of representation exists, as defined in Section 7(c)(1) or (2) of the Act, the petition will be dismissed; provided that, the dismissal may be appealed within 14 days to the Board. If the investigation discloses that there is reasonable cause to suspect that a question of representation exists, as defined in Section 7(c)(1) or (2) of the Act, the matter will be set for hearing before a hearing officer. All parties shall be given a minimum of seven days notice of the hearing. However, if the only issues remaining between the parties are logistical, e.g., the date of the election, the Executive Director or hearing officer may issue an order directing an election, unless the parties are able to enter into a consent agreement resolving those issues, as provided for in Section 1110.110.

c) Petitions to intervene may be filed with the Board no later than 14 days prior to the date set for the election. Any intervenor who files after the date set for hearing, or if no hearing is held, after the approval of a consent election agreement or the direction of an election pursuant to subsection (j), shall have waived objections to the bargaining unit.

d) Interested persons who wish to participate in the hearing shall direct such requests to the hearing officer. The request shall be in writing and shall state the grounds for participation. In determining whether to grant the request, the hearing officer shall base his or her decision on the timeliness of the request, the degree to which the person requesting participation has a real interest at stake, the ability of the parties to represent the interests of the person requesting participation and the complexity of the proceeding.

e) The hearing officer shall obtain a full and complete record by inquiring into all matters in dispute. The record shall be obtained either by evidentiary hearing or stipulation. Immediately prior to the close of the record, one or more parties may file motions to remove the case to the Board for decision. Responses to these motions may be filed as directed by the hearing officer. Within seven days after the close of the record, the hearing officer shall rule on the motions. The hearing officer may also order the case removed to the Board on his or her own motion within seven days after the close of the record. If the hearing officer orders a case removed, he or she shall certify that there are no determinative issues of fact that require a hearing officer's recommended decision.

f) Within seven days after removal, a party may move the Board to remand the case to the hearing officer, identifying in detail the material factual issues in dispute. If the Board fails to rule on the motion within 14 days, the motion will be deemed denied; the General Counsel will set a briefing schedule for briefs to be submitted to the Board. In cases removed to the Board, the Board shall remand the case if, at any time, it determines that the case presents issues of material fact requiring a hearing officer's recommended decision. Unless the Board remands the case, it shall issue and serve upon all parties a written decision giving the Board's reasons for its decision.

g) In cases not removed to the Board and in cases remanded to the hearing officer, the hearing officer shall file and serve on the parties a recommended decision within 21 days after the conclusion of the presentation of evidence, the receipt of the transcript, and the receipt of any post-hearing briefs, unless additional time is required due to the length of the record and the complexity of the issues involved. The additional time shall not exceed 90 days. Any findings of fact in this decision must be based exclusively upon the evidence in the record and on matters of which official notice has been taken.

h) Exceptions and Responses

1. Parties may file exceptions to the hearing officer's recommendation and briefs in support of those exceptions no later than 14 days after receipt of the recommendation. Those exceptions and briefs shall be filed with the General Counsel. Copies of all exceptions and briefs shall be served upon all other parties, and a certificate of service shall be attached.

2. Any party to the proceeding may file a response to any exceptions and supporting briefs within 14 days from receipt of a party's exceptions and supporting brief. The response shall be filed with the General Counsel. The response shall be served on all parties, and a certificate of service shall be attached. If no exceptions have been filed within the 14-day period, the parties will be deemed to have waived their exceptions.

3. A party may also file cross-exceptions and a supporting brief within 14 days from receipt of another party's exceptions and supporting brief. Copies of the cross-exceptions and supporting brief shall be filed with the General Counsel. The response shall be served on all parties, and a certificate of service shall be attached.

4. Any other party may file a response to the cross-exceptions and supporting brief within 14 days from receipt of the cross-exceptions and supporting brief. The response shall be filed with the General Counsel. The response shall be served upon all parties, and a certificate of service shall be attached. If no cross-exceptions have been filed within 14 days after receipt of another party's exceptions and supporting brief, the parties will be deemed to have waived their cross-exceptions.

i) The Board will review the hearing officer's recommendation upon request by a party or on its own motion. The Board will issue and serve upon all parties a written decision, giving the reasons for its decision. If the Board determines that a question concerning representation exists, as defined in Section 7(c)(1) or (2) of the Act, the Board shall direct that an election be held and a notice of election be posted. An election shall not be held on a date on which a substantial portion of the regularly scheduled work force in the bargaining unit is not scheduled to work.

j) Within seven days following the direction of an election, the employer shall furnish all other parties and the Executive Director with a list of the names and addresses of the employees eligible to vote in the election.

History

• Source: Amended at 41 Ill. Reg. 10587, effective August 1, 2017

80 Ill. Adm. Code 1110.105 Processing of Majority Interest Petitions

a) Majority interest procedures may not be used when another employee organization has lawfully attained representation rights as the exclusive representative of the employees in the bargaining unit.

b) The employer shall provide to the Board and the employee organization a list of employees, as of the date of the petition, within 21 days after receipt of the petition, unless more time, not to exceed 21 days, is granted by the Board due to the size of the unit.

c) The employer shall provide to the Board and to the employee organization examples of the employees' signatures within 21 days after receipt of the petition, unless more time, not to exceed 21 days, is granted by the Board due to the size of the unit. If the employer does not provide the list of employees or the signature examples within the allotted time, the Board shall administratively determine the adequacy of the showing of interest, based upon the evidence submitted by the employee organization. A grant of more time to provide a list of employees or signature examples shall, if necessary, extend the time limitation for certifying an employee organization as exclusive representative.

d) Within 21 days after receipt of the petition, parties served with the petition may file a written response to the petition. The response shall set forth the party's position with respect to the appropriateness of the unit, any proposed exclusions from the unit, any allegations of fraud or coercion in obtaining the showing of interest, and any other issues raised by the petition. A party that fails to file a timely response without good cause shall be deemed to have waived its right to a hearing. Good cause will include when there is no prejudice to another party or the other parties have consented to a hearing without the filing of a timely response.

e) Upon receipt of the petition, the Board or its agent shall investigate the petition. The Board shall certify the employee organization as the exclusive representative if:

1. the Board concludes that the employee organization represents a majority of the employees in the bargaining unit;

2. there are no issues of fraud or coercion in obtaining the showing of interest;

3. the petition is otherwise consistent with the Act and with this Part; and

4. either there are no unit appropriateness or exclusion issues or the number of contested positions or employees is not sufficient to affect the determination of majority status.

f) Where fraud or coercion in obtaining the showing of interest is alleged, the party or employee alleging fraud or coercion must provide its evidence of fraud or coercion to the Board and to the other parties, including a synopsis of any affidavits submitted to the Board, within 21 days after receipt of the petition or the posting of notice, unless additional time is granted by the Executive Director for good cause shown, such as a joint request, an emergency or whenever the Executive Director believes that it would further the purposes of the Act. The petitioner may file a response no later than seven days following the receipt of that evidence, unless additional time is granted by the Executive Director for good cause shown. The Executive Director shall issue a decision within 21 days following the receipt of the petitioner's response.

g) The employee who alleges fraud or coercion or the parties may file exceptions to the Executive Director's decision and briefs supporting those exceptions no later than seven days after receipt of that decision, and a response to those exceptions may be filed no later than seven days after receipt of the exceptions and briefs. If no exceptions are filed within the seven-day period, the parties and any employee who alleges fraud or coercion will be deemed to have waived their exceptions. The filing of exceptions shall not stay the certification if the alleged fraud or coercion is not sufficient to affect the majority status of the petition.

h) If the Executive Director determines that there is clear and convincing evidence of fraud or coercion sufficient to affect the majority status of the petition and no exceptions are filed to that determination, or if the Board makes such a determination, an election will be conducted according to the procedures set forth in this Part. The election shall be conducted within 45 days after the Executive Director's or the Board's determination, unless proceedings concerning the appropriateness of the unit, exclusions from the unit sufficient to affect majority status, or the timeliness of the petition are pending.

i) If the Executive Director determines that there is not clear and convincing evidence of fraud or coercion sufficient to affect the majority status of the petition and no exceptions are filed to that determination, or if the Board makes such a determination, the Board shall certify the employee organization as the exclusive representative immediately after the Board's determination or within 10 days after service of an unappealed Executive Director's decision if:

1. the Board concludes that the employee organization represents a majority of the employees in the bargaining unit;

2. the petition is otherwise consistent with the Act and with this Part; and

3. there are no unit appropriateness or exclusion issues, those issues have been resolved, or the number of contested positions or employees is not sufficient to affect the determination of majority status.

j) If there are unit appropriateness or exclusion issues, but the number of contested positions or employees is not sufficient to affect the determination of majority status, a party may invoke the Board's unit clarification procedures with respect to the contested positions or employees. Invocation of the Board's unit clarification procedures shall not stay the issuance of a certification.

k) If there are unit appropriateness or exclusion issues, and the number of contested positions or employees is sufficient to affect the determination of majority status, a hearing shall be conducted to resolve these issues. However, no hearing shall be conducted if no issues of material fact are raised, and the employee organization shall be certified as the exclusive representative if otherwise proper. A hearing shall also be conducted when there are issues of material fact concerning the timeliness of the petition under Section 1110.70. The Board shall proceed in accordance with 80 Ill. Adm. Code 1105.10 through 1105.70, except that:

1. The hearing officer's recommended decision shall be issued not later than 21 days after the conclusion of the presentation of evidence, the receipt of the transcript, and the receipt of any post-hearing briefs, unless additional time (not to exceed 21 days) is required due to the length of the record or the complexity of the issues involved. Any findings of fact in this decision must be based exclusively upon the evidence in the record and on matters of which official notice has been taken.

2. Exceptions and Responses

A) The parties may file exceptions to the recommended decision and briefs in support of those exceptions no later than seven days after receipt of the decision. Any party to the proceeding may file a response to any exceptions and supporting briefs within seven days from receipt of a party's exceptions and supporting brief. Exceptions and briefs shall be simultaneously filed with the General Counsel, 160 N. LaSalle Street, Suite N-400, Chicago, Illinois 60601 or elrb.mail@illinois.gov, and served on the parties, and a certificate of service shall be attached.

B) A party may also file cross-exceptions and a supporting brief within seven days from receipt of another party's exceptions and supporting brief. Any other party may file a response to the cross-exceptions and supporting brief within seven days from receipt of the cross-exceptions and supporting brief. Cross-exceptions and briefs shall be simultaneously filed with the General Counsel and served on the parties, and a certificate of service shall be attached.

C) If no exceptions have been filed within seven days after service of the hearing officer's recommended decision, the parties will be deemed to have waived their exceptions. If no cross-exceptions have been filed within seven days after receipt of another party's exceptions and supporting brief, the parties will be deemed to have waived their cross-exceptions.

3. The Board will review the hearing officer's recommendation upon request by a party or on its own motion. The Board will issue and serve upon all parties a written decision giving the reasons for its decision.

l) Interested persons who wish to participate in the hearing shall direct those requests to the hearing officer. The request shall be in writing and shall state the grounds for participation. In determining whether to grant the request, the hearing officer shall base the decision on the timeliness of the request, the degree to which the person requesting participation has a real interest at stake, the ability of the parties to represent the interests of the person requesting participation and the complexity of the proceeding.

m) The hearing officer shall obtain a full and complete record by inquiring into all matters in dispute. The record shall be obtained either by evidentiary hearing or stipulation. Immediately prior to the close of the record, one or more parties may file motions to remove the case to the Board for decision. Responses to these motions may be filed as directed by the hearing officer. Within seven days after the close of the record, the hearing officer shall rule on the motions. The hearing officer may also order the case removed to the Board on the hearing officer's own motion within seven days after the close of the record. If the hearing officer orders a case removed, the hearing officer shall certify that there are no determinative issues of fact that require a hearing officer's recommended decision.

n) Within seven days after removal, a party may move the Board to remand the case to the hearing officer, identifying in detail the material factual issues in dispute. If the Board fails to rule on the motion within 14 days, the motion will be deemed denied; the General Counsel will set a briefing schedule for briefs to be submitted to the Board. In cases removed to the Board, the Board shall remand the case if, at any time, it determines that the case presents issues of material fact requiring a hearing officer's recommended decision. Unless the Board remands the case, it shall issue and serve upon all parties a written decision giving the Board's reasons for its decision.

o) The Board shall certify the employee organization as exclusive representative immediately upon issuance of the Board's opinion and order, or upon expiration of the time for filing exceptions to the hearing officer's recommended decision, if:

1. the bargaining unit found to be appropriate by the Board is sufficiently similar to the petitioned for bargaining unit that the showing of majority interest remains sufficient;

2. the employee organization agrees to represent the bargaining unit found to be appropriate;

3. the Board concludes that the employee organization represents a majority of the employees in the bargaining unit;

4. there is not clear and convincing evidence of fraud or coercion in obtaining the showing of interest; and

5. the petition is otherwise consistent with the Act and this Part.

p) If the bargaining unit approved by the Board is not sufficiently similar to the petitioned for bargaining unit that the showing of majority interest remains sufficient, the petitioner may submit a supplemental showing of interest within seven days after receipt of the Board's ruling, may participate in an election according to subsection (r), or may withdraw the petition.

q) Petitions to intervene may be filed no later than 14 days after the notice is posted. Intervention shall only be allowed when, as a result of the evidence submitted by the intervenor in support of its showing of interest, the original petitioner no longer has a valid showing of majority interest.

r) If the valid evidence presented by the employee organization to support its claim of majority status does not constitute a majority showing of interest, but demonstrates that at least 30 percent of the employees in the unit found appropriate desire to be represented for collective bargaining by the employee organization, the Board shall conduct an election in the unit found appropriate if the petition is otherwise consistent with the Act and this Part.

s) Upon the filing of a petition or at any time thereafter that the case is pending, a party may allege that the dues deduction authorizations and other evidence submitted in support of a designation of representative without an election were subsequently changed, altered, withdrawn, or withheld as a result of employer fraud, coercion, or any other unfair labor practice by the employer (Section 7(c-5) of the Act). The party must submit its evidence in support of the allegation at the time that it makes the allegation, unless additional time is granted by the Executive Director for good cause shown. Any other party may submit its response to the allegation no later than seven days from receipt of the submission of the party making the allegation, unless additional time is granted by the Executive Director for good cause shown. The Board or its agent shall investigate the allegation. If the Executive Director finds that there is an issue of law or fact that such conduct occurred, the matter shall be set for hearing. The hearing shall be conducted according to the Board's procedures for contested case hearings (80 Ill. Adm. Code 1105.90 through 1105.210), except that:

1. The hearing officer's recommended decision shall be issued no later than 21 days after the conclusion of the presentation of evidence, the receipt of the transcript, and the receipt of any post-hearing briefs, unless additional time (not to exceed 21 days) is required due to the length of the record or the complexity of the issues involved.

2. Exceptions and Responses

A) The parties may file exceptions to the recommended decision and briefs in support of those exceptions no later than seven days after receipt of the decision. Any other party may file a response to the exceptions and briefs no later than seven days after receipt of those exceptions and briefs. Exceptions and briefs shall be simultaneously filed with the General Counsel and served on the parties, and a certificate of service shall be attached.

B) A party may also file cross-exceptions and a supporting brief within seven days from receipt of another party's exceptions and supporting brief. Any other party may file a response to the cross-exceptions and supporting brief no later than seven days from receipt of the cross-exceptions and supporting brief. Cross-exceptions and briefs shall be simultaneously filed with the General Counsel and served on the parties, and a certificate of service shall be attached.

t) If the hearing officer, or the Board on review, determines that a labor organization would have had a majority interest but for an employer's fraud, coercion, or unfair labor practice, it shall designate the labor organization as an exclusive representative without conducting an election (Section 7(c-5) of the Act).

u) In order for an employee's dues deduction authorization, authorization card, signature on a petition or other evidence to be counted in determining whether an employee organization has demonstrated a majority interest, the employee must be in the bargaining unit on the date the petition was filed.

v) In cases in which the proposed unit includes professional and nonprofessional employees, authorization cards or other documents evidencing majority support must indicate that the employee desires to be represented by the employee organization in a combined professional-nonprofessional unit.

w) In cases in which the proposed unit includes craft and non-craft employees, authorization cards or other documents evidencing majority support must indicate that the employee desires to be represented by the employee organization in a combined craft and non-craft unit.

x) If a majority interest self-determination petition seeks to accrete employees into an existing unit, the employee organization must demonstrate majority status only among the petitioned-for employees (the employees sought to be added to the existing unit). The petitioner may also present evidence that a majority of employees in each group of the proposed combined bargaining unit desires representation in a single unit, otherwise the Board will conduct an independent poll of the proposed combined bargaining unit to determine whether a majority of the petitioned-for employees and a majority of the existing bargaining unit desire a unit combining professional and nonprofessional employees if the existing unit contains only professional employees and the petitioned-for employees include, in whole or part, nonprofessional employees, or if the existing unit contains only nonprofessional employees and the petitioned-for employees include, in whole or part, professional employees. If a majority of both groups do not vote for a unit combining professional and nonprofessional employees, the Board will issue a separate certification for a stand-alone unit or units of the petitioned-for employees, ensuring that no certification is issued for a unit when the employee organization has not demonstrated majority status. Where a labor organization is the bargaining representative of employees in a unit that has historically combined professional employees, that historical representation shall constitute evidence that a majority of the existing bargaining unit desires a unit combining professional and nonprofessional employees.

y) When an independent poll on whether there should be a combined unit is conducted pursuant to subsection (x), the Board shall not be required to certify the employee organization as the exclusive representative within 30 days after service of the petition.

z) When a hearing is necessary, the Board shall conclude the hearing process and issue a certification of the entire appropriate unit, if the employee organization has demonstrated majority status in that unit, no later than 120 days after the petition was filed. However, this 120-day period may be extended one or more times by agreement of all the parties to a date certain. In other cases, the Board shall ascertain the employees' choice within 120 days after the petition was filed. However, the Board may extend this 120-day period by 60 days on its own motion or on the motion of a party to the proceeding.

History

• Source: Amended at 47 Ill. Reg. 19307, effective December 21, 2023

80 Ill. Adm. Code 1110.110 Consent Elections

a) Where the parties agree to the holding of an election, a stipulation for a consent election shall be filed as follows:

1. The stipulation must be signed by the petitioner, the employer, the employee organization seeking to represent the employees, and any intervenor that has filed a timely petition.

2. The stipulation must specify the bargaining unit; the eligibility date for participation in the election; the date, place, and hours of the election.

b) All consent elections shall be conducted under the direction and supervision of the Board. Upon receipt of a stipulation for a consent election, the Board shall review the stipulation. If the Board determines that the stipulation is consistent with the Act and this Part, the Board shall direct the holding of the consent election.

c) Within seven days following the Board's approval of the consent election agreement, the employer shall furnish the Executive Director and all other parties with a list of the names and addresses of the employees eligible to vote in the election. The Board shall provide copies of the list to the other parties to the election proceeding upon request.

History

• Source: Amended at 14 Ill. Reg. 1297, effective January 5, 1990

80 Ill. Adm. Code 1110.120 Bargaining Unit Determinations

a) In determining the appropriateness of a unit for purposes of collective bargaining, the Board shall consider all relevant factors, including, but not limited to, such factors as historical pattern of recognition, community of interest, including employee skills and functions, degree of functional integration, interchangeability and contact among employees, common supervision, wages, hours, and other working conditions of the employees involved, and the desires of the employees (Section 7(a) of the Act).

b) In cases where employees have historically been represented by employee organizations for purposes of collective bargaining, such historical pattern of recognition will not be negated or interfered with unless a majority of the employees so represented express a contrary desire under the procedures set forth in the Act and this Part.

c) Any party seeking to represent a bargaining unit limited to employees of a craft shall submit a representation petition or intervening claim pursuant to Section 7(a) of the Act supported by a 30 percent showing of interest within the craft in the case of a petition seeking an election and a showing of a majority interest within the craft in the case of a majority interest petition. Whenever a party has so intervened, the Board shall proceed in accordance with Section 1110.105(w) in the case of a majority interest petition, and the election shall proceed in accordance with Section 1110.140(f) in the case of a petition seeking an election.

d) Whenever a petition is filed alleging a bargaining unit that includes professional and nonprofessional employees, the petition shall so state. In the case of a majority interest petition, the Board shall proceed in accordance with Section 1110.105(v) of this Part. In the case of a petition seeking an election, the election shall be conducted in accordance with Section 1110.140(g) of this Part.

History

• Source: Amended at 28 Ill. Reg. 7938, effective May 28, 2004

80 Ill. Adm. Code 1110.130 Eligibility of Voters

a) To be eligible to vote in an election, an employee must have been in the bargaining unit for the payroll period immediately prior to the date of the direction of the election or the approval of a consent election agreement, and must still be in the bargaining unit on the date of the election.

b) To be eligible to vote in a runoff election, an employee must have been eligible to vote in the original election and still be in the bargaining unit on the date of the runoff.

80 Ill. Adm. Code 1110.140 Conduct of the Election

a) The election shall be conducted under the supervision of the Board. Voting shall be by secret ballot.

b) Absentee ballots will be allowed only where an individual submits a written request to the Board no later than 10 days prior to the election and demonstrates in that request that he or she is not able to be physically present at the polling place at the time for which the election is scheduled and therefore would be unable to cast a ballot. The request must set forth the factual basis for the claim. Mere inconvenience to the individual shall not be cause for the issuance of an absentee ballot.

c) Each party shall be entitled to an equal number of observers as determined by the Board or its agent. The number of observers allowed shall be based on the number of polling locations and the number of eligible voters. The identity and conduct of observers are subject to such limitations as the Board or its agent shall prescribe in order to ensure that voters are free from interference, coercion, or intimidation.

d) The Board's agent is authorized to prescribe the area in proximity to the polling place in which electioneering shall be prohibited. The specified area shall be based on the size and nature of the specific polling place.

e) Ballots shall list all employee organizations that properly petitioned or intervened in the election, the incumbent exclusive representative, and the choice of "No Representative".

f) Where an election involves a bargaining unit that includes craft employees, and there has been a proper petition for a separate craft unit, craft employees shall be given two ballots: one to vote for or against craft severance and a second to vote on choice of representative. Noncraft employees shall only be given ballots for voting on choice of representative.

g) Where an election involves a bargaining unit containing professional and nonprofessional employees, all employees shall be given two ballots: one for indicating whether they desire a combined professional-nonprofessional unit and a second for indicating choice of representative, except as provided for in Section 1110.105(v).

h) Ballot boxes shall be examined in the presence of the observers immediately prior to the opening of the polls and shall be sealed at the opening of the polls. The seal shall allow for one opening on the top of the ballot box for voters to insert their ballots.

i) The Board's agent or any authorized observer may question the identity of any voter. A voter whose identity has been questioned may establish his or her identity by showing a driver's license or any other equally reliable piece of identification. Challenged voters shall be permitted to vote in secret with their ballots set aside by the Board's agent with appropriate markings.

j) A voter shall mark a cross (X) or check (√) in the circle or block designating his or her choice in the election. The intent of the voter shall be followed in the marking of the ballot. If the ballot is defaced, torn, marked in such a manner that it is not understandable, or identifies the voter, the ballot shall be declared void. If the voter inadvertently spoils a ballot, he or she may return it to the Board's agent, who shall give the voter another ballot and shall preserve the spoiled ballot.

k) A voter shall fold his or her ballot so that no part of its face is exposed and, on leaving the voting booth, shall deposit the ballot in the ballot box. If the election is continued for more than one period, the ballot box shall be sealed until the subsequent opening of the polls and shall remain in the custody of the Board's agent until the counting of the ballots.

l) The Board's agent may privately assist any voter who, due to physical or other disability, is unable to mark his or her ballot.

m) Prior to the close of the polls, each party shall designate a representative to observe the tallying of the ballots.

n) Immediately upon the conclusion of the polling, the votes shall be tallied as follows:

1. The Board's agent shall attempt to achieve a voluntary resolution of all ballot challenges before the ballots are counted.

2. If there was only one polling location, the Board's agent shall tally the votes in the presence of a representative designated by each party and shall serve a written tally on each of the representatives.

3. If there was more than one polling location, the Board's agent shall seal the ballot boxes and bring them to a predetermined central location. When all the ballot boxes have arrived, they shall be opened, the ballots shall be commingled, and the votes shall be tallied in the presence of a representative designated by each party. The Board's agent shall serve a written tally on each of the representatives.

4. The Board's agent shall count the number of challenged ballots separately. If the challenged ballots cannot affect the outcome of the election, the challenges will not be resolved. If the challenged ballots could affect the outcome of the election, the Board's agent shall again attempt to achieve a voluntary resolution of all the challenges.

5. If challenges to ballots have not been resolved, and if the challenges could affect the outcome of the election, the challenged ballots shall be investigated by the Executive Director, who shall issue a recommended decision concerning the application of Sections 2, 7, 8 and 9 of the Act and this Part to the challenged ballots. Parties may file exceptions to the Executive Director's recommendation and briefs in support of those exceptions no later than 14 days after receipt of the recommendation. Copies of all exceptions and briefs shall be served upon all other parties and a certificate of service shall be attached. Any party to the proceeding may file a response to any exceptions and supporting briefs within 14 days from receipt of a party's exceptions and supporting brief. The response shall be filed with the Board and served on all parties. If no exceptions have been filed within the 14 day period, the parties will be deemed to have waived their exceptions. The Board will review the Executive Director's recommendation upon request by a party or on its own motion.

6. When the election includes a vote on craft severance, the craft employee ballots on craft severance shall be tallied first. If a majority of the craft employees casting valid ballots choose craft severance, the craft and noncraft ballots on choice of representative shall be tallied separately. If a majority of the craft employees casting valid ballots do not choose craft severance, the ballots on choice of representative shall be tallied together.

7. When the election includes a vote on a combined professional-nonprofessional unit, the ballots on unit preference shall be tallied first. Separate tallies shall be made for professional and nonprofessional employees.

8. If a majority of the employees casting valid ballots in each group vote for a combined unit, the ballots on choice of representative shall be tallied together. If a combined unit fails to receive a majority vote in either or both groups, the ballots on choice of representative shall be tallied separately.

o) In all cases, the recipient of a majority of the valid ballots cast by those voting shall prevail.

p) When there are three or more choices on the ballot (two or more employee organizations and "No Representative") and no choice receives a majority, the Board shall conduct a runoff election between the two choices that received the most votes. The results of votes taken during the first election on craft severance and combined professional-nonprofessional units shall be binding on the runoff election.

q) Where there are three or more choices on the ballot, and either the vote is split equally among all of the choices, or there is a tie for second place, the Board shall declare the election inconclusive and shall order a new election. If there is a tie for second place and the first place choice receives a majority (more than 50%), no new election shall be ordered and the first place choice shall prevail. The results of the craft severance and combined professional-nonprofessional unit votes in the first election shall be binding on the rerun election.

r) The Board shall preserve all ballots until such time as any objections to the election have been resolved and the results have been certified and served on the parties.

History

• Source: Amended at 41 Ill. Reg. 10587, effective August 1, 2017

80 Ill. Adm. Code 1110.150 Objections to the Election

a) Any party to the election may file objections with the Board alleging that improper conduct occurred which affected the outcome of the election (Section 8 of the Act). b) Objections must be received by the Board no later than five working days after the final tally was served on the representatives. For purposes of this rule, a working day is any day on which the Board offices are open for business. Pending challenges to ballots shall not stay the time for filing objections.

c) The objecting party shall furnish evidence to the Executive Director sufficient to provide a prima facie case in support of the objections before any investigation commences.

d) The evidence described above in paragraph (c) (except for affidavits) must also be served simultaneously on all parties involved in the matter and proof of service must be provided to the Board.

e) The evidence for each objection filed must include the following facts:

1. The date on which the alleged improper conduct took place;

2. The location at which the alleged misconduct took place;

3. The name and job title of the person who allegedly engaged in the improper conduct; and,

4. A statement or description of the alleged improper conduct.

f) Failure to provide the evidence described above in subsections (c), (d), and (e) within five working days after filing the objections shall subject the objections to dismissal.

g) The Board shall promptly investigate the allegations, and if it finds probable cause that improper conduct occurred and could have affected the outcome of the election, it shall set a hearing on the matter on a date falling within two weeks of when it received the objections. If it determines, after hearing, that the outcome of the election was affected by improper conduct, it shall order a new election and shall order corrective action which it considers necessary to insure the fairness of the new election. If it determines upon investigation that the alleged improper conduct did not take place or that it did not affect the outcome of the election, it shall promptly certify the election results (Section 8 of the Act).

History

• Source: Amended at 14 Ill. Reg. 1297, effective January 5, 1990

80 Ill. Adm. Code 1110.160 Petitions for Clarification of the Bargaining Unit

a) An exclusive representative or an employer may file a petition to clarify an existing bargaining unit. The Board shall serve the petition on the other party. The petition shall be signed and shall contain the following:

1. the name and address of the employer;

2. the name, address and affiliation, if any, of the exclusive representative;

3. a description of the existing bargaining unit; and

4. the nature of the proposed clarification and the reasons for the clarification.

b) The exclusive representative or employer may file an answer to the petition within 14 days following service of the petition. Failure to answer without good cause shall be deemed a waiver of objections to the petition and a waiver of a hearing. Good cause will include when there is no prejudice to another party or the other parties have consented to a hearing without the filing of a timely answer.

c) The Executive Director or his or her agent shall investigate the petition and, if the petition does not present unresolved questions of material fact, the Executive Director shall then issue a Recommended Decision and Order. Parties may file exceptions to the Executive Director's recommendation and briefs in support of those exceptions no later than 14 days after receipt of the recommendation. Copies of all exceptions and briefs shall be served upon all other parties and a certificate of service shall be attached. Any party to the proceeding may file a response to any exceptions and supporting briefs within 14 days from receipt of a party's exceptions and supporting brief. The response shall be filed with the Board and served on all parties. If no exceptions have been filed within the 14 day period, the parties will be deemed to have waived their exceptions. The Board will review the Executive Director's recommendation upon request by a party or on its own motion. If the petition presents unresolved questions of material fact, the Executive Director shall set it for a hearing.

1. Interested persons desiring to intervene in the hearing shall submit a written request to the hearing officer. The hearing officer shall base his or her decision on whether to allow intervention upon the timeliness of the request, the degree to which the person requesting intervention has a real interest at stake, the ability of the parties to represent the interests of the person requesting intervention, and the complexity of the proceeding.

2. The hearing officer shall inquire into all matters in dispute and shall obtain a full and complete record. The hearing officer shall file and serve upon the parties a recommended disposition of the matter. The hearing officer's recommended decision shall issue within 21 days after the conclusion of the presentation of evidence, the receipt of the transcript, and the receipt of any post-hearing briefs. Any findings of fact in the decision must be based exclusively upon the evidence in the record and on matters of which official notice has been taken.

3. Exceptions and Responses

A) Parties may file exceptions to the hearing officer's recommendations and briefs in support of their exceptions within 14 days after receipt of the recommendation. Those exceptions and briefs shall be filed with the General Counsel. Copies of all exceptions and supporting briefs shall be served upon all other parties, and a certificate of service shall be attached.

B) Any party to the proceeding may file a response to any exceptions and supporting briefs within 14 days from receipt of a party's exceptions and supporting brief. The response shall be filed with the General Counsel. Copies of the response shall be served on all parties, and a certificate of service shall be attached.

C) A party may also file cross-exceptions and a supporting brief within 14 days from receipt of another party's exceptions and supporting brief. Those cross-exceptions and briefs shall be filed with the General Counsel. Copies of all cross-exceptions and supporting briefs shall be served upon all other parties, and a certificate of service shall be attached.

D) Any other party may file a response to any cross-exceptions and supporting briefs within 14 days from receipt of a party's cross-exceptions and supporting brief. The response shall be filed with the General Counsel. Copies of the response shall be served on all parties, and a certificate of service shall be attached.

E) If no exceptions have been filed within 14 days after service of the hearing officer's recommended decision, the parties will be deemed to have waived their exceptions. If no cross-exceptions have been filed within 14 days after receipt of another party's exceptions and supporting brief, the parties will be deemed to have waived their cross-exceptions.

4. The Board will review the hearing officer's recommendation if a party has filed exceptions, or on the Board's own motion. The Board will issue and serve upon the parties a written decision giving the Board's reasons for its decision.

d) The parties may clarify the composition of the bargaining unit by stipulation. The stipulation shall be filed with the Board. A notice of the stipulation shall be posted on bulletin boards and at other places where notices for employees in the bargaining unit are customarily posted. The notice shall advise employees of the terms of the stipulation and direct persons objecting to the stipulation to file objections with the Board. The notice shall remain posted for at least 20 school days. The employer shall attempt to insure that the notice is not removed or defaced during the posting period and shall replace any notice that is removed or defaced.

e) During the posting period, interested persons may file objections with the Board. Objections shall be served on the employer and the exclusive representative prior to, or simultaneously with, their filing with the Board.

f) Following the posting period, if no objections have been filed, the Board shall approve or disapprove the clarification depending upon whether the clarification is consistent with the Act. If objections have been filed, the Board shall proceed in accordance with subsection (c).

g) The Board will issue a certification of the clarified unit or dismiss the petition no later than 120 days after the petition was filed. However, if all parties agree, this 120-day period may be extended one or more times to a date certain.

h) An order of the Board dismissing or granting a petition for clarification of an existing bargaining unit, or dismissing or granting an amendment of certification, is a final order.

History

• Source: Amended at 41 Ill. Reg. 10587, effective August 1, 2017

80 Ill. Adm. Code 1110.170 Petitions to Amend Certification

a) An exclusive representative shall file a petition with the Board to amend its certification whenever there is a change in its name or structure. The Board shall serve the petition on the employer. The petition shall be signed and shall contain:

1. the name and address of the employer;

2. the name, address, and affiliation, if any, of the exclusive representative, as certified by the Board;

3. a description of the proposed amendment; and

4. the reasons for the proposed amendment.

b) Within three days of receiving the petition, the employer shall post a notice of the proposed amendment in accordance with Section 1110.160(d) of this Part.

c) Interested persons, including the employer, may file objections to the proposed amendment with the Board during the posting period. Objections shall be served on the exclusive representative prior to, or simultaneously with, filing with the Board.

d) If, at the conclusion of the posting period, no objections have been filed, the Board may approve or disapprove the amendment or take any other action on it necessary to effectuate the purposes of the Act.

e) If objections have been filed during the posting period, the Board shall proceed in accordance with Section 1110.160(c).

History

• Source: Amended at 14 Ill. Reg. 1297, effective January 5, 1990

80 Ill. Adm. Code 1110.180 Petitions for Self-Determination

a) Adding to an Existing Bargaining Unit

1. A self-determination petition to add unrepresented employees to an existing bargaining unit, where a question concerning representation would be presented by their inclusion, may be filed by an employee, a group of employees, or exclusive representative of the existing bargaining unit. The Board shall serve the petition on the appropriate parties. The petition shall be on a form developed by the Board. It shall be signed and shall contain the following:

A) the name and address of the petitioner;

B) the name, address and affiliation, if any, of the exclusive representative;

C) the name and address of the employer;

D) a description of the bargaining unit;

E) the approximate number of employees in the bargaining unit;

F) a description of the employees who would be added to the existing unit;

G) the approximate number of employees who would be added;

H) a statement whether the petitioner intends to use the majority interest procedure or the election procedure;

I) the date that the exclusive representative was recognized and the method of recognition, if known; and

J) a brief description of any collective bargaining agreements covering any employees in the bargaining unit, and the expiration dates of the agreements.

2. A self-determination petition seeking an election shall be accompanied by a showing of interest that at least 30 percent of the employees sought to be added to the existing unit wish to be represented by the exclusive representative. A majority interest self-determination petition shall be accompanied by a showing of majority interest among the employees sought to be added to the existing unit.

3. In any election conducted pursuant to this subsection, only those employees that the petition seeks to add to the unit shall vote on the question of representation. In any majority interest proceeding conducted pursuant to this subsection, a showing of majority interest among only the employees the petition seeks to add to the unit shall be required.

4. No unit will include both professional employees and nonprofessional employees unless a majority of employees in each group vote for inclusion in the unit (Section 7 of the Act).

b) Merging Bargaining Units

1. A petition to merge two or more existing bargaining units, where a question concerning representation would not be presented by their inclusion, may be filed by an employee, a group of employees, or exclusive representative of either existing bargaining unit. The Board shall serve the petition on the appropriate parties. The petition shall be on a form developed by the Board. It shall be signed and shall contain the following:

A) the name and address of the petitioner;

B) the name, address and affiliation, if any, of the exclusive representative;

C) the name and address of the employer;

D) a description of the proposed bargaining unit;

E) the approximate number of employees in the proposed bargaining unit;

F) a description of the employees in each of the existing units;

G) the approximate number of employees who would be added in each existing unit;

H) the date that the exclusive representative was recognized and the method of recognition, if known; and

I) a brief description of any collective bargaining agreements covering any employees in the bargaining units, and the expiration dates of the agreements.

2. In any election conducted pursuant to this subsection, employees shall vote only on the question of unit merger.

3. No unit will include both professional employees and nonprofessional employees unless a majority of employees in each group vote for inclusion in that unit (Section 7 of the Act).

History

• Source: Amended at 28 Ill. Reg. 7938, effective May 28, 2004

80 Ill. Adm. Code 1110.190 Disclaimer of Interest Petitions

a) An employee organization that has been certified by the Board or recognized pursuant to Section 2 of the Act as the exclusive representative of a bargaining unit but wishes to terminate this representation may file a disclaimer of interest petition with the Board.

b) The petition shall contain the following information:

1. the name, address and telephone number of the petitioning employee organization;

2. the name, address and telephone number of the employer;

3. a brief description of the bargaining unit;

4. the approximate number of employees in the bargaining unit;

5. the date that the employee organization was recognized as the exclusive representative and the method of recognition, if known;

6. a brief description of any collective bargaining agreement covering employees in the bargaining unit, together with its expiration date; and

7. a statement that the employee organization waives and disclaims the authority and duty to represent the employees in the bargaining unit.

c) The Board shall provide the employer with a notice of the disclaimer of interest petition that shall be posted, by the day after the employer receives the notice, on bulletin boards or other places where notices for employees in the bargaining unit are customarily posted, or in conspicuous places in the absence of a customary posting location. If the posting would occur during a seasonal break or other period when a substantial number of employees are not working, notice shall be provided to bargaining unit members through alternative means agreed to by the parties and the Executive Director or Board agent. This notice shall be posted and maintained for 21 calendar days.

d) Bargaining unit members may object to the petition. The employer may object to the petition if the collective bargaining agreement has not expired. Objections to the petition must be filed with the Board and served on the employee organization and the employer within 21 days of the posting or other delivery of the notice, as determined by the certification of the posting.

e) The Executive Director shall approve the petition if the disclaimer is made in good faith, is clear and leaves no doubt that a matter relating to the employee organization's representation does not exist with respect to the bargaining unit. If the petition is approved by the Executive Director, the Board shall revoke the certification, and the authority and duty of the employee organization to represent the bargaining unit shall cease, and any collective bargaining agreement then in effect shall become void as of the expiration of the notice posting period. Any bars to the certification under Section 1110.70 shall no longer be in effect.

f) If the Executive Director dismisses the petition, the petitioning employee organization may file exceptions to the Executive Director's recommendation to dismiss and briefs in support of those exceptions no later than 14 days after receipt of the recommendation to dismiss with the General Counsel, 160 N. LaSalle Street, Suite N-400 Chicago, Illinois 60601 or elrb.mail@illinois.gov. Copies of all exceptions and briefs shall be served on all other parties and a certificate of service shall be attached. Any party to the proceeding may file a response to any exceptions and brief within 14 days from receipt of a party's exceptions and supporting brief. The response shall be filed with the General Counsel served on all parties, and a certificate of service shall be attached. If no exceptions have been filed within the 14 day period, the parties will be deemed to have waived their exceptions. If a party has filed exceptions, the Board will review the Executive Director's recommendation and will issue and serve upon the parties a written decision giving its reasons for its decision. The Board's decision will be a final order.

History

• Source: Added at 47 Ill. Reg. 19307, effective December 21, 2023

80 Ill. Adm. Code 1110.APPENDIX A Sample Authorization Card

I authorize

(employee organization)

to be my exclusive

collective bargaining representative for all purposes of collective bargaining with my employer,

.

Name (printed or typed)

Employment position

Signature

Date

If a majority of the employees in the bargaining unit sign authorization cards, these cards may be used to obtain recognition without an election.

History

• Source: Amended at 41 Ill. Reg. 10587, effective August 1, 2017

Part 1120 Unfair Labor Practice Proceedings

80 Ill. Adm. Code 1120.10 General Statement of Purpose

The regulations contained in this Part detail the procedures for initiating, processing and resolving charges that an employer or an employee organization has committed, or is committing, an unfair labor practice in violation of Sections 14(a) and 14(b) of the Act.

80 Ill. Adm. Code 1120.20 Filing of a Charge

a) An unfair labor practice charge may be filed with the Illinois Educational Labor Relations Board (the Board) by an employer, an employee organization, or an employee.

b) Unfair labor practice charges shall be on a form developed by the Board, shall be signed by the charging party, and shall contain:

1. the name, address and affiliation, if any, of the charging party;

2. the name, address and affiliation, if any, of the respondent;

3. a clear and complete statement of facts supporting the alleged unfair labor practice, including dates, times and places of occurrence of each particular act alleged, and the Sections of the Illinois Educational Labor Relations Act [115 ILCS 5] (the Act) alleged to have been violated; and

4. a statement of the relief sought, provided that the statement shall not limit the Board's ability to award relief based on the record.

c) The Board shall serve a copy of the charge upon the respondent.

d) Unfair labor practice charges may be filed no later than six months after the alleged unfair labor practice occurred.

e) A charging party may withdraw without prejudice a charge at any time prior to the issuance of a complaint. After issuance of a complaint, a charging party may withdraw a charge only with the approval of the Executive Director. The Executive Director shall approve the withdrawal when he or she finds that the withdrawal is consistent with the Act and this Part and was not obtained fraudulently or through duress. The withdrawal of a charge after the issuance of a complaint shall be with prejudice.

History

• Source: Amended at 41 Ill. Reg. 10614, effective August 1, 2017

80 Ill. Adm. Code 1120.30 Charge Processing and Investigation, Complaints and Responses

a) The Board hereby delegates to its Executive Director the authority to investigate charges and issue complaints.

b) Upon receipt of a charge, the Executive Director shall investigate the charge. Procedures for investigating requests for injunctive relief are set forth in Section 1120.60.

1. The charging party shall submit to the Executive Director all evidence relevant to or in support of the charge. The evidence may include documents and affidavits.

2. The respondent shall submit to the Executive Director a complete account of the facts, a statement of its position in respect to the allegations set forth in the charge and all relevant evidence in support of its position. The evidence may include documents and affidavits.

3. The Executive Director may hold an investigatory conference with the parties when the Executive Director determines that the investigatory conference will facilitate efforts to explore whether the charge can be resolved informally or the facts stipulated and to further develop the record for determination of whether the charge states an issue of law or fact.

4. Motions shall be directed to the Executive Director. All motions must be in writing, must state with specificity the reasons or grounds for the motion, and must be served on all other parties simultaneously with their filing with the Executive Director. Other parties shall have seven days to file a response and serve that response on all other parties simultaneously with the filing with the Executive Director.

5. If the Executive Director concludes that the investigation has established that there is an issue of law or fact sufficient to warrant a hearing, he or she shall issue a complaint (Section 15 of the Act). In determining whether the issues of law or fact are sufficient to warrant a hearing, the Executive Director shall consider whether the charge states a cause of action upon which relief can be granted under the Act and whether the facts provided in the course of the investigation state a prima facie case. The complaint shall specify the charges and shall be served on the respondent and the charging party.

6. If the Executive Director concludes that the investigation has established that there is not an issue of law or fact sufficient to warrant a hearing, the Executive Director shall dismiss the charge. In determining whether the issues of law or fact are sufficient to warrant a hearing, the Executive Director shall consider whether the charge states a cause of action upon which relief can be granted under the Act and whether the facts provided in the course of the investigation state a prima facie case. Notice of dismissal shall be served on the respondent and the charging party.

c) The charging party may file exceptions to the Executive Director's dismissal of the charge and briefs in support of those exceptions. Exceptions must be filed with the Board no later than 14 days after service of the notice of dismissal. Copies of all exceptions and supporting briefs shall be served upon all other parties and a certificate of service shall be attached. Any party to the proceeding may file a response to any exceptions and supporting briefs within 14 days from receipt of a party's exceptions and supporting brief. The response shall be filed with the Board and served on all parties. The Board may review the Executive Director's decision on its own motion. In reviewing the exceptions, the Board will consider whether the Executive Director's decision is consistent with the Act and this Part and whether there has been an abuse of discretion.

d) Whenever an unfair labor practice complaint is issued, the respondent must file an answer within 15 days after service of the complaint.

1. The answer shall include a specific admission, denial or explanation of each allegation of the complaint or, if the respondent is without knowledge of the allegation, it shall so state and that statement shall operate as a denial. Admissions or denials may be made to all or part of an allegation, but shall fairly meet the allegation.

2. The answer shall also include a specific, detailed statement of any affirmative defenses, including, but not limited to, res judicata, mootness or waiver. An affirmative defense is not waived if it is not included in the answer.

3. Failure to file a timely answer shall be deemed an admission of all allegations in the complaint. Failure to respond to any particular allegation of the complaint shall be deemed to be an admission of that particular allegation. Filing of a motion will not stay the time for filing an answer.

4. When a party has failed to file a timely answer, the Administrative Law Judge shall issue an order to show cause why allegations of the complaint should not be deemed admitted. Leave to file a late answer may be granted by the Administrative Law Judge in the absence of prejudice to the other parties if substantial justice is being done between the parties and if it is reasonable, under the circumstances, to compel the other parties to go to hearing on the merits. If leave to file a late answer is granted, the answer shall be deemed timely.

History

• Source: Amended at 41 Ill. Reg. 10614, effective August 1, 2017

80 Ill. Adm. Code 1120.40 Hearings

a) Upon the issuance of a complaint, the Executive Director shall set the matter for hearing before an Administrative Law Judge. All parties shall be given at least five days' notice of the hearing. The notice shall comply with Section 10-25(a) of the Illinois Administrative Procedure Act [5 ILCS 100].

b) Interested persons who wish to intervene in the hearing shall direct such requests to the Administrative Law Judge. The request shall be in writing and shall state the grounds for intervention. The Administrative Law Judge shall have discretion to grant or deny the request for intervention. In determining whether to grant the request, the Administrative Law Judge shall base his decision on the timeliness of the request, the degree to which the person requesting intervention has a real interest at stake, and the ability of the parties to represent the interests of the person requesting intervention.

c) The Board will encourage Administrative Law Judges to schedule voluntary prehearing conferences with the parties when it appears that those conferences will aid in narrowing or resolving issues.

d) On motion of a party made prior to the close of the hearing and with the approval of the General Counsel, the Administrative Law Judge may certify an issue to the Board for a ruling prior to the issuance of the Administrative Law Judge's recommended decision and order. An issue may be certified to the Board only if the Administrative Law Judge finds that the case involves an issue of law as to which there is substantial ground for difference of opinion and that an immediate appeal on the issue may materially advance the termination of the case. The Administrative Law Judge shall rule on the motion within seven days after a response to the motion is received or is due pursuant to 80 Ill. Adm. Code 1105.100(e)(2). The parties may file briefs concerning the certified issue no later than 21 days after the Administrative Law Judge's certification. Within 60 days after the last day that briefs must be filed, the Board shall rule on the certified issue or shall remand the issue to the Administrative Law Judge upon a finding that certification of the issue is inappropriate. Intermediate rulings of the Administrative Law Judge shall not otherwise be subject to interlocutory appeal. Parties may raise objections to intermediate rulings in their exceptions to the Administrative Law Judge's recommended decision or, if there is no recommended decision, in their briefs to the Board.

e) The Complainant shall present the case in support of the complaint. The respondent may present evidence in defense against the charges (Section 15 of the Act).

f) The Administrative Law Judge shall obtain a full and complete record by inquiring into all matters in dispute. The record shall be obtained either by evidentiary hearing or stipulation. Immediately prior to the close of the record, one or more parties may file motions to remove the case to the Board for decision. Responses to these motions may be filed as directed by the Administrative Law Judge. Within 14 days after the close of the record, the Administrative Law Judge shall rule on the motions. The Administrative Law Judge may also order the case removed to the Board on his or her own motion within 14 days after the close of the record. If the Administrative Law Judge orders a case removed, he or she shall certify that there are no determinative issues of fact that require an Administrative Law Judge's recommended decision.

g) Within seven days after removal, a party may move the Board to remand the case to the Administrative Law Judge, identifying in detail the material factual issues in dispute. If the Board fails to rule on the motion within 60 days, the motion to remand will be deemed denied. In cases removed to the Board, the Board shall remand the case if at any time it determines that the case presents issues of material fact requiring an Administrative Law Judge's recommended decision. A fact is material to the claim or defense in issue when the success of the claim or defense is dependent upon the existence of that fact.

h) In cases not removed to the Board and in cases remanded to the Administrative Law Judge, the Administrative Law Judge shall file and serve on the parties a recommended decision giving the reasons for the decision as promptly as possible based on the length of the record and the complexity of the issues involved.

History

• Source: Amended at 41 Ill. Reg. 10614, effective August 1, 2017

80 Ill. Adm. Code 1120.50 Consideration by the Board

a) Exception and Responses

1. In cases in which there is a recommended decision, the parties may file exceptions to the Administrative Law Judge's recommendation and briefs in support of those exceptions. Briefs and exceptions shall be filed with the General Counsel no later than 21 days after service of the recommendation. Copies of all exceptions and supporting briefs shall be served upon all other parties, and a certificate of service shall be attached.

2. Any party to the proceeding may file a response to any exceptions and supporting briefs within 21 days from receipt of a party's exceptions and supporting brief. The response shall be filed with the General Counsel. The response shall be served on all parties, and a certificate of service shall be attached.

3. A party may also file cross-exceptions and a supporting brief within 14 days from receipt of another party's exceptions and supporting brief. Copies of the cross-exceptions shall be filed with the General Counsel and served on all other parties, and a certificate of service shall be attached.

4. Any other party may file a response to the cross-exceptions and supporting brief within 14 days from receipt of the cross-exceptions and supporting brief. The response shall be filed with the General Counsel and served upon all parties, and a certificate of service shall be attached.

5. If no exceptions have been filed within 21 days after service of the Administrative Law Judge's recommended decision, the parties will be deemed to have waived their exceptions. If no cross-exceptions have been filed within 14 days after receipt of another party's exceptions and supporting brief, the parties will be deemed to have waived their cross-exceptions.

b) The Board will review the Administrative Law Judge's recommendation if a party has filed exceptions or on the Board's own motion. In cases removed to the Board, the parties will file briefs in the manner directed by the Board, the manner to include the dates on which briefs will be due and the subjects to be addressed in the briefs, as specified by the Board. In cases in which exceptions are filed and those that are removed to the Board, the Board shall issue and serve on all parties a written decision and order that includes its reasons for its decision.

c) If the remedy ordered after a finding of an unfair labor practice includes the posting of a notice, the notice may be posted physically or by other means similarly calculated to provide proper notice. The means of posting shall be agreed to by the parties and the Executive Director. If the parties and the Executive Director are not able to agree on the means of posting, the Executive Director shall determine the means of posting.

History

• Source: Amended at 41 Ill. Reg. 10614, effective August 1, 2017

80 Ill. Adm. Code 1120.60 Requests for Preliminary Relief

The charging party may request the Board to seek preliminary relief pursuant to Section 16(d) of the Act. The charging party will provide the basis for and evidence in support of its request for injunctive relief when it files its charge. The Executive Director will request the charged party to submit evidence in support of its position. The charging party shall have the burden of demonstrating to the Board that if preliminary relief is not sought it will suffer irreparable harm and that the remedies available from the Board will be inadequate.

History

• Source: Amended at 14 Ill. Reg. 1322, effective January 5, 1990

80 Ill. Adm. Code 1120.70 Compliance Procedures

a) The compliance procedures set forth in this Section shall commence once a respondent:

1. has failed to file exceptions to a Recommended Decision and Order of an Administrative Law Judge;

2. has failed to appeal a final order of the Board; or

3. when the appellate process initiated by a party after a final Board order has been exhausted and there remains an order requiring a respondent to take certain affirmative action or to refrain from engaging in any action.

b) If, upon the occurrence of any of the events designated in subsection (a), a party asserts that compliance has not occurred, a compliance investigation shall be conducted.

c) If the investigation discloses that there are no issues of law or material fact as to whether compliance has occurred, the Executive Director shall issue a Recommended Decision and Order determining whether compliance has occurred. If there is an issue of law or material fact as to whether compliance has occurred, a compliance hearing shall be conducted.

d) The compliance hearing shall be conducted by the Executive Director or his or her designee and shall be conducted in accordance with the Board's rulesfor hearing procedures in contested cases (80 Ill. Adm. Code 1105.90 through 1105.230). At the hearing, the parties to the matter shall be afforded the opportunity to present testimony, documents, affidavits and/or any other information, in addition to their positions, on the matter of respondent's compliance with the order. If backpay is at issue, the comlainant shall present a specification of the amount due, supported by evidence if necessary. The respondent shall have the burden of proving that the backpay claimant has failed to mitigate damages or is not entitled to backpay for any other reason. The subpoena power shall continue during compliance proceedings.

e) Within 30 days after the compliance hearing described in subsection (d), the Executive Director or his or her designee shall cause to be served upon the parties a Recommended Decision and Order in which all issues of law and all issues of fact bearing on compliance with the order shall be resolved. The 30-day period may be extended upon agreement of the parties.

f) Exceptions and Responses

1. Parties may file exceptions to the Executive Director's recommendation and briefs in support of those exceptions no later than 14 days after receipt of the recommendation. Copies of all exceptions and briefs shall be served upon all other parties and a certificate of service shall be attached.

2. Any party to the proceeding may file a response to any exceptions and supporting briefs within 14 days from receipt of a party's exceptions and supporting brief. The response shall be filed with the Board and served on all parties.

3. A party may also file cross-exceptions and a supporting brief within 14 days from receipt of another party's exceptions and supporting brief. Copies of the cross-exceptions and supporting brief shall be served upon all other parties and a certificate of service shall be attached.

4. Any other party may file a response to the cross-exceptions and supporting brief within 14 days from receipt of the cross-exceptions and supporting brief. The response shall be filed with the Board and served upon all parties, and a certificate of service shall be attached.

5. If no exceptions have been filed within 14 days after service of the Executive Director's recommendation, the parties will be deemed to have waived their exceptions. If no cross-exceptions have been filed within 14 days after receipt of another party's exceptions and supporting brief, the parties will be deemed to have waived their cross-exceptions.

g) The Board will review the Executive Director's recommendation upon request by a party or on its own motion.

History

• Source: Amended at 41 Ill. Reg. 10614, effective August 1, 2017

80 Ill. Adm. Code 1120.80 Sanctions

a) The Board's order may, in its discretion, also include an appropriate sanction, based on the Board's rules and regulations, if the other party has made allegations or denials without reasonable cause and found to be untrue or has engaged in frivolous litigation for the purpose of delay or needless increase in the cost of litigation. The State of Illinois or any agency thereof shall be subject to these provisions in the same manner as any other party. (Section 15 of the Act)

b) The Board may award sanctions for such written allegations or denials, including statements stenographically recorded during the course of Board proceedings.

c) The sanction may include an admonition or reprimand; striking an offending allegation or denial; an order to pay the other party or parties' reasonable expenses including costs and reasonable attorney's fees (Section 15 of the Act) or an appropriate portion thereof; and/or any other appropriate sanction. Sanctions are to be awarded only against a party or parties to the proceeding.

d) Any party to an unfair labor practice proceeding may move for sanctions. The motion for sanctions must be a succinct statement identifying the allegations and/or denials and/or incidents of frivolous litigation alleged to be subject to sanctions, with citations to the record, and succinct arguments. The party subject to the motion for sanctions shall have 14 days after service of the motion to respond or withdraw the paper or position that is the basis of the motion. Neither the motion for sanctions nor the response may be used as an additional brief on the merits of the underlying case.

1. Motions for sanctions may be filed with the Executive Director while an unfair labor practice charge is pending before the Executive Director. These motions shall be filed no later than 7 days after receipt of the Executive Director's notice that investigation of the unfair labor practice charge has been completed or that a party has withdrawn the unfair labor practice charge. Sanctions before the Executive Director may only be sought for instances of frivolous litigation.

2. Once an unfair labor practice complaint has been issued, motions for sanctions may be filed with the Administrative Law Judge or, in the event that an Administrative Law Judge has not been named, with the General Counsel, while an unfair labor practice complaint is pending before the Administrative Law Judge or the General Counsel. These motions shall be filed no later than 7 days after receipt of the last post-hearing brief scheduled to be filed, or no later than 7 days after the close of the hearing, if no briefs are to be filed. Sanctions before the Administrative Law Judge or General Counsel may be sought for both allegations or denials made without reasonable cause and found to be untrue and/or instances of frivolous litigation.

3. Once the Administrative Law Judge has issued a Recommended Decision and Order, or the Executive Director has issued a Recommended Decision and Order dismissing an unfair labor practice charge, the Recommended Decision and Order is pending before the Board. These motions shall be filed no later than 7 days after receipt of the last brief scheduled to be filed with the Board, or no later than 7 days after oral argument before the Board, if argument occurs after all briefing is completed. Sanctions before the Board may be sought for both allegations or denials made without reasonable cause and found to be untrue and/or instances of frivolous litigation.

e) A party may request sanctions from the Board for an allegation or denial made without reasonable cause and found to be untrue (Section 15 of the Act) even though it did not move for sanctions on that allegation or denial before the Administrative Law Judge, and even though the Administrative Law Judge did not recommend sanctions on the allegation or denial.

f) A party may not request sanctions from the Board for alleged frivolous litigation for the purpose of delay or needless increase in the cost of litigation before the Executive Director or Administrative Law Judge, unless it requested sanctions from the Executive Director or Administrative Law Judge as to the alleged incident of frivolous litigation, or unless the Executive Director or Administrative Law Judge recommended sanctions as to the alleged incident of frivolous litigation.

g) Except as provided in subsection (h), an order for sanctions shall be included in the Executive Director's Recommended Decision and Order, the Administrative Law Judge's Recommended Decision and Order, or the Board's Opinion and Order.

h) If neither party has moved for sanctions, the Executive Director, Administrative Law Judge, or Board may sua sponte issue an Order to Show Cause why this Part has not been violated. The party or parties to whom the Order to Show Cause is directed shall have 14 days from the service of that Order to file a response. Any other party or parties shall have 14 days from service of that response within which to file a reply. The Order to Show Cause shall recite the conduct or circumstances at issue.

i) An order leveling sanctions shall recite the conduct or circumstances for which sanctions are sought, and explain the basis for the sanction imposed.

j) These amendments apply to allegations or denials and frivolous litigation occurring on or after January 1, 1992.

History

• Source: Amended at 41 Ill. Reg. 10614, effective August 1, 2017

80 Ill. Adm. Code 1120.90 Processing of Employee Dues in Unfair Labor Practice Charges Involving Unlawfully Collected Dues

a) Unfair labor practice charges that an employee organization has unlawfully collected dues from an educational employee in violation of the Act shall be filed and processed in accordance with this Section.

b) In cases in which an educational employee alleges that an employee organization has unlawfully collected dues, the educational employer shall continue to deduct the employee’s dues from the employee's pay, but shall transmit the dues to the Board for deposit in an escrow account maintained by the Board (Section 11.1(g) of the Act), notwithstanding that the employee organization may maintain an escrow account in accordance with subsections (c)-(e) and the employee organization has notified the employer of that account.

c) An employee organization may maintain an escrow account for the purpose of holding dues deductions to which employees have objected. If the escrow account is maintained, the employee organization must notify the employer of that account.

d) If the employee organization maintains an escrow account in accordance with subsection (c), the employer shall transmit the entire amount of dues to the employee organization, and the employee organization shall hold them in escrow.

e) An escrow account maintained by an employee organization shall meet the following standards:

1. The account shall be maintained in a federally insured financial institution.

2. The account shall earn interest of at least the rate provided by commercial banks for regular passbook savings accounts.

3. If the account combines the dues of more than one objector, separate records shall be kept of each objector's dues, prorating the interest earned on the account.

4. The escrow account may contain the fees of objecting employees in different bargaining units.

5. Any charges resulting from a financial institution for the cost of maintaining an escrow account shall be borne by the employee organization.

f) For the purpose of this Section, "employee organization" includes local exclusive representatives and their State, national, international, and parent organizations and affiliates.

History

• Source: Added at 47 Ill. Reg. 19324, effective December 21, 2023

Part 1125 Fair Share Fee Objections

80 Ill. Adm. Code 1125.10 General Statement of Purpose

a) The Illinois Educational Labor Relations Board (Board) finds that Sections 3(a), 11, and 14(a)(1) and (b)(1) of the Illinois Educational Labor Relations Act (the Act) [115 ILCS 5/3(a), 11, 14(a)(1) and (b)(1)] govern the collection and/or expenditure of fair share fees over an employee's objection. The procedures in this Part provide the exclusive method for handling fair share fees upon the filing of an objection by an employee. Failure to abide by these procedures violates Section 14(a)(1) and (b)(1) of the Act. The nature of this unfair labor practice requires that special procedures be adopted for its efficient resolution.

b) The procedures set forth in this Part do not preclude the filing of unfair labor practice charges pursuant to 80 Ill. Adm. Code 1120 alleging violations of Section 11 of the Act resulting from fees in excess of the dues uniformly required of members or fees for contributions related to the election or support of any candidate for political office (Section 11 of the Act).

History

• Source: Amended at 28 Ill. Reg. 7984, effective May 28, 2004

80 Ill. Adm. Code 1125.20 Notice of Fair Share Fees

a) At least 14 calendar days prior to commencement of payroll deductions of fair share fees, the exclusive representative shall provide notice to all nonmembers of the fair share fee and the right to file an objection. The notice shall be provided to nonmembers in a manner calculated to provide proper notice, which may include personal delivery, notice by mail, or notice by posting in a place where employee notices are customarily posted or, if no such place exists, posting in a conspicuous place. The notice of the fair share fee may also be provided to nonmembers electronically unless otherwise requested.

b) Notice shall be on a form developed by the Board or a form developed by the exclusive representative and shall contain the following information:

1. the names of the employer and exclusive bargaining representative;

2. the effective date and duration of the collective bargaining agreement authorizing the fair share fee;

3. the amount of the fair share fee, expressed either as a dollar amount or as a percentage of regular union dues, and the period for which it is assessed;

4. a description of how the fair share fee was calculated, including the major categories of expenses made by the exclusive representative during the most recent fiscal year, verified by an independent auditor;

5. a statement that the nonmember has the right under the Act to object to the amount of the fee by filing an objection with the Board and that the nonmember can obtain additional information about the objection procedure from the Board; and

6. a statement advising fee payers that employees who object to payment of a fair share fee because of bonafide religious tenets or teaching of a church or religious body of which such employees are members may pay an amount equal to their proportionate share, determined under a proportionate share agreement, to a non-religious charitable organization (Section 11 of the Act). When the union and employee are unable to agree on the non-religious charitable organization, the organization will be determined pursuant to the procedures in Section 1125.80(i).

c) Whenever there is a change in the amount of the fair share fee, an updated notice shall be provided to nonmembers in a manner consistent with subsection (a).

d) Upon request, the employer shall give the exclusive representative access to appropriate bulletin boards and other locations for purposes of posting the notice required by this Section.

e) The exclusive representative shall certify in writing to the employer that notice has been provided to nonmembers in accordance with this Section. No payroll deductions of fair share fees shall be made until at least 14 calendar days after that certification.

f) Once notice of the fair share fee has been provided to a newly hired employee in accordance with this Section, fair share fees may be collected from the employee 14 calendar days after the employee's first day of employment.

g) Compliance with this Section does not mean that the exclusive representative has complied with all legal notice requirements as may be required by judicial decisions. The legal responsibility for providing adequate notice remains with the exclusive representative.

History

• Source: Amended at 41 Ill. Reg. 10628, effective August 1, 2017

80 Ill. Adm. Code 1125.30 Objections to Fair Share Fees

a) A nonmember may file an objection to the fair share fee with the Board no later than six (6) months after the first payroll deduction of the fair share fee.

b) The objection shall be on a form developed by the Board and shall contain the following:

1. the name, address and telephone number of the employee filing the objection and of the employee's representative, if any;

2. the name, address and telephone number of the exclusive representative;

3. the name, address and telephone number of the employer;

4. the amount of the fair share fee certified by the exclusive representative, and the amount disputed by the employee. The employee may choose to object to the entire amount of the fee by so stating.

5. a brief description, to the extent known, of the bargaining unit covered by the collective bargaining agreement.

c) The Board shall serve the objection on the employer and the exclusive representative in accordance with 80 Ill. Adm. Code 1100.20(c).

d) An objection is effective on the date it is filed with the Board. Nonmembers waive their objections to any fees deducted from their pay prior to their filing of objections, unless they can establish that they were not properly notified of the fees as required by Section 1125.20 of this Part. Objections are effective only for the year for which the fair share fee is sought.

History

• Source: Amended at 13 Ill. Reg. 1784, effective January 31, 1989

80 Ill. Adm. Code 1125.40 Escrow Accounts

a) Upon service of an objection, the employer shall continue to deduct the fair share fee from the objecting employee's pay, but shall not pay the fee to the exclusive representative, unless the exclusive representative maintains an escrow account in accordance with subsections (b) and (c) and the exclusive representative has so notified the employer. The employer shall transmit the fee to the Board which shall hold the fee in escrow in an account established for that purpose. If the objecting employee has disputed only part of the fee, the employer shall pay the undisputed amount to the exclusive representative and shall transmit the disputed amount to the Board. The employer shall continue to transmit all such fees to the Board until further order of the Board.

b) An exclusive representative may maintain an escrow account for the purpose of holding fair share fees to which employees have objected. If an exclusive representative maintains such an account, the employer shall continue to transmit an objecting employee's fair share fee to the exclusive representative. Upon service of an objection, the exclusive representative shall deposit the objecting employee's fair share fee into the escrow account which it maintains. If the objecting employee has disputed only part of the fee, the exclusive representative shall pay the disputed amount into the escrow account and may retain the undisputed amount. The exclusive representative shall continue to pay into the escrow account all fair share fees or the disputed portion of the fees until further order of the Board.

c) An escrow account maintained by an exclusive representative shall meet the following standards:

1. The account shall be maintained in a federally insured financial institution.

2. The account shall earn interest of at least the rate provided by commercial banks for regular passbook savings accounts.

3. If the account combines the fair share fees of more than one objector, separate records must be kept of each objector's fee, prorating the interest earned on the account.

4. The escrow account may contain the fees of objecting employees in different bargaining units.

5. Any charges resulting from a financial institution for the cost of maintaining an escrow account shall be borne by the exclusive representative.

d) Within 45 days after service of the objection, the exclusive representative may file a motion to reduce the amount of the escrow. The motion shall be filed with the Executive Director. The exclusive representative shall attach to the motion any documents it wishes to have considered in support of this motion. The motion and supporting documents shall be served on the objecting employee and the employer in accordance with 80 Ill. Adm. Code 1100.20(d). The exclusive representative shall have the burden of demonstrating that its proposed reduction in the amount of the escrow will clearly not prejudice the constitutional and statutory rights of the objecting employee.

e) The objecting employee shall have 15 days computed in accordance with 80 Ill. Adm. Code 1100.30 to respond. The response shall be served on the exclusive representative and the employer in accordance with 80 Ill. Adm. Code 1100.20(d).

f) If the Executive Director determines that reduction of the amount of the escrow will clearly not prejudice the constitutional and statutory rights of the objecting employee, he shall order the escrow reduced to an amount necessary to protect the rights of the parties in a written decision containing his reasons. The order shall be served on the objecting employee, the exclusive representative, and the employer. Thereafter, the employer shall transmit the reduced escrow amount to the Board and the remainder to the exclusive representative, unless the exclusive representative maintains an escrow account in accordance with subsections (b) and (c). If the exclusive representative maintains such an escrow account, the exclusive representative shall pay the reduced escrow amount into the escrow account and may retain the remainder.

g) In making the determination, the Executive Director will consider court decisions interpreting the constitutional and statutory rights of employees, patterns of expenditures by the exclusive representative, prior adjudications involving the exclusive representative, and other relevant factors as substantiated by material submitted by the parties.

h) The Executive Director's decision on the motion may be appealed to the Board. Notice of appeal, together with any supporting briefs, shall be filed no later than 15 days after service of the Executive Director's decision. Parties may file briefs in accordance with 80 Ill. Adm. Code 1105. Subpart B. The Board shall review the Executive Director's decision to determine whether it is in accordance with the Act, this Part, and the evidence submitted by the parties.

History

• Source: Amended at 14 Ill. Reg. 2873, effective February 9, 1990

80 Ill. Adm. Code 1125.50 Responses to Objections (repealed)

History

• Source: Repealed at 13 Ill. Reg. 1784, effective January 31, 1989

80 Ill. Adm. Code 1125.60 Consolidation of Fair Share Fee Objections

The Board shall consolidate in a single proceeding all fair share fee objections involving the same bargaining unit. The Board shall consolidate objections involving two or more bargaining units whenever it determines that the exclusive representatives are affiliated with a common employee organization, the exclusive representatives use similar methods for determining fair share fees, the consolidation would not prejudice the constitutional and statutory rights of the objecting employees, and the consolidation would efficiently and expeditiously resolve the objections.

80 Ill. Adm. Code 1125.70 Investigation of Fair Share Fee Objections

a) The Board's Executive Director shall investigate and process all fair share fee objections and shall issue complaints or dismiss objections in accordance with 80 Ill. Adm. Code 1120.30(a) and (b).

b) If the Executive Director dismisses a fair share fee objection, the objecting employee may file exceptions with the Board within fourteen (14) days of the date of receipt of the Executive Director's decision. The exclusive representative may file a response within fourteen (14) days of receipt of the exceptions. In reviewing the exceptions, the Board will consider whether the Executive Director's decision is consistent with the Act and this Part and whether there has been an abuse of discretion (e.g., failure to issue a complaint when questions of law or fact exist).

History

• Source: Amended at 13 Ill. Reg. 1784, effective January 31, 1989

80 Ill. Adm. Code 1125.80 Hearings

a) Except as otherwise provided in this Section, hearings on fair share fee objections shall proceed in the same manner as hearings in both contested cases, as set forth in 80 Ill. Adm. Code 1105, Subpart B, and hearings in unfair labor practice proceedings, as set forth in 80 Ill. Adm. Code 1120.40.

b) The Executive Director shall appoint a fair share Administrative Law Judge to hold an evidentiary hearing and render a Recommended Decision and Order on the fair share fee objections.

c) The burden of proof shall be on the exclusive representative.

d) The hearing set forth in subsection (b) shall commence no later than 60 days from the last day for filing an objection pursuant to Section 1125.30(a). When objections involving two or more bargaining units are consolidated pursuant to Section 1125.60, the hearing shall commence no later than 60 days from the last day for filing an objection for any of the bargaining units. A Recommended Decision and Order shall be issued within 60 days after the close of the record, unless additional time (up to 30 days) is required due to the length of the record and/or the complexity of the issues involved. The close of the record does not occur until the Administrative Law Judge orders that it be closed, either at the hearing or after holding the record open for a period for purposes such as allowing a party to provide additional evidence or to attempt to settle objections. The Recommended Decision and Order or a summary of the Recommended Decision and Order shall be served on all parties to the proceeding. A party receiving a summary of the Recommended Decision and Order shall be entitled to receive a copy of the full Recommended Decision and Order on request.

e) Within 21 days after receipt of the Recommended Decision and Order, any party may file exceptions and briefs in support of those exceptions with the General Counsel. A party may also file cross-exceptions and a supporting brief within 14 days after receipt of another party's exceptions and supporting brief. If no exceptions have been filed within 21 days after service of the Recommended Decision and Order, the parties will be deemed to have waived their exceptions. If no cross-exceptions have been filed within 14 days after receipt of another party's exceptions and supporting brief, the parties will be deemed to have waived their cross-exceptions.

f) If timely exceptions are filed, the Board shall issue and serve on all parties a copy or a summary of its decision and order. A party receiving a summary of the Board's decision and order shall be entitled to receive a copy of the full decision and order on request.

g) Upon direction of the Board, the employer shall cease transmitting the fee to the Board and shall deduct, from the objector's pay, the amount determined by the Board to be appropriate and pay same to the exclusive representative. The Board shall disburse the amount held in escrow to the employee and the exclusive representative in accordance with its determination in the case. Interest earned by disputed fees during the time they were held in escrow shall be apportioned pro rata between the employee and the exclusive representative.

h) When an objector to whom funds from the escrow account are due cannot be located within the period set forth in the Uniform Disposition of Unclaimed Property Act [765 ILCS 1025], the funds will be presumed abandoned and will be paid to the State Treasurer in accordance with the provisions of that Act.

i) When, in the case of a religious objection to fair share fees, the parties are unable to agree on a non-religious charitable organization to receive an amount equal to the employee's proportionate share even after receiving the Board's approved list of charitable organizations established pursuant to Section 11 of the Act, the Board will provide the parties with a panel of three charitable organizations taken from the list. If the parties still cannot agree on a charitable organization, the Board will select a charitable organization from the panel.

History

• Source: Amended at 41 Ill. Reg. 10628, effective August 1, 2017

80 Ill. Adm. Code 1125.90 Consideration by the Board (repealed)

History

• Source: Repealed at 13 Ill. Reg. 1784, effective January 31, 1989

80 Ill. Adm. Code 1125.100 Internal Review Procedure

Nothing in this Part shall preclude an exclusive representative from establishing an internal procedure to review challenges to its fair share fees.

History

• Source: Added at 13 Ill. Reg. 1784, effective January 31, 1989

Part 1130 Collective Bargaining and Impasse Resolution

80 Ill. Adm. Code 1130.10 General Statement of Purpose

The regulations contained in this Part detail the procedures for giving required notices during collective bargaining, for resolving impasses in collective bargaining, and for the making of appointments to the Illinois Educational Labor Mediation Roster and the selection of mediators, fact finders and arbitrators from the Roster.

80 Ill. Adm. Code 1130.20 Notices and Timetable for Bargaining

a) Newly Certified Representatives

In units for which exclusive representatives have been newly certified, with respect to collective bargaining between an educational employer that is not a public school district organized under Article 34 of the School Code [105 ILCS 5/Art. 34] and an exclusive representative of its employees, this subsection (a) shall apply. For purposes of this subsection (a), newly certified representatives are representatives that have not yet reached a collective bargaining agreement after their certification under the Illinois Educational Labor Relations Act [115 ILCS 5].

1. Upon demand of either party, collective bargaining between the employer and an exclusive collective bargaining representative must begin within 60 days after the date of certification of the exclusive representative by the Board. Once commenced, collective bargaining must continue for at least a 60 day period, unless a contract is entered into. [115 ILCS 5/12(a)]

2. If no agreement has been reached within 90 days prior to the scheduled start of the forthcoming school year, the exclusive representative and the employer shall file a notice with the Board. In addition to the requirements of subsection (d), this notice shall include a statement on whether mediation has been used.

3. If no agreement has been reached within 45 days after bargaining was initiated, the parties shall file a notice with the Board. In addition to the requirements of subsection(d), this notice shall state that no agreement has been reached and whether the parties have agreed to mediation using privately selected individuals or organizations such as the Federal Mediation and Conciliation Service or the American Arbitration Association [115 ILCS 5/12(a)]. If, by this date, mediation has not been initiated, the Board shall invoke mediation upon request of a party.

4. If no agreement has been reached 45 days prior to the scheduled start of the forthcoming school year, the parties shall file a notice with the Board. In addition to the requirements of subsection (d), this notice shall state that no agreement has been reached and whether the parties have agreed to mediation using privately selected individuals or organizations such as the Federal Mediation and Conciliation Service or the American Arbitration Association [115 ILCS 5/12(a)]. If, by this date, mediation has not been initiated, the Board shall invoke mediation upon request of a party.

b) Existing Representatives

In units represented by existing exclusive representatives, with respect to collective bargaining between an educational employer that is not a public school district organized under Article 34 of the School Code and an exclusive representative of its employees, the rules in this subsection (b) shall apply:

1. Upon demand of either party, collective bargaining must begin within 60 days after the receipt of the demand to bargain by the other party. Once commenced, collective bargaining must continue for at least a 60 day period, unless a contract is entered into [115 ILCS 5/12(a)].

2. If no agreement has been reached within 90 days prior to the scheduled start of the forthcoming school year, the exclusive representative and the employer shall file a notice with the Board. In addition to the requirements of subsection (d), this notice shall include a statement on whether mediation has been used.

3. If no agreement has been reached 45 days prior to the scheduled start of the forthcoming school year, the parties shall file a second notice with the Board. In addition to the requirements of subsection (d), this notice shall state that no agreement has been reached and whether the parties have agreed to mediation using privately selected individuals or organizations such as the Federal Mediation and Conciliation Service or the American Arbitration Association [115 ILCS 5/12(a)]. If, by this date, mediation has not been initiated, the Board shall invoke mediation upon request of a party.

c) All notices filed under this Section may be filed jointly, signed by both parties. If the notice is not filed jointly, each party shall file a separate notice and serve a copy on the other party. Notices under this Section will be considered filed on the date they are received by the Board.

d) All notices filed under this Section shall be on a form developed by the Board and shall contain the following:

1. the name, affiliation, if any, and address of the exclusive representative;

2. the name and address of the employer;

3. the expiration date of the existing collective bargaining agreement, if any;

4. the date of the scheduled start of the forthcoming school year; and

5. a brief report on the status of negotiations, including the date negotiations began.

History

• Source: Amended at 41 Ill. Reg. 10635, effective August 1, 2017

80 Ill. Adm. Code 1130.30 Mediation

a) This Section shall apply to collective bargaining between an educational employer that is not a public school district organized under Article 34 of the School Code and an exclusive representative of its employees.

b) Mediation services will be provided at any time upon joint request of the parties.

c) Mediation may be invoked upon request of one party if, after a reasonable period of negotiation and within 90 days prior to the scheduled start of the forthcoming school year, the parties engaged in collective bargaining have reached an impasse [115 ILCS 5/12(a)].

d) Mediation will automatically be invoked by the Board upon request of a party 45 days after bargaining has begun in units for which exclusive representatives have been newly certified or 45 days prior to the scheduled start of the forthcoming school year.

e) Within two days after the Board invokes mediation, the parties may submit a stipulation to defer selection of a mediator. The stipulation shall be on a form developed by the Board and shall include a provision that the parties will maintain the status quo with respect to existing terms and conditions of employment and will not engage in a strike while the stipulation is in effect. Either party may withdraw the stipulation at any time by giving notice to the other party and to the Board.

f) Requests for Mediation

1. Requests for mediation shall be in writing and shall be submitted to the Board's Chicago office at the following address:

Illinois Educational Labor Relations Board

160 N. LaSalle St., Suite N-400

Chicago IL 60601

2. Requests for mediation may also be submitted to the Board's electronic mailbox (ELRB.mail@illinois.gov). The request shall be signed by the requesting party or by both parties, if joint.

g) Requests and joint requests for mediation shall be on a form developed by the Board and shall include:

1. the name, affiliation, if any, and address of the requesting party;

2. the name, affiliation, if any, and address of the other party to collective bargaining;

3. the date collective bargaining began;

4. the date the existing contract, if any, is scheduled to expire; and

5. the date of the scheduled start of the forthcoming school year.

h) When the Board receives a request from one party, it shall investigate the request. If the Board's investigation discloses that the request was properly filed under this Part, and that the bargaining has not resulted in an agreement and the Board concludes that mediation would assist the parties, the Board shall invoke mediation. In determining whether mediation would assist the parties, the Board shall consider such factors as the number of meetings that have occurred, the number of issues in dispute, the significance of the issues in dispute, the degree of experience of the representatives of the parties in the bargaining process, and the collective bargaining history of the parties.

i) Whenever the Board receives a joint request for mediation, or whenever the Board invokes mediation, or whenever the Board has not approved a stipulation to defer selection of a mediator within two days after invocation of mediation, or whenever such a stipulation has been withdrawn, the Board shall submit to the parties a panel of three proposed mediators selected from the Illinois Educational Labor Mediation Roster. Within three days following receipt of the panel, the parties shall select one of the names on the panel or any other person they choose to serve as mediator. Whenever the parties agree to select a mediator through the Federal Mediation and Conciliation Service, the American Arbitration Association, or any other source, they shall notify the Board of their selection. If the parties fail to agree on a mediator within the three day period, the Board shall appoint a mediator.

j) The mediator may hold joint and separate conferences with the parties. The conferences shall be private unless the mediator and the parties agree otherwise.

k) Information disclosed by a party to a mediator in the performance of mediation functions shall not be disclosed voluntarily or by compulsion. All files, records, reports, documents, or other papers prepared by a mediator shall be confidential. The mediator shall not produce any confidential records of, or testify in regard to, any mediation conducted by the mediator on behalf of any party to any cause pending in any type of proceeding.

History

• Source: Amended at 41 Ill. Reg. 10635, effective August 1, 2017

80 Ill. Adm. Code 1130.35 Notification and Public Posting Procedures

a) This Section applies only to collective bargaining between a public school district or a combination of public school districts, including, but not limited to, joint cooperatives, that is not organized under Article 34 of the School Code and an exclusive representative of its employees. [115 ILCS 5/12(a-5)] This Section does not apply to other educational employers as defined in Section 2(a) of the Act, specifically, public community college districts, State colleges or universities, any State agency whose major function is providing educational services, School Finance Authorities created under Article 1E or 1F of the School Code [105 ILCS 5/Art. IE or Art. IF], or school districts organized under Article 34 of the School Code.

b) At any time more than 15 days after mediation has commenced, either party may initiate the public posting process set forth in Section 12(a-5) of the Act. [115 ILCS 5/12(a-5)] For the purposes of this subsection (b), the date that mediation has commenced shall be the date upon which the parties first meet with a mediator. The mediator may initiate the public posting process at any time 15 days after mediation has commenced during the mediation process. [115 ILCS 5/12(a-5)]

c) Initiation of the public posting process must be filed with the Board. Copies of the filing with the Board must be served on the parties in such a manner that the parties will receive the filing on the same date the Board receives it. The filing shall be in writing and shall include:

1. if a party is initiating the public posting process, the name, affiliation, if any, and address of the party initiating the public posting process and the name, affiliation, if any, and address of the other party to collective bargaining;

2. if the mediator is initiating the public posting process, the name of the mediator and the names, affiliations, if any, and addresses of the parties to collective bargaining;

3. the expiration date of the existing collective bargaining agreement, if any; and

4. the date of the scheduled start of the forthcoming school year.

d) The initiation of the public posting process will be considered to have occurred on the date the Board receives the filing.

e) Within seven days after the initiation of the public posting process, each party shall submit, both electronically and in hard copy, to the mediator, the Board and the other party, a document that includes:

1. the most recent offer of the party;

2. a cost summary dealing with those issues on which the parties have failed to reach agreement;

3. the date of the expiration of the existing collective bargaining agreement, if any; and

4. the date of the scheduled start of the forthcoming school year.

f) The employees of the public school district, or combination of public school districts, shall not engage in a strike until at least 14 days have elapsed after the Board has made the most recent offers and cost summaries public on its website (www.illinois.gov/elrb).

g) Once an agreement has been ratified, the parties shall jointly notify the Board unless the mediator notifies the Board. Notification that an agreement has been ratified shall be in writing. Notification may be made by telephone to the Board's Chicago office, but a written notification must follow as soon as possible, and in no event later than two business days after the notification by telephone.

h) On the date the most recent offers and cost summaries are posted on the Board's website, the school district or combination of public school districts shall, at a minimum, provide notification that the offers and cost summaries are available on the Board's website to all news media that have filed an annual request for notices from the school district or combination of school districts pursuant to Section 2.02 of the Open Meetings Act [5 ILCS 120/2.02].

i) After the Board has received written notification from both parties that an agreement has been ratified, the Board shall remove from its website the parties' submissions, including the offers, cost summaries, date of expiration of any existing collective bargaining agreement, and date of the scheduled start of the forthcoming school year.

History

• Source: Added at 38 Ill. Reg. 8379, effective April 1, 2014

80 Ill. Adm. Code 1130.40 Notice of Intent to Strike

a) In addition to the limitations imposed by Section 1130.35(f) or Section 1130.55(f) and (g), educational employees shall not engage in a strike unless at least 10 days have elapsed after a notice of intent to strike has been given by the exclusive bargaining representative to the educational employer, the regional superintendent (if one exists with jurisdiction over the educational employer) and the Illinois Educational Labor Relations Board. [115 ILCS 5/13(b)(3)]

b) For purposes of this Section, 10 days shall mean 10 calendar days. Intervening Saturdays, Sundays or legal holidays shall be included. The day on which the notice of intent to strike is given shall not be included. The last day of the period shall be included regardless of whether the last day falls on a Saturday, Sunday or legal holiday.

c) Notice of intent to strike must be in writing and must include:

1. the name, address and affiliation, if any, of the exclusive representative;

2. the name and address of the employer;

3. a description of the bargaining unit; and

4. a statement of intent to strike.

d) Notice of intent to strike shall be considered given to the Board on the date written notice is received by the Board, unless telephonic notice is given to the Board's Executive Director or his designee during the Board's regular office hours, and confirmed immediately by written notice personally delivered to the Board's office or mailed to the Board's office by certified or registered mail.

History

• Source: Amended at 38 Ill. Reg. 8379, effective April 1, 2014

80 Ill. Adm. Code 1130.50 Fact Finding and Interest Arbitration

a) The parties may agree to the use of fact finding or interest arbitration in settling their disputes.

b) Upon joint request of the parties, the Board shall provide one panel of no more than seven arbitrators for use by the parties in selecting a fact finder or interest arbitrator. Such request shall be on a form developed by the Board. The parties shall attach a copy of their agreement to use fact finding or interest arbitration to the request.

80 Ill. Adm. Code 1130.55 Collective Bargaining and Impasse Resolution Rules for School Districts Organized under Article 34 of the School Code

a) If the parties fail to reach agreement after a reasonable period of mediation, the dispute shall be submitted to fact-finding in accordance with this Section. Either the educational employer or the exclusive representative may initiate fact-finding by submitting a written demand to the other party with a copy of the demand submitted simultaneously to the Board. [115 ILCS 5/12(a-10)(l)]

b) Within 3 days following a party's demand for fact-finding, each party shall appoint one member of the fact-finding panel, unless the parties agree to proceed without a tri-partite panel. Following these appointments, if any, the parties shall select a qualified impartial individual to serve as the fact-finder and chairperson of the fact-finding panel, if applicable. An individual shall be considered qualified to serve as the fact-finder and chairperson of the fact-finding panel, if applicable, if he or she was not the same individual who was appointed as the mediator and if he or she satisfies the following requirements:

1. membership in good standing with the National Academy of Arbitrators, Federal Mediation and Conciliation Service, or American Arbitration Association for a minimum of 10 years;

2. membership on the mediation roster for the Illinois Labor Relations Board or the Illinois Educational Labor Relations Board;

3. issuance of at least 5 interest arbitration awards arising under the Illinois Public Labor Relations Act [5 ILCS 315]; and

4. participation in impasse resolution processes arising under private or public sector collective bargaining statutes in other states. [115 ILCS 5/12(a-10)(2)]

c) If the parties are unable to agree on a fact-finder, the parties shall request a panel of fact-finders who satisfy the requirements in subsection (b) from either the Federal Mediation and Conciliation Service or the American Arbitration Association and shall select a fact-finder from such panel in accordance with the procedures established by the organization providing the panel. [115 ILCS 5/12(a-10)(2)]

d) The fact-finder shall have the following duties and powers:

1. to require the parties to submit a statement of disputed issues and their positions regarding each issue, either jointly or separately;

2. to identify disputed issues that are economic in nature;

3. to meet with the parties either separately or in executive sessions;

4. to conduct hearings and regulate the time, place, course, and manner of the hearings;

5. to request the Board to issue subpoenas requiring the attendance and testimony of witnesses or the production of evidence;

6. to administer oaths and affirmations;

7. to examine witnesses and documents;

8. to create a full and complete written record of the hearings;

9. to attempt mediation or remand a disputed issue to the parties for further collective bargaining;

10. to require the parties to submit final offers for each disputed issue either individually or as a package or as a combination of both; and

11. to employ any other measures deemed appropriate to resolve the impasse. [115 ILCS 5/12(a-10)(3)]

e) If the dispute is not settled within 75 days after the appointment of the fact-finding panel, the fact-finding panel shall issue a private report to the parties that contains advisory findings of fact and recommended terms of settlement for all disputed issues and that sets forth a rationale for each recommendation. The fact-finding panel, acting by a majority of its members, shall base its findings and recommendations on the following criteria, as applicable:

1. the lawful authority of the employer;

2. the federal and State statutes or local ordinances and resolutions applicable to the employer;

3. prior collective bargaining agreements and the bargaining history between the parties;

4. stipulations of the parties;

5. the interests and welfare of the public and the students and families served by the employer;

6. the employer's financial ability to fund the proposals based on existing available resources, provided that such ability is not predicated on an assumption that lines of credit or reserve funds are available or that the employer may or will receive or develop new sources of revenue or increase existing sources of revenue;

7. the impact of any economic adjustments on the employer's ability to pursue its educational mission;

8. the present and future general economic conditions in the locality and State;

9. a comparison of the wages, hours and conditions of employment of the employees involved in the dispute with the wages, hours and conditions of employment of employees performing similar services in public education in the 10 largest U.S. cities, except that for educational employees who are forbidden to strike, this comparison shall be based on comparable communities;

10. the average consumer prices in urban areas for goods and services, which is commonly known as the cost of living;

11. the overall compensation presently received by the employees involved in the dispute, including:

A) direct wage compensation;

B) vacations, holidays, and other excused time;

C) insurance and pensions;

D) medical and hospitalization benefits;

E) the continuity and stability of employment and all other benefits received;

F) how each party's proposed compensation structure supports the educational goals of the district; and

G) for educational employees who are forbidden from striking, this analysis shall also include all other employees who are employed by the educational employer;

12. changes in any of the circumstances listed in subsection (e)(1) through (11) during the fact-finding proceedings;

13. the effect that any term the parties are at impasse on has or may have on the overall educational environment, learning conditions, and working conditions within the school district; and

14. the effect that any term the parties are at impasse on has or may have in promoting the public policy of this State. [115 ILCS 5/12(a-10)(4)]

f) The fact-finding panel's recommended terms of settlement shall be deemed agreed upon by the parties as the final resolution of the disputed issues and incorporated into the collective bargaining agreement executed by the parties, unless either party tenders to the other party and the chairperson of the fact-finding panel a notice of rejection of the recommended terms of settlement with a rationale for the rejection, within 15 days after the date of issuance of the fact-finding panel's report. With regard to educational employees who are forbidden from striking, if either party submits a notice of rejection, either party may utilize mandatory interest arbitration proceedings established in Section 12(a-10)(e) of the Act and subsection (i). For all other educational employees subject to Section 12(a-10) of the Act and this Section, if either party submits a notice of rejection, the chairperson of the fact-finding panel shall promptly release the fact-finding panel's report and the notice of rejection for public information by delivering a copy to all newspapers of general circulation in the community with simultaneous written notice to the parties. [115 ILCS 5/12(a-10)(5)]

g) Educational employees in a school district organized under Article 34 of the School Code other than educational supervisors as provided under section 13(c) of the Act shall not engage in a strike until at least 30 days have elapsed after a fact-finding report has been released for public information. [115 ILCS 5/13(b)]

h) Educational employees in a school district organized under Article 34 of the School Code other than educational supervisors as provided under Section 13(c) of the Act shall not engage in a strike unless at least three-fourths of all bargaining unit employees who are members of the exclusive bargaining representative have affirmatively voted to authorize the strike; provided, however, that all members of the exclusive bargaining representative at the time of a strike authorization vote shall be eligible to vote. [115 ILCS 5/13(b)]

i) This subsection (i) only applies to collective bargaining between a public school district organized under Article 34 of the School Code and an exclusive representative of educational employees who are forbidden from striking under this Act after the parties reach impasse when bargaining an initial and any successor collective bargaining agreements. Educational employees who are forbidden from striking have the right to submit negotiation disputes regarding wages, hours, and conditions of employment that are mandatory subjects of bargaining for resolution through the following mandatory arbitration procedures:

1. For collective bargaining agreements between an educational employer and exclusive representative, mediation shall commence 30 days prior to the expiration of a collective bargaining agreement; or upon 15 days; notice from either party; or at such later time as the mediation services chosen can be provided to the parties. In mediation under Section 12 of the Act and this Section, if either party requests the use of mediation from the Federal Mediation and Conciliation Service, the other party shall either join in such request or bear the additional cost of mediation services from another source. If mediation services are unavailable from Federal Mediation and Conciliation Service, or if not available, from the Illinois Department of Labor, the cost of mediation services from another source shall be shared equally between the educational employer and the exclusive bargaining agent. The mediator shall have a duty to keep the Board informed on the progress of the mediation. If any dispute has not been resolved within 15 days after the first meeting of the parties and the mediator, or within such other time limit as may be mutually agreed upon by the parties, either the exclusive representative or employer may request of the other, in writing, arbitration, and shall submit a copy of the request to the Board's General Counsel.

A) If a party desires Board assistance in engaging a mediator, the party shall file a Request for Mediation in writing to the Board's Chicago office, 160 N. LaSalle Street, Suite N-400, Chicago Illinois 60601 or via email to the Board's electronic mailbox (ELRB.mail@Illinois.gov). The request shall be signed by the requesting party or by both parties, if joint. The Board shall provide the parties with a panel of at least 3 mediators listed on the Illinois Educational Labor Mediation Roster. The parties shall have 7 days from receipt of the list to choose one of the persons on the panel or any other person they choose to serve as mediator. If, at the end of this 7-day period, the parties have not notified the Board of their selection, the Board shall appoint a mediator.

B) The mediator may hold joint and separate conferences with the parties. The conferences shall be private unless the mediator and the parties agree otherwise.

C) Information disclosed by a party to a mediator in the performance of mediation functions shall not be disclosed voluntarily or by compulsion. All files, records, reports, documents, or other papers prepared by a mediator shall be confidential. The mediator shall not produce any confidential records of, or testify in regard to, any mediation conducted by the mediator on behalf of any party to any cause pending in any type of proceeding.

2. Within 10 days after such a request for arbitration has been made, the educational employer shall choose a delegate and the employees' exclusive representative shall choose a delegate to a panel of arbitration as provided in Section 12 of the Act and this Section. The employer and employees shall forthwith advise the other and the Board's General Counsel of their selections and provide the name, address, telephone number, and email address of its delegate to the Board's General Counsel. The parties may agree, in writing, to waive the tripartite panel and use a sole arbitrator to resolve this issue.

3. Within 7 days after the request of either party, the parties shall request a panel of impartial arbitrators from which they shall select the neutral chairperson, or sole arbitrator, according to the procedures provided in Section 12 of the Act and this Section. If the parties have agreed to a contract that contains a grievance resolution procedure, the chairperson or sole arbitrator shall be selected using their agreed contract procedure unless they mutually agree to another procedure. If the parties fail to notify the Board of their selection of a neutral chairperson within 7 days after receipt of the list of impartial arbitrators, the Board shall appoint, at random, a neutral chairperson from the list. In the absence of an agreed contract procedure for selecting an impartial arbitrator, the parties shall submit a request to the Federal Mediation and Conciliation Service, the American Arbitration Association, the Illinois Department of Labor, or the Board to draw from the Illinois Educational Labor Mediation Roster for a panel of 7 arbitrators who are members in good standing with the National Academy of Arbitrators, and have issued at least 5 interest arbitration awards arising under the Act or the Illinois Public Labor Relations Act. The parties shall conduct a coin toss to determine who strikes first, and the parties shall alternately strike arbitrators from the list until one remains. The parties shall promptly notify the Board's General Counsel of their selection.

4. The parties may select a second panel of arbitrators only upon the agreement of the parties. In the event that a party objects to one or more members of the panel, the party shall notify the Board's General Counsel within five days of receipt of the list of arbitrators. If the Board's General Counsel determines that it is appropriate to include the arbitrator on the list, the parties shall continue with the selection process as provided in this subsection. If the Board's General Counsel believes that it is inappropriate to include the arbitrator on the list due to extenuating circumstances, such as a conflict of interest or incapacity, the Board will send the parties the name of an arbitrator to replace the objectionable name. The parties will follow the procedures set forth in this subsection after receipt of the new list. The fact that an arbitrator had previously represented unions or management in labor relations matters is not sufficient evidence of conflict of interest under this Section. The decision not to remove an arbitrator from the list is not appealable; the objecting party may seek relief through striking the name of the arbitrator as provided above.

5. The chairperson or sole arbitrator shall call a hearing to begin within 15 days and give reasonable notice of the time and place of the hearing. The parties may agree in writing to extend the time for commencement of the hearing for a period of time not to exceed 90 days. The hearing shall be held at the offices of the Board. The parties shall provide the Board with at least 10 days advance notice if requesting the use of the Board's offices. The chairperson or sole arbitrator shall preside over the hearing and shall take testimony. Any oral or documentary evidence and other data deemed relevant by the arbitration panel may be received in evidence. The proceedings shall be informal. Technical rules of evidence shall not apply and the competency of the evidence shall not thereby be deemed impaired. A verbatim record of the proceedings shall be made and the arbitrator shall arrange for the necessary recording service. Transcripts may be ordered at the expense of the party ordering them, but the transcripts shall not be necessary for a decision by the arbitration panel or sole arbitrator. The expense of the proceedings, including a fee for the chairperson or sole arbitrator, shall be borne equally by each of the parties to the dispute. The delegates, if public officers or employees or educational employees, shall continue on the payroll of the public employer or educational employer without loss of pay. The hearing conducted by the arbitration panel or sole arbitrator may be adjourned from time to time, but unless otherwise agreed by the parties, shall be concluded within 30 days of the time of its commencement. Majority actions and rulings shall constitute the actions and rulings of the arbitration panel. Arbitration proceedings under Section 12 of the Act and this Section shall not be interrupted or terminated by reason of any unfair labor practice charge filed by either party at any time.

6. If the neutral chairperson is unable or unwilling to commence the hearing within 15 days following the chairperson's appointment, or within the additional time period to which the parties agreed to extend the time for commencement of the hearing, or if the neutral chairperson is otherwise unable or unwilling to serve, the parties shall notify the Board within 5 days. The Board shall provide the parties with a second list of 7 arbitrators from the Illinois Educational Labor Meditation Roster. The parties shall select an individual from the list or any other individual to serve as a neutral chairperson within 7 days after the Board provides the list. If the parties fail to notify the Board of their selections, the Board shall appoint a neutral chairperson. Except in exceptional circumstances, the Board shall not supply the parties with more than 2 lists of arbitrators.

7. The arbitration panel or sole arbitrator may administer oaths, require the attendance of witnesses, and the production of such books, papers, contracts, agreements, and documents as may be deemed by it material to a just determination of the issues in dispute, and for such purpose may issue subpoenas. If any person refuses to obey a subpoena, or refuses to be sworn or to testify, or if any witness, party, or attorney is guilty of any contempt while in attendance at any hearing, the arbitration panel or sole arbitrator may, or the Attorney General if requested shall, invoke the aid of any circuit court within the jurisdiction in which the hearing is being held, which court shall issue an appropriate order. Any failure to obey the order may be punished by the court as contempt.

8. At any time before the rendering of an award, the chairperson of the arbitration panel or sole arbitrator, if the chairperson of the arbitration panel or sole arbitrator is of the opinion that it would be useful or beneficial to do so, may remand the dispute to the parties for further collective bargaining for a period not to exceed 2 weeks. If the dispute is remanded for further collective bargaining, the time provisions of the Act and this part shall be extended for a time period equal to that of the remand. The chairperson of the arbitration panel or sole arbitrator shall notify the Board's General Counsel of the remand.

9. At or before the conclusion of the hearing held pursuant to Section 12(a-10)(e)(4) of the Act and subsection (i)(4), the arbitration panel or sole arbitrator shall identify the economic issues in dispute, and direct each of the parties to submit, within such time limit as the panel shall prescribe, to the arbitration panel or sole arbitrator and to each other its last offer of settlement on each economic issue. The determination of the arbitration panel or sole arbitrator as to the issues in dispute and as to which of these issues are economic shall be conclusive. The arbitration panel or sole arbitrator, within 30 days after the conclusion of the hearing, or such further additional periods to which the parties may agree, shall make written findings of fact and adopt a written opinion and shall mail or otherwise deliver a true copy thereof to the parties and their representatives and to the Board's General Counsel. As to each economic issue, the arbitration panel or sole arbitrator shall adopt the last offer of settlement which, in the opinion of the arbitration panel or sole arbitrator, more nearly complies with the applicable factors prescribed in subsection (i)(8). The findings, opinions, and order as to all other issues shall be based upon the applicable factors prescribed in subsection (i)(8).

10. The arbitration decision shall be limited to mandatory subjects of bargaining. If there is no agreement between the parties, or if there is an agreement but the parties have begun negotiations or discussions looking to a new agreement or amendment of the existing agreement, and wage rates or other conditions of employment under the proposed new or amended agreement are in dispute, the arbitration panel shall base its findings, opinions, and order upon the following factors, as applicable:

A) the lawful authority of the employer;

B) the federal and State statutes or local ordinances and resolutions applicable to the employer;

C) prior collective bargaining agreements and the bargaining history between the parties;

D) stipulations of the parties;

E) the interests and welfare of the public and the students and families served by the employer;

F) the employer's financial ability to fund the proposals based on existing available resources, provided that such ability is not predicated on an assumption that lines of credit or reserve funds are available or that the employer may or will receive or develop new sources of revenue or increase existing sources of revenue;

G) the impact of any economic adjustments on the employer's ability to pursue its educational mission;

H) the present and future general economic conditions in the locality and State;

I) a comparison of the wages, hours, and conditions of employment of the employees involved in the arbitration proceeding with the wages, hours, and conditions of employment of other employees performing similar services in public education in the 10 largest cities in the United States;

J) the average consumer prices in urban areas for goods and services, which is commonly known as the cost of living;

K) the overall compensation presently received by the employees involved in the dispute and by all other employees who are employed by the educational employer, including direct wage compensation; vacations, holidays, and other excused time, insurance and pensions, medical and hospitalization benefits, the continuity and stability of employment and all other benefits received, and how each party's proposed compensation structure supports the educational goals of the district;

L) changes in any of the circumstances listed in Section 12(e)(8)(A) through (K) of the Act and subsections (i)(8)(A) through (K) during the arbitration proceedings;

M) the effect that any term the parties are at impasse on has or may have on the overall educational environment, learning conditions, and working conditions with the school district; and

N) the effect that any term the parties are at impasse on has or may have in promoting the public policy of this State.

P) No terms in the arbitration award or order may conflict with any terms and conditions set forth in a collective bargaining agreement between the educational employer and another collective bargaining representative.

11. Arbitration procedures shall be deemed to be initiated by the filing of a letter requesting mediation as required under Section 12(e)(1) of the Act. The commencement of a new fiscal year after the initiation of arbitration procedures under the Act and this Part, but before the arbitration decision, or its enforcement, shall not be deemed to render a dispute moot, or to otherwise impair the jurisdiction or authority of the arbitration panel or sole arbitrator or its decision. Increases in rates of compensation awarded by the arbitration panel or sole arbitrator may be effective only at the start of the fiscal year next commencing after the date of the arbitration award. If a new fiscal year has commenced either since the initiation of arbitration procedures under the Act and this Part or since any mutually agreed extension of the statutorily required period of mediation under the Act and this Part by the parties to the labor dispute causing a delay in the initiation of arbitration, the foregoing limitations shall be inapplicable, and such awarded increases may be retroactive to the commencement of the fiscal year, any other statute or charter provisions to the contrary, notwithstanding. At any time the parties, by stipulation, may amend or modify an award of arbitration.

12. Orders of the arbitration panel or sole arbitrator shall be reviewable, upon appropriate petition by either the educational employer or the exclusive bargaining representative, by the circuit court for the county in which the dispute arose or in which a majority of the affected employees reside, but only for reasons that the arbitration panel or sole arbitrator was without or exceeded its statutory authority; the order is arbitrary, or capricious; or the order was procured by fraud, collusion, or other similar and unlawful means. Such petitions for review must be filed with the appropriate circuit court within 90 days following the issuance of the arbitration order. The pendency of such proceeding for review shall not automatically stay the order of the arbitration panel or sole arbitrator. The party against whom the final decision of any such court shall be adverse, if such court finds such appeal or petition to be frivolous, shall pay reasonable attorney's fees and costs to the successful party as determined by said court in its discretion. If said court's decision affirms the award of money, such award, if retroactive, shall bear interest at the rate of 12% per annum from the effective retroactive date.

13. During the pendency of proceedings before the arbitration panel or sole arbitrator, existing wages, hours, and other conditions of employment shall not be changed by action of either party without the consent of the other but a party may so consent without prejudice to the party's rights or position under the Act and this Part. The proceedings are deemed to be pending before the arbitration panel or sole arbitrator upon the initiation of arbitration procedures under the Act and this Part.

14. The educational employees covered by Section 12(a-10) of the Act and this Section of the Rules may not withhold services, nor may educational employers lock out or prevent such employees from performing services at any time.

15. All of the terms decided upon by the arbitration panel or sole arbitrator shall be included in an agreement to be submitted to the educational employer's governing body for ratification and adoption by law, ordinance, or the equivalent appropriate means.

16. The governing body shall review each term decided by the arbitration panel or sole arbitrator. If the governing body fails to reject one or more terms of the arbitration panel's or sole arbitrator's decision by a 3/5 vote of those duly elected and qualified members of the governing body, at the next regularly scheduled meeting of the governing body after issuance, such term or terms shall become a part of the collective bargaining agreement of the parties. If the governing body affirmatively rejects one or more terms of the arbitration panel's or sole arbitrator's decision, it must provide reasons for such rejection with respect to each term so rejected, within 20 days of such rejection and the parties shall return to the arbitration panel or sole arbitrator for further proceedings and issuance of a supplemental decision with respect to the rejected terms. The parties may mutually agree to select a different neutral chairperson for the supplemental hearing, provided that the parties notify the Board and the original neutral chairperson within 7 days after service of the reasons for rejection of the award. Any supplemental decision by an arbitration panel, sole arbitrator, or other decision maker agreed to by the parties shall be submitted to the governing body for ratification and adoption in accordance with the procedures and voting requirements set forth in Section 12 of the Act. The voting requirements of Section 12(e)(1) of the Act shall apply to all disputes submitted to arbitration pursuant to Section 12 of the Act notwithstanding any contrary voting requirements contained in any existing collective bargaining agreement between the parties.

17. If the governing body of the employer votes to reject the panel's or sole arbitrator's decision, the parties shall return to the panel or sole arbitrator within 30 days from the issuance of the reasons for rejection for further proceedings and issuance of a supplemental decision. All reasonable costs of such supplemental proceeding including the exclusive representative's reasonable attorney's fees, as established by the Board, shall be paid by the educational employer.

18. Notwithstanding the provisions of this Section, the educational employer and exclusive representative may agree to submit unresolved disputes concerning wages, hours, terms, and conditions of employment to an alternative form of impasse resolution.

19. The costs of mediation and arbitration shall be shared equally between the educational employer and the exclusive bargaining agent, provided that for purposes of mediation under the Act and this Part, if either party requests the use of mediation services from the Federal Mediation and Conciliation Service, the other party shall either join in such request or bear the additional cost of mediation services from another source. All other costs and expenses of complying with Section 12 of the Act must be borne by the party incurring them, except as otherwise expressly provided.

20. If an educational employer or exclusive bargaining representative refuses to participate in mediation or arbitration when required by this Section, the refusal shall be deemed a refusal to bargain in good faith in violation of Section 14(a)(5) of the Act.

21. Nothing in the Act nor this Part prevents an employer and an exclusive bargaining representative who are not subject to mandatory arbitration under Section 12 of the Act and this Part from mutually submitting to final and binding impartial arbitration unresolved issues concerning the terms of a new collective bargaining agreement. [115 ILCS 5/12(e)]

j) During collective bargaining between a public school district organized under Article 34 of the School Code and an exclusive representative of educational employees who are forbidden from striking under the Act, the parties may petition the Board's General Counsel for a declaratory ruling, pursuant to Section 5-150 of the Illinois Administrative Procedure Act [5 ILCS 100/5-150], as follows:

1. After the commencement of negotiations and before reaching agreement, the exclusive representative and the employer have a good faith disagreement over whether the Act requires bargaining over a particular subject or particular subjects, they may jointly petition for a declaratory ruling concerning the status of the law. If a request for interest arbitration has been served in accordance with Section 12(e) of the Act and subsection (i) and either the exclusive representative or the employer has requested the other party to join it in filing a declaratory ruling petition and the other party has refused the request, the requesting party may file the petition on its own, provided that the petition is filed no later than the first day of the arbitration hearing.

2. A joint petition must be signed by both parties. A petition filed by only one party must contain a statement that the other party has refused a request to join in the petition, and must contain a copy of the request for arbitration. All petitions must contain the name, address, email address, telephone number and person to contact for each party, the date negotiations began, a statement of the legal issue on which a declaratory ruling is sought, and a copy of the most recently negotiated contract, if any.

3. Declaratory rulings shall not be issued concerning factual issues that are in dispute. In the case of a unilateral petition for declaratory ruling in which the General Counsel has determined that material issues of fact are in dispute, the General Counsel may either dismiss the petition without prejudice to the requesting party's right to file an unfair labor practice charge, or, where the General Counsel determines that a fact-finding of the disputed factual issues will facilitate a determination of the issues that are the subject of the petition, the issuance of the declaratory ruling may be deferred and the disputed issues of fact referred to the arbitration panel for determination.

4. Each party shall file a brief no later than 10 days after the filing of a joint petition, or no later than 10 days after the service of a petition filed by only one party, unless an extension has been granted by the General Counsel.

5. The General Counsel shall issue a declaratory ruling no later than 90 days after receipt of the parties' briefs. Declaratory rulings shall not be appealable.

6. The parties shall continue to have a duty to bargain in good faith during the pendency of a declaratory ruling petition. The pendency of a declaratory ruling petition shall not stay mediation or arbitration proceedings required under the Section 12(e) of the Act and this Section.

History

• Source: Amended at 50 Ill. Reg. 1943, effective January 26, 2026

Chapter III Illinois Educational Labor Relations Board

Part 1130 Collective Bargaining and Impasse Resolution

80 Ill. Adm. Code 1130.60 Filing of Agreements (repealed)

History

• Source: Repealed at 41 Ill. Reg. 10635, effective August 1, 2017

80 Ill. Adm. Code 1130.70 Grievance Arbitration and No Strike Clauses

a) Every collective bargaining agreement between an employer and an employee organization shall contain a grievance procedure which has as its last step final arbitration. The agreement shall also contain appropriate language prohibiting strikes for the duration of the agreement.

b) Whenever the parties request, the Board shall provide a panel of grievance arbitrators selected from the Illinois Educational Labor Mediation Roster. The size of the panel shall be specified by the parties in their request, but shall not exceed seven. If the parties are unable to select an arbitrator from the first panel, the Board shall provide a second panel. The Board shall not provide more than two panels.

80 Ill. Adm. Code 1130.80 Illinois Educational Labor Mediation Roster

a) The Board shall establish an Illinois Educational Labor Mediation Roster. The Roster shall list qualified mediators, fact finders, interest arbitrators, and grievance arbitrators. A person may be qualified in more than one category.

b) Appointment to the Roster shall be by the Board, after application by the individual. The application shall be on a form developed by the Board.

c) In making appointments to the Roster, the Board shall consider such factors as experience and training, membership on other mediation or arbitration panels, education, prior published awards, current advocacy in employment relations matters, letters of recommendation supporting the application, and any other material supplied by the applicant or any clarifying or supplemental material requested by the Board which serves to establish these factors.

d) Persons appointed to the Roster shall file with the Board a brief biographical sketch, a concise resume of their experience relevant to the position for which they are listed and a fee schedule. Whenever an individual is selected to serve in a case that individual shall not charge a fee greater than that listed in the fee schedule the individual has filed with the Board. A minimum of 30 days notice shall be given for changes in fee schedules.

e) Whenever the Board provides the parties with a panel selected from the Roster, the Board shall provide copies of the biographical sketches and fee schedules of the panelists.

f) The parties may jointly request that panels submitted to them contain or omit specific individuals. No party may unilaterally make such a request.

Part 1135 University of Illinois Bargaining Units

80 Ill. Adm. Code 1135.10 General Statement of Purpose

This Part sets forth presumptively appropriate bargaining units for educational employees employed by the Board of Trustees of the University of Illinois. Nothing in this Part shall negate historical units created prior to January 1, 1984 or units certified by the Illinois Educational Labor Relations Board prior to the effective date of these regulations. Nothing in this Part shall be construed to supersede this Part or rights of educational employees under Section 7 of the Act. Presumptively appropriate means that a bargaining unit has been found to have the requisite community of interest under Section 7a of the Educational Labor Relations Act (the Act) [115 ILCS 5/7(a)], unless the appropriateness is rebutted by contrary evidence.

80 Ill. Adm. Code 1135.20 Presumptively Appropriate Bargaining Units

a) With respect to educational employees employed at the Urbana-Champaign campus or employed in units located outside Urbana-Champaign which report administratively to the Urbana-Champaign campus, the following units shall be presumptively appropriate for collective bargaining:

1. Unit 1: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) tenured or tenure-track faculty, but excluding all faculty members of the College of Law and the College of Veterinary Medicine.

2. Unit 2: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) nontenure-track faculty, but excluding all faculty members of the College of Law and the College of Veterinary Medicine.

3. Unit 3: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) tenured, tenure-track or nontenure-track faculty members of the College of Law.

4. Unit 4: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) tenured, tenure-track or nontenure-track faculty members of the College of Veterinary Medicine.

5. Unit 5: All full-time non-visiting academic professionals exempted as Principal Administrative Employees from Section 36e of the State Universities Civil Service Act [110 ILCS 70/36e] who have a .50 or greater appointment in that position.

6. Unit 6: All full-time and regular part-time professional employees, as that term is defined in Section 2(k) of the Illinois Educational Labor Relations Act [115 ILCS 5/2(k)] who are not exempt from the State Universities Civil Service Act.

7. Unit 7: All full-time and regular part-time technical and paraprofessional employees not exempt from the State Universities Civil Service Act. A technical and paraprofessional employee is a person who performs work that is typically laboratory or field work.

8. Unit 8: All full-time and regular part-time non-professional administrative and clerical employees not exempt from the State Universities Civil Service Act.

9. Unit 9: All full-time and regular part-time service and maintenance employees not exempt from the State Universities Civil Service Act.

b) With respect to educational employees employed at the Chicago campus or employed in units located outside Chicago that report administratively to the Chicago campus, the following units shall be presumptively appropriate for collective bargaining:

1. Unit 1: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) tenured or tenure-track faculty, but excluding all faculty members of the College of Pharmacy, the College of Medicine and the College of Dentistry.

2. Unit 2: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) nontenure-track faculty, but excluding all faculty members of the College of Pharmacy, the College of Medicine and the College of Dentistry.

3. Unit 3: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) tenured, tenure-track or nontenure-track faculty members of the College of Dentistry.

4. Unit 4: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) tenured, tenure-track or nontenure-track faculty members of the College of Medicine.

5. Unit 5: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) tenured, tenure-track or nontenure-track faculty members of the College of Pharmacy.

6. Unit 6: All full-time non-visiting academic professionals exempted as Principal Administrative Employees from Section 36e of the State Universities Civil Service Act who have a .50 or greater appointment in that position.

7. Unit 7: All full-time and regular part-time professional employees, as that term is defined in Section 2(k) of the Illinois Educational Labor Relations Act who are not exempt from the State Universities Civil Service Act.

8. Unit 8: All full-time and regular part-time technical and paraprofessional employees not exempt from the State Universities Civil Service Act.

9. Unit 9: All full-time and regular part-time non-professional administrative and clerical employees not exempt from the State Universities Civil Service Act.

10. Unit 10: All full-time and regular part-time service and maintenance employees not exempt from the State Universities Civil Service Act.

c) With respect to educational employees employed at the Springfield campus or employed in units located outside Springfield that report administratively to the Springfield campus, the following units shall be presumptively appropriate for collective bargaining:

1. Unit 1: All full-time (i.e., employees who have .51 or greater appointment as a faculty member) tenured or tenure-track faculty.

2. Unit 2: All full-time (i.e., employees who have a .51 or greater appointment as a faculty member) nontenure-track faculty.

History

• Source: Amended at 38 Ill. Reg. 8395, effective April 1, 2014

80 Ill. Adm. Code 1135.30 Bargaining Unit Determinations

a) The units set forth in Section 1135.20 are presumptively appropriate. Petitions for units other than those set forth in this Part may be filed and shall be processed in accord with the regular rules of this agency concerning representation cases (80 Ill. Adm. Code 1110). Units of educational employees of the Board of Trustees of the University of Illinois other than those set forth herein shall be established only if the petitioner can show the following by clear and convincing evidence:

1. that the unit is otherwise appropriate under Section 7 of the Illinois Educational Labor Relations Act;

2. that special circumstances and compelling justifications make it appropriate for the Illinois Educational Labor Relations Board to establish a unit different from those set forth above;

3. that establishment of a different unit will not cause undue fragmentation of bargaining units or proliferation of bargaining units. Undue fragmentation of bargaining units or proliferation of bargaining units means that the number of bargaining units is such as to threaten to interrupt services, cause labor instability, and cause continual collective bargaining and a multitude of representation proceedings.

b) Nothing in this Part shall be construed to prohibit a representation petition combining two or more of the bargaining units set forth in Section 1135.20(a)(5), (6), (7) and (8) or Section 1135.20(b)(6), (7), (8) and (9), respectively.

c) With respect to the bargaining units listed in Section 1135.20(a)(5), (6), (7) and (8) or Section 1135.20(b)(6), (7), (8) and (9), the individual units may be added to existing units by means of self-determination elections.

d) Notwithstanding the above, nothing shall prevent the Illinois Educational Labor Relations Board from holding hearings concerning the specific job classifications to be included in, or excluded from, each of the units listed in Section 1135.20 and from establishing additional rules about such matters.

Chapter IV Illinois Labor Relations Board

Part 1200 General Procedures

80 Ill. Adm. Code 1200.3 General Statement of Purpose

The regulations contained in this Part detail the procedures that employers, employees and labor organizations should use when filing petitions and charges pursuant to Parts 1210, 1220 and 1230, which implement the provisions of the Illinois Public Labor Relations Act [5 ILCS 315]. This Part shall not apply to cases filed pursuant to Section 6.1 of the Illinois Police Training Act [50 ILCS 705/6.1]. This Part does not apply to cases filed pursuant to Section 6.1 of the Illinois Public Labor Relations Act [5 ILCS 315/6.1] except when specifically referenced in 80 Ill. Adm. Code 1300.

History

• Source: Amended at 37 Ill. Reg. 14064, effective August 23, 2013

80 Ill. Adm. Code 1200.5 Board Information and Business Hours

a) The Springfield office of the Illinois Labor Relations Board is located at:

801 South Seventh Street, Ste. 1200-A

Springfield IL 62703

telephone: 217-785-3155

facsimile: 217-785-4146

b) The Chicago office of the Board is located at:

160 N. LaSalle St., Suite S-400

Chicago IL 60601

telephone: 312-793-6400

facsimile: 312-793-6989

c) The Board's website address is www.Illinois.gov/ilrb. The Board's designated email address for electronic filing purposes is ILRB.filing@Illinois.gov.

d) The official business hours of the Board are 8:30 a.m. to 5:00 p.m., Monday through Friday.

History

• Source: Amended at 41 Ill. Reg. 6566, effective May 26, 2017

80 Ill. Adm. Code 1200.7 Board Meetings

a) Notice of meetings is given on the Board's website, www.Illinois.gov/ilrb, and at each of the Board's offices in accordance with the provisions of the Open Meetings Act [5 ILCS 120/2.02].

b) After the Board has considered pending cases, members of the public shall be permitted to address the Board during the open portion of a Board meeting on subjects relevant to the Board's functions. The comments by each member of the public shall be limited to a reasonable period of time, not to exceed five minutes, without permission of the Chairman.

c) Any person may record, by tape, film or other means, the meetings of the Illinois Labor Relations Board's State Panel, Local Panel or the Panels meeting in joint session that are required to be open by Illinois law. However, if the recording process interferes with the overall decorum and proceeding of a meeting, the recording shall be discontinued at the request of the Chairman or other presiding officer.

History

• Source: Added at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.10 Definitions

The definitions contained in Section 3 of the Act shall apply to this Part, as well as the following:

"Act" means the Illinois Public Labor Relations Act [5 ILCS 315].

"Administrative Law Judge" means an attorney licensed to practice law in Illinois who is authorized by the Board to conduct hearings and write recommended decisions and orders.

"Administrative Law Judge's recommended decision and order" means findings of fact and conclusions of law and reasons for those findings and conclusions. It is not a final decision of the Board. Such a recommended decision and order will be reviewed by the Board upon the filing of exceptions or on the Board's own motion.

"Board" means the Illinois Labor Relations Board or State or Local Panel, individually as applicable, or an agent designated by the Board.

"Board agent" means any Board employee who is designated by the Board to perform the acts and/or responsibilities outlined in the relevant sections of the rules.

"Charging party" means the person, employer or labor organization filing an unfair labor practice charge.

"Complaint" means a Board document issued to the parties in an unfair labor practice proceeding, notifying them of a hearing and setting forth the issues of fact or law to be resolved at the hearing.

"Employer" means "public employer" or "employer" as defined in Section 3(o) of the Act or the party named in a representation petition, unit clarification petition, decertification petition or voluntary recognition petition as the employer of the unit described in the petition.

"Exclusive representative" means "exclusive representative" as defined in Section 3(f) of the Act.

"Executive Director's Order" includes reports concerning challenges and objections to an election; deferrals to arbitration; orders holding cases in abeyance; dismissals; directions of election; and other similar orders. These orders are not final decisions of the Board but are the results of investigations. The Board, upon the filing of an appeal, shall review such orders except that orders and parts of orders finding sufficient issues of law and fact sufficient to warrant a hearing are not appealable.

"Fact-finding" means a process whereby an employer and an exclusive representative submit their disputes concerning the terms of a new collective bargaining agreement to a neutral third party for non-binding findings of fact and recommendations.

"General public employee unit" means any bargaining unit of employees who, because they are not subject to Section 14 of the Act, have the right to strike in accordance with Section 17 of the Act.

"Grievance arbitration" means a process whereby an employer and an exclusive representative submit a dispute concerning the interpretation or application of an existing collective bargaining agreement to a neutral third party for resolution.

"Grievance mediation" means a process whereby an employer and an exclusive representative employ a neutral third party to communicate with the parties and endeavor to bring about an amicable, voluntary resolution of a dispute over the interpretation or application of an existing collective bargaining agreement.

"Incumbent exclusive representative" means the existing exclusive representative of the employees in the bargaining unit.

"Initial contract" means a first collective bargaining agreement between an exclusive representative and an employer, covering a bargaining unit, following certification of that exclusive representative.

"Interest arbitration" means a process in which an employer and an exclusive representative submit their disputes concerning the terms to be included in a new collective bargaining agreement for resolution by a neutral third party. "Compulsory interest arbitration" shall refer to interest arbitration engaged in pursuant to Section 14 of the Act. "Voluntary interest arbitration" shall refer to all other interest arbitration engaged in under the Act.

"Labor organization" means "labor organization" as defined in Section 3(i) of the Act.

"Mediation" means a process whereby an employer and an exclusive representative employ a neutral third party to communicate with the parties and endeavor to bring about an amicable, voluntary resolution of negotiations over the terms of a new collective bargaining agreement.

"Petitioner" means the party named in a representation petition, unit clarification petition, decertification petition or voluntary recognition petition as having filed the petition.

"Protective services unit" means any bargaining unit subject to Section 14 of the Act in which the employees accordingly do not have the right to strike. Such units are units of security employees of a public employer, peace officer units, or units of firefighters or paramedics. (Section 14(a) of the Act)

"Representation petition" means either a traditional representation petition to determine a union's majority support through an election (election petition) as set forth in Section 9(a)(1) and (2) of the Act or a petition filed pursuant to the Board's card check procedures (majority interest petition) as set forth in Section 9(a-5) of the Act.

"Respondent" means the party named in an unfair labor practice charge or complaint as having allegedly committed the unfair labor practice.

"Successor contract" means negotiations for a collective bargaining agreement covering a bargaining unit that is currently covered by a collective bargaining agreement between the exclusive representative and the employer.

History

• Source: Amended at 48 Ill. Reg. 18010, effective December 5, 2024

80 Ill. Adm. Code 1200.20 Filing and Service of Documents

a) All documents may be filed in either the Board's Springfield or Chicago office.

b) Whenever this Part or 80 Ill. Adm. Code 1210, 1220 or 1230 requires that a document be on a form developed by the Board, the document may be prepared on a form obtained either from a Board office or from the Board's website. Minor deviations in the form of a document shall not be grounds for objecting to the document. Minor deviations are those concerning form rather than substance that do not prejudice the other parties to a proceeding.

c) Documents may be filed by any of the following methods:

1. By actual delivery of documents to the Board;

2. By first class, registered or certified United States mail or by commercial parcel delivery company; or

3. By email, to the Board's designated email address for electronic filing, provided that any and all attachments are in Microsoft Word format (.doc or .docx) or in Portable Document Form (.pdf). The Board may direct parties to provide hard copies of documents filed by e-mail.

d) All petitions and intervening claims filed in representation proceedings, and all amendments to those documents, shall be served on the appropriate parties by the Board by certified mail, by regular mail accompanied by affidavit or certificate of service, or by email in accordance with subsection (h).

e) All documents, except those listed in subsection (d), shall be served by the party filing the document on all other parties to the proceedings. The following documents shall not be subject to this requirement:

1. position statements and evidence submitted to the Board in the course of any investigation of an unfair labor practice charge;

2. position statements and evidence submitted to the Board in the course of any investigation of an objection to an election;

3. showing of interest evidence described in Section 1210.80; and

4. evidence of majority support referenced in Section 1210.160(c).

f) When a party is represented in a proceeding before the Board, service shall be on the party's representative. When a party is not represented, service shall be on the party. The document shall not be considered properly served unless accompanied by proof of service. Proof of service shall consist of a written statement, signed by the party effecting service, detailing the name of the party served and the date and manner of service.

g) In all matters, a document shall be considered filed with the Board on the date that it is:

1. postmarked;

2. tendered to a delivery service;

3. transmitted by e-mail, in accordance with Section 1200.20(c)(3); or

4. received before the close of the Board's business hours by personal delivery in either of the Board's offices.

h) Service by Email in Contested Board Proceedings

1. "Documents issued by the Board in connection with a Board proceeding" include complaints, notices of hearing, Executive Director dismissals, hearing orders, recommended decisions and orders, and Board decisions and orders. Documents issued by the Board in connection with a Board proceeding may be served by email in lieu of other methods of service specified in this Part.

2. Any attorney representing a party to a proceeding or other party representative shall provide the Board with at least one email address as required by Section 1200.70 and shall accept service by email at that address. A party represented by an attorney may provide the email address of the attorney.

3. The Board will request that unrepresented parties to a Board proceeding consent to accept service by email of documents issued by the Board in connection with that Board proceeding by designating an email address at which they will accept service.

4. Any person or entity providing such an email address shall update that email address if it is changed. Any person or entity who regularly practices before the Board shall verify that email address on an annual basis.

5. Any person or entity who submits an email address under this Section may designate up to two additional secondary email addresses at which the person or entity consents to accept service. The Board shall serve the documents to both the designated primary and secondary email addresses.

6. The Board will not serve by email any documents that contain the following:

A) a Social Security or individual taxpayer identification number;

B) a driver's license number;

C) a financial account number;

D) a debit or credit card number;

E) any other information that could reasonably be deemed personal, proprietary, confidential, or trade secret information; or

F) any information about or concerning a minor.

7. Service by email is deemed complete on the day of transmission. The Board shall confirm delivery by requesting an automated delivery receipt from the recipient. If the Board does not receive a delivery receipt, the Board shall contact the intended recipient and request an email confirmation that the recipient has received the document. If the Board is unable to obtain written confirmation that the recipient has received the document, the Board shall serve the document by other means.

History

• Source: Amended at 44 Ill. Reg. 17694, effective October 26, 2020

80 Ill. Adm. Code 1200.30 Computation and Extensions of Time

a) In computing any period of time prescribed by the Act or this Part, the designated period of time begins to run the day after the act, event or default and ends on the last day of the period so computed. If the day after the act, event or default when the period is supposed to begin to run happens to be a Saturday, Sunday or legal holiday, the period does not begin to run until the next day that is not a Saturday, Sunday or legal holiday. If the last day falls on a Saturday, Sunday or legal holiday, the time period shall be automatically extended to the next day that is not a Saturday, Sunday or legal holiday.

b) When a time period prescribed under the Act or this Part is 7 days or less, intervening Saturdays, Sundays or legal holidays shall not be included.

c) Service of a document upon a party by mail shall be presumed complete 3 business days after mailing, if proof of service shows the document was properly addressed. This presumption may be overcome by the addressee, with evidence establishing that the document was not delivered or was delivered at a later date. A party's failure to accept or claim a document served by mail shall not be grounds for overcoming the presumption.

d) Requests for postponements of hearings shall be filed in accordance with Section 1200.45. Requests for postponements of investigations or scheduled conferences, as well as requests for extensions for the filing of briefs, exceptions or responses, must be made prior to the then existing deadlines. These requests will not be granted unless good and sufficient cause is shown and the following requirements are met:

1. all requests must be in writing directed to the investigator, Administrative Law Judge, Executive Director or General Counsel responsible for the proceeding;

2. the grounds for the request must be set forth in detail;

3. the requesting party must specify alternative dates for scheduling the hearing or conference or for the due date of any documents;

4. the position of all parties concerning both the postponement or extension requested and the proposed alternative dates must be ascertained in advance by the requesting party and set forth in the request;

5. for purposes of this Section, good and sufficient cause may include a showing to the satisfaction of the Board or its agents that a postponement or extension will result in settlement of the case;

6. except for good cause shown, no request for postponement will be granted on any of the 3 days immediately preceding the date of a hearing, investigation or conference. All continuances must be to a date and time certain; in no event shall an indefinite continuance be granted.

History

• Source: Amended at 41 Ill. Reg. 6566, effective May 26, 2017

80 Ill. Adm. Code 1200.40 Authority of Administrative Law Judges

a) The Administrative Law Judge (ALJ) shall have the duty to conduct a fair hearing, to take all necessary action to avoid delay, to maintain order, and to ensure development of a clear and complete record. The ALJ shall have all powers necessary to achieve these ends, including, but not limited to, the discretionary authority to:

1. Require the parties to participate in a pre-hearing conference and/or mediation before proceeding with a hearing;

2. Require all parties to submit pre-hearing information, including, but not limited to:

A) a detailed written statement of the issue to be resolved at hearing and its position;

B) a list of witnesses each party intends to call, the nature of their testimony, the estimated time for each witness' testimony, and the estimated time for the party's case in chief;

C) a list of exhibits to be offered by each party in its case in chief and a copy of each exhibit; and

D) all other information the ALJ requests;

3. Regulate the proceedings of the case, and the conduct of the parties and their counsel;

4. Administer oaths and affirmations;

5. Receive relevant testimony and evidence;

6. Establish reasonable limits on the frequency and duration of the testimony of any witness and limit repetitious or cumulative testimony;

7. Examine witnesses and direct witnesses to testify; however, this provision does not lessen any party's burden of proof;

8. Issue subpoenas and rule upon motions to revoke subpoenas;

9. Take administrative notice of generally recognized facts of which Illinois courts may take judicial notice and of other facts within the specialized knowledge and experience of the Board;

10. Rule on objections, motions and questions of procedure;

11. Authorize the submission of briefs and set the time for their filing;

12. Hear closing argument;

13. Order a hearing reopened prior to the issuance of the ALJ's recommended decision and order;

14. Render and serve the recommended decision and order on the parties to the proceeding;

15. Carry out the duties of ALJ as provided or otherwise authorized by the Act, this Part, or 80 Ill. Adm. Code 1210, 1220 or 1230.

b) At the discretion of the ALJ, any hearing required under 80 Ill. Adm. Code 1210 and 1220 may be conducted either in person or by video teleconferencing.

1. Representation hearings shall be held at the offices of the Board or such other location as the Board deems appropriate. [5 ILCS 315/9(a)]

2. Unfair labor practice hearings shall be held at the offices of the Board or such other location as the Board deems appropriate. [5 ILCS 315/11(a)]

3. When a hearing is conducted using video teleconferencing, the parties and the ALJ need not be physically present at the same location.

4. In deciding whether a hearing should be conducted by video teleconferencing, the ALJ shall consider factors such as cost-effectiveness, efficiency, facility accommodations, witness availability, public interest, the parties' preferences, and the proceeding's complexity and contentiousness.

5. When a hearing is conducted using video teleconferencing, appropriate safeguards must be employed to ensure that the ALJ has the ability to assess the witness' credibility and that the parties have a meaningful opportunity to examine and cross-examine the witness. These safeguards must ensure that:

A) the representatives of the parties have the opportunity to be present at the remote location;

B) the ALJ, participants, and reporter are able to hear the testimony and observe the witness;

C) the camera view is adjustable to provide a close-up view of counsel and the witness and a panoramic view of the room;

D) exhibits used in the witness' examination are exchanged in advance of the examination; and

E) video technology assistance is available to address technical difficulties that arise during the examination.

6. The ALJ may also impose additional safeguards to effectuate the use of video teleconferencing.

7. The official record of the videoconference testimony will be the official transcript prepared by the reporter designated to transcribe the testimony.

History

• Source: Amended at 45 Ill. Reg. 1865, effective February 1, 2021

80 Ill. Adm. Code 1200.45 Motions

a) Motions during the course of an investigation must be filed with the Executive Director. In matters set for hearing, all motions must be filed with the assigned Administrative Law Judge. Once the Administrative Law Judge's recommended decision and order has issued, all motions must be filed with the General Counsel. Any briefs related to a motion filed before an Administrative Law Judge or General Counsel must comport with Section 1200.140.

b) Motions must be made in writing unless made during the hearing, at which time the motions may be made verbally, on the record. Motions must briefly state the grounds for the motion and any relief requested. Written motions must be served in accordance with Section 1200.20.

1. Motions to extend time for the filing of documents must contain a statement that the moving party discussed the requested extension with the other parties. If no objections were raised, the moving party must certify that the other parties were consulted and authorized the moving party to represent that they have no objections. If objections were raised, the moving party must describe those objections and its response.

2. Motions for continuance of a hearing must contain a statement that the moving party consulted with the other parties to determine whether they have any objection to the requested continuance. Where there are no objections, the moving party must certify that it has consulted with the other parties and that they authorized the moving party to represent that they have no objections. Where objections are raised, the moving party must describe those objections and its response. The motion for continuance must contain a statement that the moving party contacted the other parties to determine their availability for hearing on subsequent dates and it must indicate those dates in the motion.

3. At any time prior to the issuance of the recommended decision and order, a party may move to disqualify the Administrative Law Judge on the grounds of bias or conflict of interest. The motion shall be in writing to the General Counsel, with a copy to the Administrative Law Judge, setting out the specific instances of bias or conflict of interest. An adverse decision or ruling, in and of itself, is not grounds for disqualification. The General Counsel may decline to disqualify the Administrative Law Judge or may appoint another Administrative Law Judge to hear the case.

4. Motions to defer an unfair labor practice matter to arbitration may be made in accordance with Section 1220.65.

c) Responses and any other answering documents, including memoranda and affidavits, must be filed within 5 days after service of the motion, or as otherwise required by the Executive Director, Administrative Law Judge or the Board. Responses must be served in accordance with Section 1200.20.

d) Rulings on motions shall be made in writing and served on all parties to the proceeding. The Administrative Law Judge may reserve ruling on any motion until the issuance of his or her recommended decision and order.

e) Rulings on motions are not appealable to the Board, unless as otherwise provided by the Board.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.50 Recording of Hearings and Payment of Court Reporting Services

a) When a hearing is held by the Board or its Administrative Law Judge at which oral argument, testimony, or other oral presentation is offered, it shall be recorded by stenographic or other means that adequately preserves the record. The records shall be transcribed and made part of the administrative record.

b) Subject to appropriation and when the Board has access to the State's master contract for court reporting services, the Board will bear the costs charged by the stenographer or court reporting service for the first two days of hearing. The parties will share equally the costs of any additional days of hearing. When there is inadequate appropriation or when there is no State master contract for court reporting services available to the Board, the parties shall share equally all court reporting costs for the entire hearing. Whenever parties are required to share equally in court reporting costs for an entire hearing or for part of a hearing, the parties shall also retain the court reporter for the days of hearing where court reporting costs are shared, including the cost of the Board's copy of the hearing transcript.

c) The Board will bear the costs of producing a transcript of oral arguments when oral argument is requested by the Board, but not when oral argument is requested by either party.

d) Parties may order transcripts and shall bear the costs of any transcripts that they order.

History

• Source: Amended at 49 Ill. Reg. 12054, effective September 10, 2025

Chapter IV Illinois Labor Relations Board

Part 1200 General Procedures

80 Ill. Adm. Code 1200.60 Closing Arguments and Briefs Before an Administrative Law Judge

Upon request, a party is entitled to a reasonable period of time at the close of the hearing for oral argument, which shall be made part of the record. The Administrative Law Judge may direct the filing of briefs when the filing is, in the opinion of the Administrative Law Judge, warranted by the nature of the proceedings or the particular issues involved. All briefs filed shall be in accordance with Section 1200.140.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.70 Representation of Parties

A party may be represented by counsel or any other representative of the party's choosing. The representative shall file a Notice of Appearance with the Board referencing the case number and caption, and the postal address, email address and telephone number of the representative. Filing pleadings on behalf of a party shall be equivalent to filing a Notice of Appearance, provided the pleadings include the required information.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.80 Ex Parte Communications

No party or other persons legally interested in the outcome of a matter pending before an Administrative Law Judge or any Board panel may communicate ex parte regarding the matter, either directly or indirectly, with any Administrative Law Judge or with any member of the Board.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.90 Subpoenas

Following the issuance of a complaint for hearing or a notice of representation hearing, the Board, upon the request of an Administrative Law Judge or upon the written application of a party, shall have the power to issue subpoenas for witnesses and subpoenas for documents. [5 ILCS 315/11(b)]

a) Subpoenas for Witnesses

1. A party's written application for subpoenas for witnesses must be directed to the Administrative Law Judge, and must contain the following information:

A) the title and case number of the proceeding;

B) the name, address, e-mail address and phone number of the party requesting the subpoena and its representative;

C) the name of the person to be subpoenaed; and

D) the date, time and place of the appearance to be commanded.

2. Applications must be filed with the Board and served on the other parties to the case at least 10 days before the hearing. The requested subpoenas may be picked up at the Board's office where the hearing will be held or at the office specified by the applicant in the subpoena request. Upon request, the Board will mail the subpoenas to the applicant.

3. The party requesting the subpoenas shall be responsible for serving the subpoenas on the witnesses at least 5 days before the hearing date. The party requesting the subpoenas shall also be responsible for payment of the witness fees for attendance, subsistence and mileage. Witnesses appearing at a hearing pursuant to subpoena are entitled to the same fees and mileage as are allowed witnesses in civil cases in the courts of the State of Illinois, pursuant to Section 4.3 of the Fees and Salaries Act [705 ILCS 35/4.3]. The requesting party must tender all fees with the subpoena. A witness appearing at the request of the Board shall submit the subpoena with a voucher when claiming reimbursement.

4. Board employees shall not be subpoenaed to testify regarding matters that occurred during their employment with the Board.

5. Subpoenas shall remain in effect throughout the course of the proceedings.

b) Subpoenas for Documents (Subpoena Duces Tecum)

1. A party's written application for subpoenas for documents must be directed to the Administrative Law Judge and must contain the following information:

A) the title and case number of the proceeding;

B) the name, address and phone number of the party requesting the subpoena and its representative;

C) a detailed description of the books, papers, documents or other objects to be produced pursuant to the subpoena;

D) the name of the person to be served with the subpoena; and

E) the date, time and place of production to be commanded.

2. Applications must be filed with the Board and served on the other parties to the case at least 10 days before the hearing and 10 days before the date on which the documents are to be produced. The date and time for production of documents may be prior to the hearing. The requested subpoenas may be picked up at the Board's office where the hearing will be held or at the office specified by the applicant in the subpoena request. Upon request, the Board will mail the subpoenas to the applicant.

3. The party requesting the subpoenas shall be responsible for serving the subpoenas at least 5 days before the hearing date and 5 days before the date on which the documents are to be produced.

4. Confidential Board documents as defined in 2 Ill. Adm. Code 2501.220(a) shall not be subpoenaed.

c) Motions to Revoke Subpoenas

A person objecting to the subpoena may file a motion to revoke the subpoena. The motion must be filed at least 3 days prior to the hearing and 3 days before the date on which the documents are to be produced. The motion shall be filed with the Administrative Law Judge assigned to the case. Grounds for revocation shall include irrelevance, undue burden and privilege.

d) Subpoenas in Impasse Proceedings

Subpoenas in impasse proceedings shall be handled in accordance with 80 Ill. Adm. Code 1230.90. Motions to revoke the subpoena in such proceedings shall be filed with the arbitrator or fact-finder.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.100 Transfer of Jurisdiction

a) Whenever a proceeding is instituted before either the State or Local Panel of the Illinois Labor Relations Board and it appears that the matter is properly subject to the other Panel's jurisdiction, the first Panel shall transfer the case to the other Panel.

b) Whenever one Panel has transferred a case to the other Panel, the other Panel can refuse to accept the transfer if it believes that it does not have jurisdiction. The other Panel's refusal to accept the transfer shall automatically initiate the scheduling of a joint meeting of the State and Local Panels to resolve the jurisdictional issue.

c) Whenever only one member of either Panel believes that a case before that Panel is subject to the jurisdiction of the other Panel, that member shall initiate a joint Panel proceeding to resolve the jurisdictional issue.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.105 Consolidation of Proceedings

The Board shall consolidate two or more representation or unfair labor practice cases when the following 3 conditions are met.

a) The cases involve common parties or issues of law or fact and/or grow out of the same transaction or occurrence;

b) Consolidation would not prejudice the rights of the parties; and

c) Consolidation would result in the efficient and expeditious resolution of cases.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.110 Amicus Curiae Briefs (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7365, effective May 01, 2003

80 Ill. Adm. Code 1200.120 Voluntary Settlement or Adjustment of Disputes

The Board, as a matter of policy, encourages the voluntary efforts of the parties to settle or adjust disputes involving issues of representation, unfair labor practices, and interest and rights disputes. Any such efforts at resolution or conciliation and any resulting settlements shall be in compliance with the provisions, purposes and policies of the Act. Any facts, admissions against interest, offers of settlement or proposals of adjustment that have been submitted pursuant to this Section shall not be used as evidence of a violation of the Act.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.130 Rules of Evidence

Considering the nature of the case and the representatives of the parties, the Administrative Law Judge will, insofar as practicable, apply the rules of evidence applicable in Illinois courts. The Administrative Law Judge may, upon proper objection, exclude evidence that is irrelevant, immaterial or unduly repetitious. Evidence may be presented in the form of testimony, exhibits, or stipulations. Testimonial evidence shall be taken only on oath or affirmation.

History

• Source: Amended at 27 Ill. Reg. 7365, effective May 01, 2003

80 Ill. Adm. Code 1200.135 Appeals Procedures, Board Review and Court Review

a) Executive Director's Orders

1. Parties may appeal to the Board orders of the Executive Director, except orders setting matters for hearing. Notice of appeal and all supporting materials shall be filed with the Board's General Counsel, in the Board's Chicago office, no later than 10 days after service of the Executive Director's order. The appeal shall be served on all other parties in accordance with Section 1200.20.

2. A party may file a response to the appeal and all materials in support of the response no later than 5 days after service of the appeal. The response shall be served on all other parties in accordance with Section 1200.20.

3. The Board will review an Executive Director's order only upon the timely filing of an appeal. The Board may adopt all, part or none of the order depending on the extent to which it is consistent with the record and applicable law. The Board shall issue and serve on all parties its decision and order.

b) Administrative Law Judge's Recommended Decision and Order

1. Proceedings

A) In representation proceedings, parties may file exceptions to the Administrative Law Judge's recommended decision and order, and briefs in support of those exceptions, no later than 14 days after service of the recommended decision and order. Parties may file responses to exceptions and briefs in support of the responses no later than 10 days after service of the exceptions. In such responses, parties that have not previously filed exceptions may include cross-exceptions to any portion of the Administrative Law Judge's decision. Within 5 days from the filing of the cross-exceptions, parties may file cross-responses to the cross-exceptions. Cross-responses shall be limited to the questions raised in the cross-exceptions. All exceptions, responses, cross-exceptions and cross-responses shall be filed in accordance with Section 1200.135. Each party shall serve its exceptions, cross-exceptions, responses, cross-responses, and briefs on the other parties. If the original exceptions are withdrawn, then all subsequent exceptions are moot.

B) In unfair labor practice proceedings, parties may file exceptions to the Administrative Law Judge's recommended decision and order, and briefs in support of those exceptions, no later than 30 days after service of the recommended decision and order. Parties may file responses to exceptions and briefs in support of the responses no later than 15 days after service of the exceptions. In such responses, parties that have not previously filed exceptions may include cross-exceptions to any portion of the Administrative Law Judge's decision. Within 7 days from the filing of such cross-exceptions, parties may file cross-responses to the cross-exceptions. Cross-responses shall be limited to the questions raised in the cross-exceptions. All exceptions, responses, cross-exceptions and cross-responses shall be filed in accordance with Section 1200.135. Each party shall serve its exceptions, cross-exceptions, responses, cross-responses, and briefs on the other parties.

C) In either type of proceeding, exceptions, responses, cross-exceptions, cross-responses and briefs, shall be filed with the Board's General Counsel in the Board's Chicago office. A party not filing timely exceptions waives its right to object to the Administrative Law Judge's recommended decision and order.

2. Exceptions and/or cross-exceptions shall specifically set forth the questions of procedure, fact, law or policy to which exception is taken, shall identify that part of the Administrative Law Judge's recommended decision and order to which objection is made, and shall state the grounds for the exceptions and shall include the citation of authorities and citations to the record unless set forth in a supporting brief. Any exception to a ruling, finding, conclusion or recommendation that is not specifically urged shall be deemed to have been waived. Any exception that fails to comply with the foregoing requirements may be disregarded.

3. Any brief in support of exceptions shall be confined to the subjects raised in the exceptions and shall contain:

A) a clear and concise statement of the case containing all that is material to the consideration of the questions presented;

B) a specification of the questions involved and the issues to be argued; and

C) an argument, presenting clearly the points of fact and law relied upon in support of the position taken on each question.

4. The Board will review the Administrative Law Judge's recommended decision and order upon timely filing of exceptions or at any time on its own motion. The Board may adopt all, part or none of the recommended decision and order depending on the extent to which it is consistent with the record and applicable law. The Board shall issue and serve on all parties its decision and order.

A) In representation proceedings, if the Board determines that a question concerning representation exists, the Board shall direct the holding of an election on a date and at a time and place set by the Board. The Board shall direct the posting of a Notice of Election. Within 7 days following the Board's direction of an election, the employer shall furnish the Board and the labor organization with a list of the full names, alphabetized by last name, and addresses of the employees eligible to vote in the election. The list shall be provided by personal delivery or certified mail. The employer shall obtain receipts verifying delivery.

B) In unfair labor practice proceedings, the Board will retain jurisdiction over the case to ensure the parties' compliance with the Board order. Unless overturned by the Board, the parties must comply with the recommended decision and order.

5. If no exceptions to the Administrative Law Judge's recommended decision and order have been filed within the prescribed time period, the parties will be deemed to have waived their exceptions. Unless the Board reviews the recommended decision and order upon its own motion, it will not be legal precedent and shall be final and binding only on the parties to that proceeding. The Board's General Counsel shall issue an order so providing.

c) Requests for Oral Argument

Parties desiring oral argument before the Board shall request oral argument and state the reasons for the requests in their appeals, exceptions and responses. The Board shall grant or deny requests for oral argument depending upon the significance, complexity and novelty of the issues. In addition, the Board may, on its own motion, request oral argument, depending upon the significance, complexity and novelty of the issues.

d) Court Review of Board Orders

Appeals to a Board's decision shall be made in accordance with Sections 9(i) and 11(e) of the Act.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.140 Briefs

a) For purposes of this Section, "briefs" shall be deemed to include:

1. post-hearing briefs before an Administrative Law Judge;

2. briefs in support of appeals from Executive Director's orders and responses to those orders, inclusive of any separate appeal or response document filed with the brief;

3. briefs in support of exceptions and cross-exceptions to an Administrative Law Judge's recommended decision and order and responses to that decision and order, inclusive of any separate exceptions, cross-exceptions or response document filed with the brief;

4. briefs in support of or opposition to petitions for declaratory ruling;

5. objections to compliance orders; and

6. amicus curiae briefs filed pursuant to subsection (c).

b) All briefs, including supporting materials, shall be no more than a total of 50 double-spaced pages with margins of at least ½ inch, including attachments. All of the pages in excess of the 50 page limit will be rejected, unless leave is granted. In the extraordinary circumstance that a case involves extremely complex issues, issues of first impression, or a lengthy factual record, a party may seek leave to file a brief in excess of 50 pages by filing a motion requesting leave. Motions seeking leave must be filed before the deadline for filing the brief at issue and should be directed to the Administrative Law Judge with whom the brief is pending or the General Counsel if the brief is on a matter before the Board.

c) Interested non-parties may file a motion with the Board to request leave to file an amicus curiae brief or the Board, on its own motion, may solicit such briefs. The Board's standards by which to grant leave to file an amicus brief will include the importance of the issue presented, the general application of the issue presented and the need perceived by the Board for additional briefing on the issue presented. The amicus curiae brief shall conform to any conditions imposed by the Board for briefs in the case in which the brief is filed. These interested non-parties may be invited to participate in oral arguments heard by the Board. The Board will accept amicus curiae briefs in its proceedings. The filing of these briefs shall not serve to postpone or delay the proceedings.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.143 Declaratory Rulings

Parties may petition the Board's General Counsel for a declaratory ruling, pursuant to Section 5-150 of the Illinois Administrative Procedure Act [5 ILCS 100/5-150], as follows:

a) In general public employee bargaining units covered by 80 Ill. Adm. Code 1230.Subpart C, if, after the commencement of negotiations and before reaching agreement, the exclusive representative and the employer have a good faith disagreement over whether the Act requires bargaining over a particular subject or particular subjects, they may jointly petition for a declaratory ruling concerning the status of the law.

1. The petition must be signed by both parties and must contain the name, address, email address, telephone number and person to contact for each party, the date negotiations began, a statement of the legal issue on which a declaratory ruling is sought, and a copy of the most recently negotiated contract, if any.

2. Declaratory rulings shall not be issued concerning factual issues that are in dispute.

3. Each party shall file a brief no later than 10 days after the filing of the petition, unless an extension has been granted by the General Counsel.

4. Any party desiring oral argument shall request oral argument in writing prior to or at the time of the filing of its brief. The General Counsel shall determine whether oral argument is warranted by the particular issues involved. Oral argument shall be held no later than 7 days after the filing of the briefs.

5. The General Counsel shall issue a declaratory ruling no later than 45 days after receipt of the parties' briefs. Pursuant to Board practice and caselaw, the Board considers General Counsel declaratory rulings to be non-binding advisory opinions. Consequently, the Board's General Counsel declaratory rulings are not appealable.

6. The parties shall continue to have a duty to bargain in good faith during the pendency of a declaratory ruling petition. The pendency of a declaratory ruling petition shall not stay the running of the 60 and 30 day notice periods provided in 80 Ill. Adm. Code 1230.140(a), (b), and (c). Nor shall the pendency of a declaratory ruling petition stay the running of the 5 day notice of intent to strike required under Section 17(a)(5) of the Act.

b) In protective service employee bargaining units covered by 80 Ill. Adm. Code 1230.Subpart B, if, after the commencement of negotiations and before reaching agreement, the exclusive representative and the employer have a good faith disagreement over whether the Act requires bargaining over a particular subject or particular subjects, they may jointly petition for a declaratory ruling concerning the status of the law. If a request for interest arbitration has been served in accordance with 80 Ill. Adm. Code 1230.70 and either the exclusive representative or the employer has requested the other party to join it in filing a declaratory ruling petition and the other party has refused the request, the requesting party may file the petition on its own, provided that the petition is filed no later than the first day of the interest arbitration hearing.

1. A joint petition must be signed by both parties. A petition filed by only one party must contain a statement that the other party has refused a request to join in the petition, and must contain a copy of the request for interest arbitration. All petitions must contain the name, address, email address, telephone number and person to contact for each party, the date negotiations began, a statement of the legal issue on which a declaratory ruling is sought, and a copy of the most recently negotiated contract, if any.

2. Declaratory rulings shall not be issued concerning factual issues that are in dispute. In the case of a unilateral petition for declaratory ruling in which the General Counsel has determined that material issues of fact are in dispute, the General Counsel may either dismiss the petition without prejudice to the requesting party's right to file an unfair labor practice charge, or, where the General Counsel determines that a fact-finding of the disputed factual issues will facilitate a determination of the issues that are the subject of the petition, the issuance of the declaratory ruling may be deferred and the disputed issues of fact referred to the Interest Arbitration Panel for determination.

3. Each party shall file a brief no later than 10 days after the filing of a joint petition, or no later than 10 days after the service of a petition filed by only one party, unless an extension has been granted by the General Counsel.

4. Any party desiring oral argument shall request oral argument in writing prior to or at the time of the filing of its brief. The General Counsel shall determine whether oral argument is warranted by the particular issues involved. Oral argument shall be held no later than 7 days after the filing of the briefs.

5. The General Counsel shall issue a declaratory ruling no later than 45 days after receipt of the parties' briefs. Declaratory rulings shall not be appealable.

6. The parties shall continue to have a duty to bargain in good faith during the pendency of a declaratory ruling petition. The pendency of a declaratory ruling petition shall not stay mediation or interest arbitration proceedings required under the Act.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.145 Filing of Contracts

a) Within 60 days after a new collective bargaining agreement that is subject to the Act has been signed by the parties, the parties shall be jointly responsible for filing with the Board a copy of the agreement in .pdf and paper form.

b) The collective bargaining agreements shall be accompanied by a designated Board form setting forth the following information:

1. names, addresses, email addresses, telephone and fax numbers of the parties and their representatives;

2. the contract's execution and expiration dates; and

3. the composition of the bargaining unit and whether the unit is a general public employee unit or a protective services unit.

c) The Board's acceptance of the contract for filing is not determinative of any substantive issues in any proceedings before the Board, such as the existence of a valid historical unit or of a valid collective bargaining relationship between the parties or that the contract is sufficient to establish a contract bar under 80 Ill. Adm. Code 1210.

d) Failure of the parties to comply with the above filing requirements may cause any representation petitions or requests for mediation and/or arbitration to be delayed until that information is submitted to the Board.

History

• Source: Amended at 40 Ill. Reg. 10892, effective August 1, 2016

80 Ill. Adm. Code 1200.150 Conflicts of Interest

No person who has been a Board member or an employee of the Board shall engage in practice before the Board in any respect in connection with any case or proceeding that was pending during the person's membership on or employment with the Board.

History

• Source: Amended at 27 Ill. Reg. 7365, effective May 01, 2003

80 Ill. Adm. Code 1200.160 Variances and Suspensions of Rules

The provisions of this Part or 80 Ill. Adm. Code 1210, 1220 or 1230 may be waived by the Board when it finds that:

a) The provision from which the variance is granted is not statutorily mandated;

b) No party will be injured by the granting of the variance; and

c) The rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

History

• Source: Amended at 27 Ill. Reg. 7365, effective May 01, 2003

80 Ill. Adm. Code 1200.170 Board Member Meeting Attendance by Means Other Than Physical Presence

The Board may allow a member of the Board to attend a meeting of the State or Local Panel or a joint meeting of the State and Local Panels by means of video or audio conference if:

a) there is physically present at the meeting a quorum of the members of that panel or, in the case of a joint meeting of the State and Local Panels, a quorum consisting of the State Panel Chairman, serving as Chariman of the joint panel meeting, at least two other members of the State Panel, and at least one member of the Local Panel, as required by Section 2.01 of the Open Meeting Act;

b) except when advance notification is impractical, the member wishing to participate by means of video or audio conference has notified the Board's secretary of this desire prior to the meeting; and

c) the member is not able to be physically present at the meeting because of:

1. personal illness or disability;

2. the business of the Board; or

3. a family or other emergency affecting the member.

History

• Source: Added at 37 Ill. Reg. 20637, effective December 13, 2013

Part 1210 Representation Proceedings

80 Ill. Adm. Code 1210.10 General Statement of Purpose

The regulations contained in this Part detail the procedures that employers, employees and labor organizations should use for employer voluntary recognition of a labor organization and for instituting representation and related proceedings. These procedures are the exclusive means by which a public employer may recognize a labor organization after August 22, 1984. The Board does not recognize and the Act does not apply to or provide for any other types of purported recognition. The Board does not recognize and the Act does not apply to collective bargaining agreements negotiated by parties pursuant to other forms of recognition. Such purported recognition or agreements will not bar the filing of representation petitions pursuant to the Illinois Public Labor Relations Act (Act) [5 ILCS 315].

History

• Source: Amended at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.20 Labor Organization Options in Seeking Recognition

a) A labor organization seeking recognition in a proposed appropriate bargaining unit in which no other labor organization has attained recognition rights in accordance with the Act may request that the employer voluntarily recognize it or may file a representation petition with the Board.

b) A labor organization seeking recognition in a proposed appropriate bargaining unit in which another labor organization is recognized in accordance with the Act may pursue its request only by filing a representation petition seeking an election with the Board. Majority interest petitions may not be utilized where another labor organization is recognized in accordance with the Act.

History

• Source: Amended at 28 Ill. Reg. 4172, effective February 19, 2004

80 Ill. Adm. Code 1210.30 Employer Options in Responding to Recognition Requests

a) An employer faced with a request for recognition in a bargaining unit that is not currently represented by a labor organization may agree to resort to the voluntary recognition procedures set forth in Section 1210.160 of this Part; may consent to a representation election; or may file a representation petition with the Board; or may decline to respond to the request.

b) An employer faced with a request for recognition in a bargaining unit in which another labor organization is recognized in accordance with the Act may file a representation petition with the Board or may decline to respond to the request. The employer may not voluntarily recognize the labor organization.

History

• Source: Amended at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.35 Timeliness of Petitions and Bars to Election

a) Contract Bar

1. When there is in effect a collective bargaining agreement of 3 years or shorter duration covering all or some of the employees in the bargaining unit, representation and decertification petitions may be filed during the window period (between 90 and 60 days prior to the scheduled expiration date of the collective bargaining agreement) or anytime after the expiration of the collective bargaining agreement. However, the collective bargaining agreement shall serve as a bar (contract bar) to filing representation or decertification petitions outside of the window period.

2. Where more than 4 years have elapsed since the effective date of the agreement, the agreement shall continue to bar an election, except that the Board may process an election petition filed between 90 and 60 days prior to the end of the fifth year of such an agreement, and between 90 and 60 days prior to the end of each successive year of such agreement. (Section 9(h) of the Act) This bar shall also apply to the filing of majority interest petitions.

3. When an employer recognizes an employee organization without using the voluntary recognition or representation procedures as specified by the Act, any collective bargaining agreement reached by the parties shall not serve as a bar to the filing of a representation or decertification petition.

b) Certification Bar

The Board will dismiss a representation or decertification petition filed within 12 months following the date of Board certification of an exclusive representative for all or some of the employees in the bargaining unit, as a result of certification following a representation petition or voluntary recognition petition.

c) Election Bar

With respect to any bargaining unit, no election may be conducted in a bargaining unit, or subdivision thereof, when a valid Board conducted election has been held within the preceding 12 month period in which the union or petitioner has lost the election. However, representation and decertification petitions filed within the last three months of the 12 month period will be processed, and any resulting election or certification pursuant to the Board's card check procedures will be held after the 12 month period has elapsed. Representation and decertification petitions filed in the first 9 months of the 12 month period will be dismissed.

History

• Source: Amended at 28 Ill. Reg. 4172, effective February 19, 2004

80 Ill. Adm. Code 1210.37 Bargaining Unit Determinations

a) In determining the appropriateness of a unit for purposes of collective bargaining, the Administrative Law Judge and/or the Board shall consider all relevant factors, including, but not limited to, such factors as historical pattern of recognition; community of interest, including employee skills and functions; degree of functional integration; interchangeability and contact among employees; fragmentation of employee groups; common supervision, wages, hours and other working conditions of the employees involved; and the desires of the employees. If the employer alleges that the petitioned for unit is not appropriate, it shall submit a detailed statement explaining why the unit is not appropriate. The Administrative Law Judge may determine a unit other than the one petitioned for is an appropriate unit. The employer or union must inform the Administrative Law Judge whether it is willing to proceed to an election or a determination of majority status through the Board's card check procedures in a unit other than one petitioned for.

b) In describing the unit found appropriate for purposes of collective bargaining, the Board may, at the parties' request, describe the unit in job function terms rather than by job titles. Such unit descriptions may also include those currently existing job titles that perform the job functions.

c) A bargaining unit described as consisting of particular job titles shall also include any job titles later created that are successor job titles to the currently existing job titles or perform the same or substantially similar job functions as the currently existing job titles.

History

• Source: Amended at 28 Ill. Reg. 4172, effective February 19, 2004

80 Ill. Adm. Code 1210.40 Representation Petitions

a) A representation petition may be filed by:

1. an employee, a group of employees, or a labor organization; or

2. an employer, alleging that one or more labor organizations have presented a claim to be recognized as an exclusive bargaining representative of a majority of the employees in an appropriate unit. (Section 9(a)(2) of the Act)

b) Representation petitions shall be signed by a representative of the petitioning party and shall contain:

1. the name, address and telephone number of the employer;

2. the name, address, telephone number and affiliation, if any, of the labor organization;

3. the name, address and telephone number of petitioner's representative;

4. a specific and detailed description of the proposed bargaining unit that petitioner claims to be appropriate, including employee classifications or job titles to the extent known;

5. a statement of whether the proposed unit combines professional and nonprofessional employees;

6. a statement of whether the proposed unit combines craft and noncraft employees;

7. the approximate number of employees in the proposed bargaining unit;

8. a statement of whether the proposed unit is to be included within an existing bargaining unit;

9. the name of any existing exclusive representative of any employees in the proposed bargaining unit;

10. a brief description of any collective bargaining agreements covering any employees in the proposed bargaining unit, and the expiration dates of the agreements;

11. the date that the employer recognized any existing exclusive representative of any employees in the proposed bargaining unit, and the method of recognition;

12. election and/or recognition history prior to July 1, 1984, to the extent known;

13. in the case of a petition filed by an employer, a statement that one or more labor organizations has demanded recognition; and

14. a statement indicating whether the petitioner requests a representation election or a determination of majority support through the Board's card check procedures.

c) The Board shall serve the representation petition on the appropriate parties as follows:

1. Employer petitions shall be served on the labor organizations that have demanded recognition, and on the existing exclusive representative, if any.

2. Employee and labor organization petitions shall be served on the employer and on the existing exclusive representative, if any.

d) Employee and labor organization petitions shall be accompanied by a showing of interest, as defined in Section 1210.80, that at least 30% of the employees in the petitioned for bargaining unit wish to be represented by the labor organization.

e) If a labor organization has indicated on the representation petition that it is seeking to utilize the Board's card check procedures for determination of majority status, the petition must be accompanied by a showing of interest, as defined in Section 1210.80, evidencing that a majority of the employees in the petitioned-for bargaining unit wish to be represented by the labor organization.

f) A petition may seek joint representation by two or more labor organizations if an instrument, such as a joint council, has been established to effectuate the joint representation. In such instances, the petition shall describe the instrument, and the showing of interest shall expressly designate joint representation.

g) A labor organization may withdraw its representation petition as follows:

1. If there are no intervenors, at any time. However, any such withdrawal that occurs after the direction of an election or the approval of a consent election agreement shall bar the labor organization from petitioning for an election or for a determination of majority status through the Board's card check procedures in a bargaining unit covering all or part of the petitioned for unit for six months following the withdrawal.

2. If there are intervenors, the labor organization may not withdraw its petition without the consent of all parties. However, the labor organization may file a statement signed by its authorized representative that it no longer wishes to appear on the ballot. The statement shall be filed no later than 5 days prior to the election. Upon receipt of such a statement, the Board shall strike the labor organization's name from the ballot.

h) Whenever a representation petition proposes a bargaining unit that includes craft and non-craft employees, the petition shall so state. In cases where a petition seeks determination of majority support based upon the Board's card check procedures, the Board will first conduct an election to determine whether the employees wish to be included in a combined craft/non-craft unit. The election will be conducted pursuant to the election provisions in this Part, except that the date for determining an employee's eligibility to vote shall be the date the majority interest petition was filed. Following the election, the Board will then calculate the union's majority status, based upon the evidence filed with the petition, for either a combined unit or separate units, depending upon the results of the election.

i) Whenever a representation petition proposes a bargaining unit that includes or that may include professional and non-professional employees, the petition shall so state. In cases where a petition seeks determination of majority support based upon the Board's card check procedures, the Board will first conduct an election to determine whether the employees wish to be included in a combined professional/non-professional unit. The election will be conducted pursuant to the election provisions in this Part, except that the date for determining an employee's eligibility to vote shall be the date the majority interest petition was filed. Following the election, the Board will then calculate the union's majority status, based upon the evidence filed with the petition, for either a combined unit or separate units, depending upon the results of the election.

j) Whenever a representation petition proposes a bargaining unit that includes or that may include peace officers and civilian employees, the petition shall so state.

History

• Source: Amended at 28 Ill. Reg. 4172, effective February 19, 2004

80 Ill. Adm. Code 1210.50 Intervention Petitions

a) An intervention petition may be filed by an employee, a group of employees, or a labor organization on a Board-designated form.

b) Intervention petitions shall be signed by a representative of the petitioning party and shall contain the same information as is required for representation petitions.

c) Intervention petitions may be filed with the Board no later than 15 days prior to the date of the election. However, any intervenor who files after the commencement of the hearing or, if no hearing is held, after the approval of a consent election agreement or the direction of an election, shall have waived objections to the bargaining unit.

d) Intervention petitions shall be accompanied by a showing of interest, as defined in Section 1210.80, that at least 10 percent of the employees in a bargaining unit substantially similar to the petitioned for unit or at least 30 percent of the employees in a bargaining unit that is not substantially similar to the petitioned for unit wish to be represented by the labor organization. In determining whether the proposed bargaining units are substantially similar, the Board will consider the number and type of employees included in each of the proposed units. The proposed units will not be considered substantially similar whenever less than 50 percent of the employees in the originally proposed unit are included in the unit proposed by the intervenor.

e) When a proposed unit combines craft and noncraft employees, a labor organization may file a petition to intervene in a unit limited to a craft. Whenever a party has so intervened, the election shall proceed in accordance with Section 1210.140.

f) When a proposed unit combines professional and nonprofessional employees, a labor organization may file a petition to intervene in a unit limited to professional employees or limited to non-professional employees. The election shall be conducted in accordance with Section 1210.140(d).

g) When a proposed unit combines civilian employees and peace officers, a labor organization may file a petition to intervene in a unit limited to civilian employees or limited to peace officer employees. A bargaining unit determined by the Board to contain peace officers shall contain no employees other than peace officers unless otherwise agreed to by the employer and the labor organization or labor organizations involved.

History

• Source: Amended at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.60 Decertification Petitions

a) The purpose of a decertification proceeding is to determine whether a majority of the employees in an appropriate bargaining unit maintain their desire to be represented by the existing exclusive bargaining representative.

b) A petition to decertify an existing exclusive representative may be filed with the Board. The petition shall be served by the Board on the exclusive representative and on the employer. The petition shall be on a form developed by the Board. It shall be signed and shall contain the following:

1. the name, address and telephone number of the petitioner and of the petitioner's representative;

2. the name, address, telephone number and affiliation, if any, of the exclusive representative;

3. the name, address and telephone number of the employer;

4. a specific and detailed description of the bargaining unit, including employee classifications or job titles;

5. the approximate number of employees in the bargaining unit;

6. the date that the exclusive representative was recognized and the method of recognition, if known;

7. a brief description of any collective bargaining agreements covering any employees in the bargaining unit, and the expiration dates of the agreements.

c) A petition to decertify an existing exclusive representative must be supported by a 30% showing of interest as defined by Section 1210.80. Determination of majority support based upon the Board's card check procedures will not apply to decertification petitions.

d) An employer may not instigate a decertification petition filed by an employee or group of employees.

e) The Executive Director, when convinced that the petition is filed in accordance with Section 1210.35, may issue an Order Directing an Election. The Order is appealable pursuant to Section 1200.135.

History

• Source: Amended at 28 Ill. Reg. 4172, effective February 19, 2004

80 Ill. Adm. Code 1210.65 Declaration of Disinterest Petition

a) A labor organization that has been certified by the Board or historically recognized pursuant to Section 9 of the Act as the exclusive bargaining representative of a bargaining unit may file a Declaration of Disinterest petition with the Board to declare its disinterest in further representation of that bargaining unit. The petition shall be on a Board-designated form, signed, and shall contain the following:

1. the name, address, telephone number and affiliation, if any, of the petitioning labor organization and its representative;

2. the name, address and telephone number of the employer;

3. a specific and detailed description of the bargaining unit, including employee classifications or job titles;

4. the approximate number of employees in the bargaining unit;

5. the date that the exclusive representative was recognized and the method of recognition, if known;

6. a brief description of any collective bargaining agreements covering any employees in the bargaining unit, and the expiration dates of the agreements; and

7. A declaration that the labor organization waives and disclaims any right to represent the bargaining unit employees.

b) The Board shall investigate the petition. If the Board determines that 12 months have passed since the certification of the labor organization, and that the petition is otherwise appropriate, the Board shall notify the labor organization that its petition has been approved and, where the labor organization had previously been certified by the Board, shall issue a revocation of the prior certification. Upon receipt of this notification of approval, the duties and responsibilities of the labor organization to that bargaining unit shall cease.

History

• Source: Added at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.70 Timeliness of Petitions (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.80 Showing of Interest

a) Representation Petitions/Decertification Petitions

Representation petitions filed by employees, groups of employees and labor organizations, and all decertification petitions, must be accompanied by a 30% showing of interest.

b) Majority Interest Petitions

If a labor organization has indicated on the representation petition that it is seeking to utilize the Board's card check procedures for determination of majority support, the petition must be accompanied by a showing of interest evidencing that a majority of the employees in the petitioned-for bargaining unit wish to be represented by the labor organization.

c) Intervention Petitions

A petition to intervene in an election must be supported by a 10% showing of interest when the petition seeks a bargaining unit substantially similar to the unit originally petitioned for. When the intervenor seeks a bargaining unit substantially different from the unit originally petitioned for, the petition must be supported by a 30% showing of interest. However, an incumbent exclusive representative shall automatically be allowed to intervene without submitting any showing of interest. Petitions to intervene shall not be permitted in majority interest cases.

d) Showing of Interest Requirements

1. Representation Petitions Seeking Elections

A) The showing of interest in support of a representation petition may consist of authorization cards, petitions, or any other evidence that demonstrates that at least 30% of the employees wish to be represented by the labor organization.

B) The showing of interest in support of a decertification petition may consist only of cards or petitions clearly stating that the employee does not want the incumbent labor organization to continue serving as exclusive representative.

C) Any evidence submitted as a showing of interest must contain legible signatures and each signature must be dated by the employee. The showing of interest in support of a petition may be evidenced by the electronic signature of the employee, as set forth in 80 Ill. Adm. Code 1210.80(e).

D) The showing of interest shall be valid only if signed within 12 months prior to the filing of the petition.

E) Where non-electronic signatures are used to determine showing of interest, the Board will not accept copies of the documents bearing such signatures.

F) The evidence submitted as a showing of interest must indicate the employee's desire for the named labor organization to act as his/her exclusive bargaining representative.

2. Representation Cases Involving Majority Interest Petitions

A) The showing of interest in support of a majority interest petition may consist of authorization cards, petitions, or any other evidence that demonstrates that a majority of the employees wish to be represented by the union for the purposes of collective bargaining.

B) Any evidence submitted as a showing of interest must contain legible signatures and each signature must be dated by the employee.

C) The showing of interest shall be valid only if signed within 6 months prior to the filing of the petition.

D) Where non-electronic signatures are used to determine showing of interest, the Board will not accept copies of the documents bearing such signatures. The Board also will not count signatures from employees who were not employed by the employer on the date the majority interest petition was filed.

E) The showing of interest shall include the name of the petitioner, and shall state that by signing the card the employee acknowledges that if a majority of the co-workers in an appropriate unit sign evidence of majority support, the card can be used by the petitioner to obtain certification as the employees' exclusive representative without an election. This provision shall not apply to evidence of majority support signed prior to February 19, 2004.

F) Evidence of majority support signed prior to August 5, 2003 is invalid for determining majority support.

e) Determination of Showing of Interest

1. The Board shall maintain the confidentiality of the showing of interest. The evidence submitted in support of the showing of interest shall not be furnished to any of the parties.

2. Whenever an employee has signed authorization cards or petitions for two or more labor organizations, each card or petition shall be counted in computing the required showing of interest. Duplicates for the same labor organization shall be counted as one. Where a majority interest petition has been filed and employees signing authorization cards have also signed cards authorizing other labor organizations to represent them, the most recently signed card will count for the purpose of determining majority status.

3. The adequacy of the showing of interest shall be determined administratively by the Board or its agent. The showing of interest determination is not subject to litigation, except upon a finding of a material issue of fact or law relating to fraud or coercion in majority interest petition cases. However, any person who has evidence that the showing of interest was obtained improperly, such as through the use of fraud or coercion, may bring the evidence to the attention of the Board agent investigating the petition.

4. If the Board agent determines that the evidence submitted does not demonstrate the appropriate level of showing of interest, the petitioner or intervenor shall have 48 hours in election cases, or five days in majority interest cases, to provide the necessary showing of interest to the Board agent. If the petitioner or intervenor is unable to present any necessary additional evidence of showing of interest within that time, then the petition shall be dismissed.

5. When the Board orders an election, or certification upon determination of majority support through the Board's majority interest petition procedures, in a unit different from the one petitioned for, the petitioner and intervenors, if any, shall have 5 days from the date of service of the Board's Order to submit a showing of interest in the new unit.

6. Employees may not withdraw authorization cards or other documents evidencing majority support after the filing of a majority interest petition, unless the basis for the withdrawal constitutes evidence of fraud or coercion on the part of the petitioner.

7. Authorization cards or other documents evidencing majority support may be signed with an electronic signature.

8. "Electronic signature" means an electronic sound, symbol, or process attached to or logically associated with a record and executed or adopted by a person with the intent to sign the record. [815 ILCS 333/2(8)].

9. Submissions supported by electronic signature must contain the following:

A) the signer's name;

B) the signer's email address or other known contact information;

C) the signer's telephone number;

D) the language to which the signer has agreed;

E) the date the electronic signature was submitted; and

F) the name of the employer of the employee.

10. Submissions supported by electronic signature may not contain dates of birth, social security numbers, or other sensitive personal identifiers. The Board will not accept such submissions until the petitioner redacts them.

History

• Source: Amended at 46 Ill. Reg. 15585, effective September 1, 2022

80 Ill. Adm. Code 1210.90 Posting of Notice (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.100 Processing of Petitions

a) Representation Petitions Seeking an Election

1. The Board shall provide the employer with a Notice to Employees of the filing of a representation or decertification petition. The Notice to Employees shall be posted on bulletin boards and other places where notices to employees in the proposed bargaining unit are customarily posted. The Notice to Employees shall inform employees that a petition has been filed with the Board and shall outline intervention procedures. The Notice shall remain posted until replaced by the Board-issued Notice of Election, unless the petition has been dismissed or withdrawn. It shall be incumbent upon the parties to contact the Board to correct any errors that may appear on the Notice to Employees.

2. Within 7 days after service of a petition, the employer shall file with the Board a list containing the full names and titles of the employees in the proposed bargaining unit. In the event the employer does not supply the list within 7 days, the Board shall administratively determine the adequacy of the showing of interest, based on the information provided by the union.

3. All employers served with a representation petition and all unions served with a decertification petition shall file a written response to the petition. The response filed shall set forth the party's position with respect to the matters asserted in the petition, including, but not limited to, the appropriateness of the bargaining unit and, to the extent known, whether any employees sought by petitioner to be included in the unit are supervisory, managerial or confidential. If a party agrees to the appropriateness of the unit proposed in the petition, it shall so indicate. If a party disagrees with the unit proposed in the petition, it shall describe with particularity what it considers to be an appropriate unit, and shall include a description of the job titles and classifications of the employees to be included and of those to be excluded.

4. The setting forth of a party's position with respect to the appropriate unit shall not be deemed to waive or otherwise preclude the right of that party to subsequently assert a different position with respect to what unit it considers appropriate.

5. Petitions to intervene in the election may be filed with the Board no later than 15 days prior to the date of the election. However, any intervenor who files after the date set for hearing or, if no hearing is held, after the approval of a consent election agreement or the direction of an election shall have waived objections to the bargaining unit.

6. Upon receipt of the petition, the Board or its agent shall investigate the petition. If, for any reason during the investigation, the Board or its agent discovers that the petition may be inappropriate, the Board or its agent may issue an order to show cause requesting that the petitioner provide sufficient evidence to overcome the inappropriateness. Failure to provide sufficient evidence of the petition's appropriateness can result in the dismissal of the petition. Moreover, in conjunction with subsection (a)(3), if, for any reason during the investigation, the Board or its agent discovers that the employer's objections to the representation petition or the union's objections to the decertification petition are insufficient in either law or fact, the Board or its agent may issue an order to show cause requesting that the employer or union provide sufficient evidence to support its defenses. Failure to provide sufficient evidence can result in the waiver of defenses.

7. Results of the Investigation

A) After the investigation, the Executive Director shall dismiss a petition, or the Administrative Law Judge shall recommend to the Board that a petition be dismissed, when a petition has been filed untimely; when the bargaining unit is clearly inappropriate; when the showing of interest is not adequate; when the employer is not covered by the Act; when the employees are not covered by the Act; or for any other reason there is no reasonable cause to believe that a question of representation exists. Parties may appeal the Executive Director's order or the Administrative Law Judge's recommended decision and order in accordance with 80 Ill. Adm. Code 1200.135.

B) If, at the conclusion of the investigation, the parties agree to an election in the petitioned-for bargaining unit, the parties may file a stipulation for consent election in accordance with Section 1210.105.

C) If, at the conclusion of the investigation, the only issues remaining between the parties are logistical, e.g., the date of the election, or the positions in dispute comprise 10% or less of the petitioned for bargaining unit, the Executive Director or Administrative Law Judge may issue an Order Directing an Election. Parties may appeal the Order in accordance with 80 Ill. Adm. Code 1200.135.

D) If the investigation discloses that there is reasonable cause to believe that there are unresolved issues relating to the question concerning representation, the Board shall set the matter for hearing before an Administrative Law Judge. All parties shall be given a minimum of 14 days notice of the hearing.

8. The Executive Director may, in his or her discretion or at the request of the charging party, suspend the processing of a petition if an unfair labor practice charge is filed containing allegations regarding conduct that may either affect the existence of a question concerning representation or have a tendency to interfere with a fair and free election.

b) Representation Cases Involving Majority Interest Petitions

1. The Board shall provide the employer with a Notice to Employees of the filing of a majority interest petition. The Notice to Employees shall be posted on bulletin boards and other places where notices to employees in the proposed bargaining unit are customarily posted. The Notice to Employees shall inform employees that a petition has been filed with the Board in accordance with Section 9(a)(5) of the Act. The Notice shall remain posted for 14 days. It shall be incumbent upon the parties to contact the Board to correct any errors that may appear on the Notice to Employees.

2. Within 7 days after service of a petition, the employer shall file with the Board a list containing the full names and titles of the employees in the proposed bargaining unit, along with signature exemplars of the employees in the proposed unit. The Board's agent shall grant reasonable requests for extentions of time to prepare the signature exemplars based upon the size or scope of the petitioned for unit. In the event the employer does not supply the aforementioned information within 7 days, and it has not been granted an extension of the 7 day period, the Board or its agent shall administratively determine the adequacy of the showing of interest, based on the information provided by the union.

3. All employers served with a majority interest petition shall file a written response to the petition within 14 days after service of the petition. The response filed shall set forth the party's position with respect to the matters asserted in the petition, including, but not limited to, the appropriateness of the bargaining unit and, to the extent known, whether any employees sought by petitioner to be included should be excluded from the unit. The employer must also provide at this time clear and convincing evidence of any alleged fraud or coercion in obtaining majority support. If a party agrees to the appropriateness of the unit proposed in the petition, it shall so indicate. If a party disagrees with the unit proposed in the petition, it shall describe with particularity what it considers to be an appropriate unit, and shall include a description of the job titles and classifications of the employees to be included and of those to be excluded. The Board's agent shall grant reasonable requests for extensions of time to prepare a position statement based upon the size or scope of the petitioned for unit.

4. The setting forth of a party's position with respect to the appropriate unit shall not be deemed to waive or otherwise preclude the right of that party to subsequently assert a different position with respect to what unit it considers appropriate.

5. Fraud or Coercion

A) A party or individual alleging that the petitioner’s evidence of majority support was obtained fraudulently or through coercion must provide evidence of that fraud or coercion to the Board or its agent. If a party has not provided evidence demonstrating a material issue of fact or law relating to fraud or coercion, the Board will certify the union as the unit’s exclusive representative if it is determined to have majority support.

B) If the Board finds a party has provided evidence demonstrating a material issue of fact or law relating to fraud or coercion, it will conduct a hearing to determine whether there is clear and convincing evidence of fraud or coercion. All parties shall be given a minimum of 14 days notice of the hearing. If the Board finds clear and convincing evidence of fraud or coercion, the Board will conduct an election in the petitioned for unit to determine majority support for the petitioner. If the Board finds clear and convincing evidence of fraud or coercion to be lacking, it will determine majority support for the petitioner based upon the evidence filed with the petition. As an alternative to submitting the issue of clear and convincing evidence to hearing, the parties may agree to a Board-conducted election in the unit.

6. Upon receipt of the petition, the Board or its agent shall investigate the petition. If, for any reason during the investigation, the Board or its agent discovers that the petition may be inappropriate, the Board or its agent may issue an order to show cause requesting that the petitioner provide sufficient evidence to overcome the inappropriateness. Failure to provide sufficient evidence of the petition's appropriateness can result in the dismissal of the petition. Moreover, in conjunction with subsection (b)(3), if, for any reason during the investigation, the Board or its agent discovers that the employer's objections to the majority interest petition are insufficient in either law or fact, the Board or its agent may issue an order to show cause requesting that the employer or union provide sufficient evidence to support its defenses. Failure to provide sufficient evidence can result in the waiver of defenses.

7. Results of the Investigation

A) After the investigation, the Executive Director shall dismiss a petition, or the Administrative Law Judge shall recommend to the Board that a petition be dismissed, when a petition has been filed untimely; when the bargaining unit is clearly inappropriate; when the showing of interest is not adequate; when the employer is not covered by the Act; when the employees are not covered by the Act; or for any other reason there is no reasonable cause to believe that a question of representation exists. Parties may appeal the Executive Director's order or the Administrative Law Judge's recommended decision and order in accordance with 80 Ill. Adm. Code 1200.135.

B) Where there are no unit appropriateness or exclusion issues, or any other issues necessitating a hearing, the Executive Director will prepare a tally of the finding of majority support and certify the petitioner as the unit’s exclusive representative within 20 days after the service of the petition. Where there are unit or exclusion issues, but the number of the contested positions is not sufficient to affect the determination of majority support, then the Executive Director will, within 20 days after service of the petition, prepare a tally of the finding of majority support and issue a certification and the tally concerning the employees not in dispute. The disputed employees’ inclusion in the unit will be subject to the Board’s unit clarification procedures. Where the number of contested employees is determinative of the outcome, the Board will impound the showing of interest and will resolve the unit appropriateness and exclusion issues through its hearing procedures.

C) If the investigation discloses that there is reasonable cause to believe that there are unresolved issues relating to the question concerning representation, the Board shall set the matter for hearing before an Administrative Law Judge. All parties shall be given a minimum of 14 days notice of the hearing.

8. No intervention petitions will be permitted in majority interest cases. If a labor organization seeks to file a representation petition for the same or a similar unit to the one described in a majority interest petition, it may file an election petition pursuant to the procedures of this Part. Where more than one petition exists for the same or a similar unit of employees, the Board will direct an election in the appropriate unit to determine the employees' choice of representative.

History

• Source: Amended at 28 Ill. Reg. 4172, effective February 19, 2004

80 Ill. Adm. Code 1210.105 Consent Elections

a) Following the filing of a petition, a stipulation for a consent election may be filed as follows:

1. The stipulation must be signed by the petitioner, the employer, the labor organization seeking to represent the employees, and any intervenor that has filed a timely petition.

2. The stipulation must specify the bargaining unit; the eligibility date for participation in the election; the date, place and hours of the election; and a reasonable number of observers allowed to each party.

b) A Board-issued Notice of Election shall be posted in accordance with Section 1210.90 of this Part. The parties shall be responsible for informing the Board of any errors that may appear on the Notice.

c) All consent elections shall be conducted under the direction and supervision of the Board. Upon receipt of a stipulation for a consent election the Executive Director shall review the stipulation. If the Executive Director determines that the stipulation is consistent with the Act and this Part, the Executive Director shall direct the holding of the consent election.

d) Within 7 days following the Executive Director's approval of the consent election agreement, the employer shall furnish the Board and the labor organizations with a list of the full names, alphabetized by last name, and addresses of the employees eligible to vote in the election. The lists shall be provided by personal delivery or certified mail. The employer shall obtain receipts verifying delivery.

History

• Source: Section 1210.105 renumbered from Section 1210.110 and amended at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.107 Hearings

a) Representation hearings shall be non-adversarial in nature. All parties may present evidence and make arguments, subject to the control of the Administrative Law Judge. Subject to the discretion of the Administrative Law Judge, the employer shall present its evidence first in representation hearings. Any party asserting a statutory exclusion shall have the burden of providing sufficient evidence in support of that exclusion.

b) If the petitioner fails to appear after proper service of Notice of Hearing, the Administrative Law Judge shall dismiss the petition. If any party other than the petitioner fails to appear, the Administrative Law Judge may proceed in its absence and issue a recommended decision and order.

c) Interested persons, other than labor organizations, who may be necessary to the proceedings, who wish to intervene in the hearing shall direct a request to the Administrative Law Judge. The request shall be in writing and shall state the grounds for intervention. The Administrative Law Judge shall have discretion to grant or deny the request for intervention. The decision shall be based upon the interests of the intervenor, whether those interests will be adequately protected by existing parties, and the timeliness of the intervenor's request.

d) Pursuant to 80 Ill. Adm. Code 1200.40, the Administrative Law Judge may schedule a pre-hearing conference or request statements of position when it appears to the Administrative Law Judge that such would expedite the procedure.

e) Intermediate rulings of the Administrative Law Judge shall not be subject to interlocutory appeal, except for rulings issued in accordance with 80 Ill. Adm. Code 1220.65. Parties may raise objections to such intermediate rulings in their exceptions to the Administrative Law Judge's recommended decision.

f) Any audio or video file that a party wishes to introduce into evidence must be provided to the Administrative Law Judge in advance of the hearing on a CD-ROM or DVD, and also as an email attachment. Four copies of the CD-ROM or DVD must be submitted in total to the Administrative Law Judge.

g) The Administrative Law Judge shall inquire fully into all matters in dispute, and shall obtain a full and complete record. The Administrative Law Judge shall file and serve on the parties a recommended decision and order of the case as expeditiously as possible.

h) All exceptions, cross-exceptions, responses and cross-responses to the Administrative Law Judge's recommended decision and order shall be filed and served in accordance with 80 Ill. Adm. Code 1200.135.

History

• Source: Amended at 48 Ill. Reg. 18017, effective December 5, 2024

80 Ill. Adm. Code 1210.110 Consent Elections (renumbered)

History

• Source: Section 1210.110 renumbered to Section 1210.105 at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.120 Bargaining Unit Determinations (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.130 Eligibility of Voters

a) To be eligible to vote in an election, an employee must have been in the bargaining unit as of the last day of the payroll period immediately prior to the date of the direction of the election or the approval of a consent election agreement, and must still be in the bargaining unit on the date of the election.

b) To be eligible to vote in a runoff election, an employee must have been eligible to vote in the original election and still be in the bargaining unit on the date of the runoff.

c) Within 7 days following the Executive Director's approval of a consent election agreement or within 7 days following a Direction of Election, the employer shall furnish the Board and the labor organizations with an excelsior list of the full names, alphabetized by last name, and addresses of the employees eligible to vote in the election. The lists shall be provided by personal delivery or certified mail. The employer shall obtain receipts verifying delivery.

History

• Source: Amended at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.140 Conduct of the Election

a) The election shall be conducted under the supervision of the Board. Voting shall be by secret ballot. Whenever the Board determines that a mail ballot will better effectuate the purposes of the Act, it shall conduct the election by mail ballot. In all other cases, it shall conduct the election on site.

b) Ballots shall list all labor organizations that properly petitioned or intervened in the election, the incumbent exclusive representative, and the choice of "No Representation".

c) When an election involves a bargaining unit that includes craft employees, and there has been a proper petition for a separate craft unit, craft employees shall be given two ballots: one to vote for or against craft severance and a second to vote on choice of representative, if any. Noncraft employees shall only be given ballots for voting on choice of representative.

d) When an election involves a bargaining unit containing professional and nonprofessional employees, all employees shall be given two ballots: one for indicating whether they desire a combined professional/nonprofessional unit and a second for indicating choice of representative, if any.

e) On Site Election Procedures. When the election is conducted on site, the following procedures shall apply:

1. Each party shall be entitled to an equal number of observers, as determined by the Executive Director or the Board agent. Observers for the employer may not be individuals who supervise any of the employees in the bargaining unit, other individuals closely identified with management, paid union staff, or attorneys for any party. The conduct of observers is subject to such reasonable limitations as the Executive Director or Board agent may prescribe.

2. Parties must submit to the Board agent the names and job titles of each observer who will be present at the election. This information shall be submitted at least 2 days prior to the election.

3. Election observer duties include assisting in the identification of voters, challenging voters and/or ballots, if necessary, and otherwise assisting the Board agent.

4. The Board agent shall prescribe the area in proximity to the polling place in which electioneering shall be prohibited. Cameras, video equipment, and similar equipment shall be prohibited within the actual polling area while employees are voting.

5. Ballot boxes shall be examined in the presence of the observers immediately prior to the opening of the polls and shall be sealed at the opening of the polls. The seal shall allow for one opening on the top of the ballot box for voters to insert their ballots.

6. The Board agent or any authorized observer may challenge the eligibility of any voter. The observer must state the reason for the challenge. A voter whose identity has been challenged may establish identity by showing a driver's license or any other piece of identification acceptable to the Board agent. A challenged voter shall be permitted to vote in secret. The challenged voter's ballot shall be placed in a "challenged ballot" envelope. The envelope shall be sealed by the Board agent and initialed by the observers. The reason for the challenge and the voter's name shall be marked on the envelope and the envelope shall be placed in the ballot box.

7. A voter shall mark a cross (X) or check mark in the circle or block designating the voter's choice in the election. If the voter seeks assistance in marking the ballot, the intent of the voter shall be followed in that marking of the ballot. If the ballot is defaced, torn or marked in such a manner that it is not understandable, or identifies the voter, the ballot shall be declared void. If the voter inadvertently spoils a ballot, it may be returned to the Board agent who shall give the voter another ballot. The spoiled ballot shall be placed in a "spoiled ballot" envelope. The envelope shall be sealed by the Board agent and initialed by the observers, and the Board agent shall place the envelope in the ballot box.

8. A voter shall fold the ballot so that no part of its face is exposed and, on leaving the voting booth, shall deposit the ballot in the ballot box. If the election is continued for more than one period, the ballot box shall be sealed by the Board agent and initialed by the observers until the subsequent opening of the polls and shall remain in the custody of the Board agent until the counting of the ballots.

9. The Board agent may privately assist any voter who, due to physical or other disability, is unable to mark the ballot.

10. Each party shall designate a representative to observe the tallying of the ballots.

11. Upon conclusion of the polling, ballots shall be tallied in accordance with subsection (g). If there was only one polling location, ballots shall be tallied at the polling site. If there was more than one polling location, the Board agent shall seal the ballot boxes, which shall be initialed by the observers, and bring them to a predetermined central location. When all of the ballot boxes have arrived, they shall be opened by the Board agent and the ballots shall be commingled for tallying.

f) Mail Ballot Election Procedures.When the election is to be conducted by mail ballot, the following procedures shall apply:

1. Each eligible voter shall be mailed a packet containing a ballot, ballot envelope, pre-addressed stamped return envelope, and instructions.

2. The instructions shall advise the voter to mark the ballot without using a self-identifying mark, place the ballot in the ballot envelope, seal the ballot envelope and place it in the return envelope, seal the return envelope, both print and sign the return envelope across the seal, and mail it to the Board. The instructions will also advise the voter of the date, set by the Board, by which return envelopes must be postmarked.

3. When the election includes a vote on a combined professional/ nonprofessional unit, or a vote on craft severance, the appropriate voters shall be mailed separate ballots and ballot envelopes for unit preference or craft severance, and for choice of representative. These voters shall be instructed to mark the ballots separately, place them in their respective ballot envelopes, and return both ballot envelopes in the return envelope.

4. The parties may designate an equal number of representatives, as set by the Board, to observe the tallying of the ballots. Ballots shall be tallied on a date set by the Board.

5. Ballots shall remain unopened in their return envelopes until the date set for tallying. On the date set for tallying, the representatives and the Board agent shall have an opportunity to challenge any ballots prior to the opening of the return envelopes. Challenged ballots shall be handled in accordance with subsection (e)(6). All ballots that have not been challenged shall be separated from their return envelopes and commingled prior to tallying.

6. The ballots shall be tallied in accordance with subsection (g).

7. The Board agent shall attempt to resolve ballot challenges before the ballots are counted.

g) Vote Tally Procedures. In mail and on site elections, ballots will be tallied, in the presence of the parties' representatives attending the count, as follows:

1. The Board agent shall segregate the challenged ballots. The challenged ballots shall only be opened and counted if they could be determinative of the outcome of the election.

2. If challenges to ballots have not been resolved, and if the challenges could affect the outcome of the election, the Board will treat the challenges in the same manner as objections to the election.

3. When the election includes a vote on craft severance, the craft employee ballots on craft severance shall be tallied first. If a majority of the craft employees casting valid craft severance ballots choose craft severance, the craft and noncraft ballots on choice of representative, if any, shall be tallied separately. If a majority of the craft employees casting valid ballots do not choose craft severance, the ballots on choice of representative, if any, shall be tallied together.

4. When the election includes a vote on a combined professional/ nonprofessional unit, the ballots on unit preference shall be tallied first. Separate tallies shall be made for professional and nonprofessional employees. If a majority of the employees casting valid ballots in each group vote for a combined unit, the ballots on choice of representative, if any, shall be tallied together. If a combined unit fails to receive a majority vote in either or both groups, the ballots on choice of representative, if any, shall be tallied separately.

h) When there are only two choices on the ballot and each receives 50 percent of the vote, the following shall apply:

1. In representation elections, absent valid objections or challenges, the Board shall certify that a majority of the employees have not voted to select the labor organization as their exclusive representative.

2. In decertification elections, absent valid objections or challenges, the Board shall certify that a majority of the employees no longer desire to be represented by the labor organization.

i) When there are three or more choices on the ballot (two or more labor organizations and "No Representation") and no choice receives a majority of the valid ballots cast, the Board shall conduct one runoff election between the two choices that received the most votes. When there is a tie for first place among more than two choices, the runoff shall be among those choices involved in the tie. When the first place choice has not received a majority of the votes and there is a tie for second place, the runoff shall be among the first place choice and those tying for second place. The results of votes taken during the first election on craft severances and/or combined professional/nonprofessional units, if applicable, shall be binding on the runoff election.

j) The Board shall preserve all ballots until such time as any objections to the election have been resolved and the results have been certified.

History

• Source: Amended at 45 Ill. Reg. 1872, effective February 1, 2021

80 Ill. Adm. Code 1210.150 Objections to the Election

a) Any party to the election may file objections with the Board alleging that the result was not fairly and freely chosen by a majority of the employees. The party must serve its objections on the other parties to the election prior to or simultaneously with their filing with the Board.

b) Objections must be received by the Board no later than five days after the final tally was served on the representatives. Pending challenges to ballots shall not stay the time for filing objections.

c) The objecting party shall, within five days after filing objections, submit to the Board a statement of material facts and issues and a summary of material evidence.

d) The Executive Director shall promptly investigate the allegations and, at the conclusion of the investigation, issue a report on the challenges and/or objections. If the Executive Director finds no reasonable cause to believe that the result of the election was not fairly and freely chosen, he shall issue a report dismissing the challenges and objections. Parties may appeal the Executive Director's report in accordance with 80 Ill. Adm. Code 1200.135. If the Executive Director finds reasonable cause to believe that the result of the election was not fairly and freely chosen by a majority of the employees, the Executive Director shall set the matter for hearing before an Administrative Law Judge. The Administrative Law Judge will conduct the hearing in accordance with Section 1210.107. If it is determined, after hearing, that the result was not fairly and freely chosen by a majority of the employees, the Board shall order a new election and shall order corrective action it finds necessary to ensure the fairness of the new election. If it is determined that the result was fairly and freely chosen by a majority of the employees, the Board shall promptly certify the election results.

History

• Source: Amended at 48 Ill. Reg. 18017, effective December 5, 2024

80 Ill. Adm. Code 1210.160 Voluntary Recognition Procedures

a) Voluntary recognition petitions may not be filed under the following circumstances:

1. whenever a labor organization is recognized in accordance with the Act as the exclusive representative of all or some of the employees in the bargaining unit; and

2. whenever the proposed bargaining unit would include both professional and nonprofessional employees.

b) When an employer and a labor organization agree to use the voluntary recognition procedures, the employer and labor organization must file a request for voluntary recognition with the Board. The request shall be on a form developed by the Board. The request shall be signed by both parties and shall contain the following:

1. the name, address and telephone number of the employer;

2. the name, address, telephone number and affiliation, if any, of the labor organization;

3. the name, addresses and telephone numbers of the parties' representatives;

4. a specific and detailed description of the proposed bargaining unit, including job titles and classifications;

5. the number of employees in the proposed bargaining unit and whether the proposed bargaining unit includes professional employees;

6. a statement describing why the employer and the labor organization are satisfied that the labor organization represents the majority of the employees in the proposed bargaining unit; and

7. a statement describing why the employer and the labor organization are satisfied that the proposed unit is an appropriate bargaining unit within the meaning of Section 9 of the Act.

c) The request must be supported by objective evidence of the majority status of the labor organization as required by Section 1210.80.

1. If authorization cards are offered as evidence, they may be submitted jointly to the Board or they may be confidentially submitted by the labor organization to the Board. Cards must be signed and dated by the employees pursuant to Section 1210.80. The authorization cards expire one year from the signing date.

2. If authorization cards are offered as evidence, those cards that would not qualify as evidence in support of a representation petition will not be considered sufficient evidence of majority status.

3. If employees signing authorization cards have also signed cards authorizing other labor organizations to represent them, those cards will not be considered sufficient evidence of majority status.

d) Following the filing of a request for voluntary recognition, the Board shall provide the employer with a Notice of Voluntary Recognition that shall be posted on bulletin boards and other places where notices for employees in the bargaining unit are customarily posted. The Board's Notice of Voluntary Recognition shall have the following information:

1. statement that, subject to Board certification, the employer intends to recognize the employee organization if no competing claims of representation are filed with the Board;

2. the name and address of the employer;

3. the name and address and affiliation, if any, of the labor organization;

4. a specific and detailed description of the proposed bargaining unit, including job titles and classifications;

5. the number of employees in the proposed bargaining unit;

6. the date of posting; and

7. the signature of the employer's representative.

Parties are required to inform the Board of any errors in the Notice of Voluntary Recognition.

e) The Notice of Voluntary Recognition shall remain posted for a 20 day period specified within the Notice. The employer shall take steps reasonably necessary to ensure that the Notice of Voluntary Recognition is not removed or defaced. After the Notice of Voluntary Recognition has been posted for the prescribed 20 day period, the employer shall submit a Board-issued Certificate of Posting confirming that the Notice has been posted for 20 days.

f) During the 20 day posting period, any competing labor organization may file a petition with the Board seeking to represent all or some of the employees in the unit. Prior to, or simultaneously with, its filing with the Board, the competing labor organization shall serve the petition on the employer and the labor organization that was to have been voluntarily recognized. The petition shall be on a form developed by the Board and shall contain:

1. the name, address, telephone number and affiliation, if any, of the labor organization;

2. the name, address, telephone number and signature of petitioner's representative;

3. the names of the employer and labor organization that the employer intended to voluntarily recognize, and the names and addresses of the employer and labor organization representatives;

4. a specific and detailed description of the proposed bargaining units, including job titles and classifications to the extent known, proposed by the petitioner and on the Notice of Voluntary Recognition and designate any positions included in both units;

5. the date the Notice of Voluntary Recognition was posted; and

6. the date the posting period is scheduled to end.

g) A competing labor organization's petition must be supported by a showing of interest of at least 10 percent of the employees in an appropriate bargaining unit which includes all or some of the employees in the unit that was to have been voluntarily recognized. (Section 9(g) of the Act.)

h) Upon the filing of a competing labor organization's petition and proper showing of interest, the Board shall treat the voluntary recognition proceeding as a representation proceeding. The Board shall proceed in accordance with Section 9(a) of the Act and Sections 1210.80 through 1210.150.

i) If no competing labor organization petitions have been filed with the Board by the end of the posting period, the employer and the labor organization shall file with the Board a certification of posting. This Certification of Posting pshall be on a form developed by the Board. The Certification of Posting shall contain the following:

1. the Board case number assigned to the Request for Voluntary Recognition and date filed;

2. the name, address and telephone number of the employer;

3. the name, address, telephone number and affiliation, if any, of the labor organization;

4. the names, addresses and telephone numbers of the parties' representatives;

5. a specific and detailed description of the proposed bargaining unit, including job titles and classifications;

6. the number of employees in the proposed bargaining unit;

7. the dates, locations and termination date of the posting of the Notice of Voluntary Recognition ;

8. a statement that the Notice of Voluntary Recognition was not removed or defaced during the posting period;

9. a statement that the parties desire certification of the voluntary recognition issue; and

10. a statement that no intervening petition was filed.

j) The Board will investigate the Request for Voluntary Recognition.

1. If the Board concludes that the labor organization represents a majority of the employees in an appropriate bargaining unit, and that the petition is otherwise consistent with the Act and this Part, the Board shall certify the labor organization as the exclusive representative of the employees.

2. If the Board determines that there is insufficient evidence to support the claim of majority status, that the proposed bargaining unit is not appropriate, or that the petition otherwise contravenes the Act or this Part, the Board shall dismiss the petition without prejudice to the filing of a representation petition by either the employer or the labor organization or the commencement of voluntary recognition proceedings in an appropriate unit in which the labor organization has majority status.

k) If, after the Board directs an election in a representation proceeding, the employer decides to voluntarily recognize the labor organization, the Request for Voluntary Recognition must be filed within 14 days after service of the Board's Direction of Election. Within seven days after receipt of the Request, if the Board determines that there is insufficient evidence to support the claim of majority status, an election shall be scheduled as expeditiously as possible.

History

• Source: Amended at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.170 Unit Clarification Procedures

a) An exclusive representative or an employer may file a unit clarification petition to clarify or amend an existing bargaining unit when:

1. substantial changes occur in the duties and functions of an existing title, raising an issue as to the title's unit placement;

2. an existing job title that is logically encompassed within the existing unit was inadvertently excluded by the parties at the time the unit was established;

3. a newly created job title is logically encompassed within an existing unit;

4. a significant change takes place in statutory or case law that affects the bargaining rights of employees;

5. a determination needs to be made as to the unit placement of positions in dispute following a majority interest certification of representative issued under subsection 9(a-5) of the Act;

6. a determination needs to be made as to the unit placement of positions in dispute following a certification of representative issued following a direction of election under subsection 9(d) of the Act;

7. the parties have agreed to eliminate a position or title because the employer no longer uses it; and

8. the parties have agreed to exclude some of the positions in a title or classification from a bargaining unit and include others. [5 ILCS 315/9(a-6)]

b) The petition shall be served on the other party by the Board. The petition shall be signed and shall contain the following:

1. the name, address and telephone number of the employer;

2. the name, address and telephone number of petitioner's representative;

3. the name, address, telephone number and affiliation, if any, of the exclusive representative;

4. a specific and detailed description of the existing bargaining unit, including job titles and classifications; and

5. the nature of and reasons for the proposed amendment or clarification.

c) Following the filing of a unit clarification petition, the Board shall provide the employer with a Notice to Employees that shall be posted on bulletin boards and other places where notices to employees in the bargaining unit are customarily posted. The Notice to Employees shall remain posted for at least the 20 day period specified by the Board in the Notice.

d) The responding party may file a response to the petition within 20 days following service of the petition.

e) The Board or its agent shall investigate the petition. After the investigation, the Executive Director shall dismiss the petition, set the matter for hearing, or issue an order clarifying the unit. Parties may appeal the dismissal or the order clarifying the unit in accordance with Section 1200.135. If the matter is set for hearing, the hearing shall be held in accordance with Section 1210.107.

1. Interested persons desiring to intervene in the hearing shall submit a written request to the Administrative Law Judge. The Administrative Law Judge shall have discretion to grant or deny intervention. The decision shall be based upon the interests of the intervenor, whether those interests will be adequately protected by existing parties, and the timeliness of the intervenor's request.

2. The Administrative Law Judge may schedule a prehearing conference or request prehearing briefs when it appears that doing so would expedite the procedure.

3. The Administrative Law Judge shall inquire into all matters in dispute and shall obtain a full and complete record. Following the close of the hearing, the Administrative Law Judge shall file and serve upon the parties a recommended disposition of the matter.

4. Parties may appeal the Administrative Law Judge's recommended decision and order in accordance with Section 1200.135.

History

• Source: Amended at 48 Ill. Reg. 18017, effective December 5, 2024

80 Ill. Adm. Code 1210.175 Stipulated Unit Clarification Procedures

a) The parties may stipulate to a unit clarification. The parties shall file with the Board a unit clarification petition indicating their stipulation. Following the filing of such a petition, the Board shall provide the employer with a Notice to Employees of the Stipulated Unit Clarification. The Board-issued Notice to Employees of the Stipulated Unit Clarification shall be posted on bulletin boards and at other places where notices to employees in the bargaining unit are customarily posted. The Notice to Employees shall advise employees of the terms of the stipulation and direct persons objecting to the stipulation to file objections with the Board. The Notice shall remain posted for the 20 day period specified in the Notice to Employees. The employer shall take reasonable steps to ensure that the Notice is not removed or defaced during the posting period.

b) During any posting period under this Section, interested parties may file objections with the Board. Objections shall be served on the employer and the exclusive representative prior to, or simultaneously with, their filing with the Board. If objections are not timely filed and/or properly served, the objections shall be deemed waived.

c) Following the posting period, if no objections have been filed, the Board shall approve or disapprove the unit clarification depending upon whether the amendment or clarification is consistent with the Act. If objections have been filed, the Board shall proceed in accordance with Section 1210.170(e).

History

• Source: Added at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.180 Procedures for Amending Certifications

a) An exclusive representative shall file a petition with the Board to amend its certification whenever there is a change in its name or structure. An employer or exclusive representative shall file a petition to amend a unit certification whenever there is a change in the employer's structure or when the certification incorrectly identifies the bargaining unit or contains any other errors. The petition shall be served by the Board on any employer, or exclusive representative, who is not the petitioner. The petition shall be signed, under penalty of perjury, and shall contain:

1. the name, address and telephone number of the employer;

2. the name, address, telephone number and affiliation, if any, of the exclusive representative, as certified by the Board;

3. the name, address and telephone number of petitioner's representative;

4. a description of the proposed amendment; and

5. the reasons for the proposed amendment.

b) The employer shall post a Notice to Employees of the proposed amendment in accordance with Section 1210.170(c).

c) Interested persons, including the employer, may file objections to the proposed amendment with the Board during the posting period. Objections shall be served on the petitioner prior to, or simultaneously with, filing with the Board.

d) If, at the conclusion of the posting period, no objections have been filed, the Board may approve or disapprove the amendment or take any other action necessary to effectuate the purposes and policies of the Act.

e) If objections have been filed during the posting period, the Board shall proceed in accordance with Section 1210.170(e).

History

• Source: Amended at 27 Ill. Reg. 7393, effective May 1, 2003

80 Ill. Adm. Code 1210.190 Expedited Elections Pursuant to Section 10(b)(7)(c) of the Act

a) Whenever a labor organization is engaged in activities as set forth in Section 10(b)(7)(C) of the Act, the employer may file a petition for an expedited election.

b) Labor organizations and employees may not file petitions for expedited elections.

c) A petition for an expedited election shall contain the same information as set forth in Section 1210.40 of this Part for representation petitions. A petition for an expedited election shall also contain a detailed statement describing the picketing, including the date the picketing began. The petition shall be accompanied by evidence, including relevant documents and affidavits, supporting the employer's allegation of activities as set forth in Section 10(b)(7)(C) of the Act. The petition shall be served by the Board on the labor organization.

d) The Board shall investigate the petition. The investigation shall include an expedited hearing where one is necessary to resolve disputed issues of fact concerning the appropriateness of the bargaining unit or the appropriateness of an expedited election. The parties shall be given at least 24 hours notice of the hearing.

e) If, after investigation, the Board determines that recognitional or organizational picketing within the meaning of Section 10(b)(7)(C) of the Act is continuing, it shall direct an expedited election. The order directing an expedited election shall establish the bargaining unit, the date for the election, and the number of observers that the parties may have.

f) The expedited election shall be conducted on site, in accordance with Section 1210.140. Objections to the election may be filed in accordance with Section 1210.150.

g) After completion of the election, any continuation of the activities as set forth in Section 10(b)(7)(C) of the Act or any threat to continue such activities shall constitute a violation of Section 10(b)(7)(B) of the Act.

History

• Source: Amended at 27 Ill. Reg. 7393, effective May 1, 2003

Part 1220 Unfair Labor Practice Proceedings

80 Ill. Adm. Code 1220.10 General Statement of Purpose

The regulations contained in this Part detail the procedures for initiating, processing and resolving charges that an employer or a labor organization has committed, or is committing, an unfair labor practice in violation of Sections 10(a) and 10(b) of the Illinois Public Labor Relations Act (Act) [5 ILCS 315].

History

• Source: Amended at 27 Ill. Reg. 7436, effective May 1, 2003

80 Ill. Adm. Code 1220.20 Filing of a Charge

a) An unfair labor practice charge may be filed with the Board by an employer, a labor organization, or an employee.

b) Unfair labor practice charges shall be on a form developed by the Board, shall be signed by the charging party, and shall contain:

1. the name, address, telephone number and affiliation, if any, of the charging party;

2. the name, address, telephone number and affiliation, if any, of the respondent;

3. the name, address and telephone number of the charging party's representative;

4. a clear and complete statement of facts supporting the alleged unfair labor practice, including dates, times and places of occurrence of each particular act alleged, and the Sections of the Act alleged to have been violated;

5. a statement as to whether a grievance concerning the same, similar or related issue as the charge is pending; and

6. a statement of the relief sought, provided that the statement shall not limit the Board's ability to award relief based on the record.

c) The charging party shall serve a copy of the charge upon the respondent. Service may be made personally, or by registered mail, certified mail, regular mail, or private delivery service. With the permission of the person receiving the charge, service may be made by fax transmission, by email, or by any other agreed-upon method. The Board shall serve a courtesy copy of the charge upon the respondent, but timely service of a copy of the charge within the meaning of Section 11(a) of the Act is the exclusive responsibility of the charging party and not of the Board.

d) Unfair labor practice charges must be filed with the Board and served on the respondent no later than 6 months after the alleged unfair labor practice occurred.

e) Before the Executive Director issues a complaint for hearing or dismissal, the charging party may amend its unfair labor practice charge. Filing, service, and proof of service of an amended charge shall be made in accordance with 80 Ill. Adm. Code 1200.20.

f) The charging party may withdraw an unfair labor practice charge. If the charge is pending at the investigative or hearing stage, the charging party may write a letter to the Executive Director, requesting that the charge be withdrawn. Upon receipt of the request, the Executive Director will grant or deny the request for withdrawal of the charge. If the charge is pending before the Board, the charging party may write a letter to the General Counsel requesting the charge be withdrawn. Upon receipt of the request, the General Counsel will grant or deny the request for withdrawal of the charge.

History

• Source: Amended at 44 Ill. Reg. 17701, effective October 26, 2020

80 Ill. Adm. Code 1220.30 Appointment of Counsel (renumbered)

History

• Source: Renumbered to Section 1220.105 at 27 Ill. Reg. 7436, effective May 1, 2003

80 Ill. Adm. Code 1220.40 Charge Processing and Investigation, Complaints and Responses

a) The Board or its agent shall investigate the charge. The investigation may include an investigatory conference with the parties.

1. The charging party shall submit to the Board or its agent all evidence relevant to or in support of the charge. The evidence may include documents and affidavits. If the charging party does not comply with the agent's requests for information and documents, the agent may recommend dismissal of the charge.

2. Upon request by the Board or its agent, the respondent may submit a complete account of the facts, a statement of its position in respect to the allegations set forth in the charge and all relevant evidence in support of its position. The evidence may include documents and affidavits.

3. If the investigation reveals that the charge involves an issue of law or fact [5 ILCS 315/11(a)] sufficient to warrant a hearing, the Board or the Executive Director shall issue a complaint for hearing. The complaint shall state the issues that warrant a hearing and shall be served on the respondent and the charging party.

4. If the charge does not state a claim on its face or if the investigation reveals that there is no issue of law or fact sufficient to warrant a hearing, the Executive Director shall dismiss the charge. The charging party may appeal the dismissal in accordance with 80 Ill. Adm. Code 1200.135.

b) Whenever the Executive Director issues a complaint for hearing, the respondent shall file an answer within 15 days after service of the complaint and deliver a copy to the charging party by ordinary mail to the address set forth in the complaint. Answers shall be filed with the Board with attention to the designated Administrative Law Judge.

1. The answer shall include a specific admission, denial or explanation of each allegation or issue of the complaint or, if the respondent is without knowledge thereof, it shall so state and such statement shall operate as a denial. Admissions or denials may be made to all or part of an allegation but shall fairly meet the circumstances of the allegation.

2. The answer shall also include a specific, detailed statement of any affirmative defenses.

3. Parties who fail to file timely answers shall be deemed to have admitted the material facts and legal conclusions alleged in the complaint. The failure to answer any allegation shall be deemed an admission of that allegation. Failure to file an answer shall be cause for the termination of the proceeding and the entry of an order of default. Filing of a motion will not stay the time for filing an answer.

4. Leave to file a late answer shall only be granted by the Administrative Law Judge if the late filing is due to extraordinary circumstances, which will include, among other things: fraud, act or concealment of the opposing party, or other grounds traditionally relied upon for equitable relief from judgments.

History

• Source: Amended at 27 Ill. Reg. 7436, effective May 1, 2003

80 Ill. Adm. Code 1220.50 Hearings

a) Upon the issuance of a complaint for hearing, the Board shall set the matter for hearing before an Administrative Law Judge. The hearing shall be set not less than 5 days after serving of such complaint. (Section 11(a) of the Act)

b) Interested persons who wish to intervene in the hearing shall direct such requests to the Administrative Law Judge. Motions shall be made in accordance with 80 Ill. Adm. Code 1200.45. The request shall be in writing and shall state the grounds for intervention. The Administrative Law Judge shall have discretion to grant or deny the request for intervention. The decision shall be based upon the interests of the intervenor, whether those interests will be adequately protected by existing parties, and the timeliness of the intervenor's request.

c) Pursuant to 80 Ill. Adm. Code 1200.40, the Administrative Law Judge may schedule a pre-hearing conference when it appears that such a conference would expedite the procedure.

d) Intermediate rulings of the Administrative Law Judge shall not be subject to interlocutory appeal. Parties may raise objections to intermediate rulings in their exceptions to the Administrative Law Judge's recommended decision.

e) The charging party shall present its case in support of the charge. The charging party shall have the burden of proving the allegations of its unfair labor practice charge. The respondent may present evidence in support of its defense.

f) Any audio or video file that a party wishes to introduce into evidence must be provided to the Administrative Law Judge in advance of the hearing on a CD-ROM or DVD, and also as an email attachment. Four copies of the CD-ROM or DVD must be submitted in total to the Administrative Law Judge.

g) The Administrative Law Judge, on the Judge's own motion or on the motion of a party, may amend a complaint to conform to the evidence presented in the hearing or to include uncharged allegations at any time prior to the issuance of the Judge's recommended decision and order.

h) The Administrative Law Judge shall inquire fully into all matters in dispute, and shall obtain a full and complete record either by evidentiary hearing and/or stipulation. After the close of the hearing, the Administrative Law Judge shall file and serve on the parties a recommended decision.

i) If the charging party fails to appear at the hearing after proper service of notice, the Administrative Law Judge shall dismiss for want of prosecution. If the respondent fails to appear, the Administrative Law Judge shall proceed in the absence of the respondent and issue a recommended decision and order.

j) All exceptions, cross-exceptions, responses and cross-responses to the Administrative Law Judge's recommended decision and order shall be filed and served in accordance with 80 Ill. Adm. Code 1200.135.

History

• Source: Amended at 48 Ill. Reg. 18025, effective December 5, 2024

80 Ill. Adm. Code 1220.60 Consideration by the Board (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7436, effective May 1, 2003

80 Ill. Adm. Code 1220.65 Deferral to Arbitration

a) The Board may, on its own motion or the motion of a party, defer the resolution of an unfair labor practice charge to the grievance arbitration procedure contained in a collective bargaining agreement.

b) A party may file a motion to defer the resolution of an unfair labor practice charge:

1. at any time during the investigation prior to the issuance of a complaint for hearing, dismissal, or deferral order. The motion shall be made in writing to the Board agent investigating the unfair labor practice charge and shall be served in accordance with 80 Ill. Adm. Code 1200.20; and

2. within 25 days after the issuance of a complaint for hearing. The motion shall be made in writing to the Administrative Law Judge assigned to the case and shall be served in accordance with 80 Ill. Adm. Code 1200.20.

c) Responses and any other answering documents, including memoranda and affidavits, must be filed within 5 days after service of the motion, or as otherwise required by the Administrative Law Judge or the Board. Responses must be served in accordance with 80 Ill. Adm. Code 1200.20.

d) If the motion to defer the resolution of an unfair labor practice charge is made during the investigation, the Executive Director will rule on the motion by issuance of an order or a complaint for hearing. Parties may appeal the Executive Director's orders in accordance with 80 Ill. Adm. Code 1200.135(a). Complaints for hearing are not appealable. If the motion to defer the resolution of an unfair labor practice charge is made after the issuance of a complaint for hearing, the Administrative Law Judge shall rule on the motion in accordance with 80 Ill. Adm. Code 1200.45.

History

• Source: Amended at 46 Ill. Reg. 15593, effective September 1, 2022

80 Ill. Adm. Code 1220.70 Requests for Preliminary Relief

The charging party may request the Board to seek preliminary relief pursuant to Section 11(h) of the Act. The charging party shall have the burden of demonstrating to the General Counsel that if preliminary relief is not sought it will suffer irreparable harm and that the remedies available from the Board will be inadequate. Any request to seek such preliminary relief shall be in writing and accompanied by affidavits, documents or other evidence supporting the request. All requests shall be filed with the General Counsel and shall be served on the other party simultaneously with their filing with the Board.

History

• Source: Amended at 17 Ill. Reg. 15628, effective September 13, 1993

80 Ill. Adm. Code 1220.80 Compliance Procedures

a) Whenever it appears that any person has violated a final order of the Board issued pursuant to Section 11 of the Act, the Board must commence an action in the name of the People of the State of Illinois by petition, alleging the violation, attaching a copy of the order of the Board, and praying for the issuance of an order directing the person, his officers, agents, servants, successors, and assigns to comply with the order of the Board. (Section 11(f) of the Act)

b) Parties may request that the Board seek enforcement of the Board's order pursuant to Section 11(f) of the Act. Requests shall be in the form of a petition for enforcement filed with the Board and served upon the other parties, in accordance with 80 Ill. Adm. Code 1200.20. The petition shall set forth specifically the manner in which the respondent has failed to voluntarily comply with the Board's order, or ALJ's recommended order in cases in which the Board has declined to review the ALJ's order.

c) The compliance officer shall investigate the information in the petition and shall issue and serve upon the parties, no later than 75 days after the filing of the petition, an order dismissing the petition, directing specifically the actions to be taken by the respondent, or setting the matter for hearing before an ALJ.

d) If a party fails or refuses to respond to a compliance officer's request for information, the compliance officer shall make the determinations based on the evidence presented.

e) No later than 7 days after service of the compliance officer's order dismissing the petition or directing action by the respondent, the parties may file objections to the compliance order. The objections shall:

1. set forth specifically the finding, order or omission to which the objection is taken; and

2. set forth specifically the grounds for the objection, and be accompanied by any available supporting documentation, specific calculations and requests for subpoenas.

f) Any objection to a finding, order or omission not specifically urged shall be deemed waived. In the event that objections are filed by any party, the Board shall set the matter for hearing before an ALJ.

g) Parties may appeal the ALJ's recommended compliance decision and order in accordance with 80 Ill. Adm. Code 1200.135.

h) An aggrieved party may apply to the Appellate Court for a stay of the enforcement of the Board's order after the aggrieved party has followed the procedure prescribed by Supreme Court Rule 335. (Section 11(e))

1. Pursuant to Supreme Court Rule 335(g), "application for a stay of a decision or order of an agency pending direct review in the Appellate Court shall ordinarily be made in the first instance to the agency."

2. Applications for a stay of a decision or order issued by the Board shall be made by motion filed with the General Counsel pursuant to 80 Ill. Adm. Code 1200.45, for consideration and ruling by the Board.

History

• Source: Amended at 49 Ill. Reg. 12059, effective September 10, 2025

Chapter IV Illinois Labor Relations Board

Part 1220 Unfair Labor Practice Proceedings

80 Ill. Adm. Code 1220.90 Sanctions

a) The Board's order may in its discretion include an appropriate sanction, based on the Board's rules and regulations, if the other party has made allegations or denials without reasonable cause and found to be untrue or has engaged in frivolous litigation for the purpose of delay or needless increase in the cost of litigation. The State of Illinois or any agency thereof shall be subject to these provisions in the same manner as any other party. (Section 11 of the Act)

b) The Board may award sanctions for such written or recorded allegations or denials, including statements recorded during the course of Board proceedings.

c) The sanction may include an admonition or reprimand; striking an offending allegation or denial; an order to pay the other party or parties' reasonable expenses, including costs and reasonable attorney's fees or an appropriate portion thereof; and/or any other appropriate sanction. (Section 11 of the Act) Sanctions are to be awarded only against a party or parties to the proceeding.

d) Any party to an unfair labor practice proceeding may move for sanctions. The motion for sanctions must be a succinct statement identifying the allegations and/or denials and/or incidents of frivolous litigation alleged to be subject to sanctions, with citations to the record, and succinct arguments. (Section 11 of the Act) The party subject to the motion for sanctions shall have 14 days after service of the motion to respond or withdraw the paper or position that is the basis of the motion. Neither the motion for sanctions nor the response may be used as an additional brief on the merits of the underlying case.

1. Motions for sanctions may be filed with the Executive Director while an unfair labor practice charge is pending before the Executive Director. Sanctions before the Executive Director may only be sought for instances of frivolous litigation. Motions shall be filed no later than 7 days after receipt of the Executive Director's notice that investigation of the unfair labor practice charge has been completed, or that a party has withdrawn the unfair labor practice charge.

2. Once an unfair labor practice complaint has been issued, motions for sanctions may be filed with the Administrative Law Judge. Sanctions before the Administrative Law Judge may be sought for both allegations or denials made without reasonable cause and found to be untrue and/or instances of frivolous litigation. (Section 11 of the Act.) Motions shall be filed no later than 7 days after receipt of the last post-hearing brief scheduled to be filed, or no later than 7 days after the close of the hearing, if no briefs are to be filed.

3. Once the Administrative Law Judge has issued a recommended decision and order, or the Executive Director has issued an order dismissing an unfair labor practice charge, the motion and order is pending before the Board. Motions for sanctions shall be filed no later than 7 days after receipt of the last brief scheduled to be filed with the Board, or no later than 7 days after oral argument before the Board, if such argument occurs after all briefing is completed. Sanctions before the Board may be sought for either allegations or denials made without reasonable cause and found to be untrue and/or instances of frivolous litigation. (Section 11 of the Act)

e) A party may request sanctions from the Board for allegations or denials made without reasonable cause and found to be untrue even though it did not move for sanctions on that allegation or denial before the Administrative Law Judge, and even though the Administrative Law Judge did not recommend sanctions on such allegations or denials. (Section 11 of the Act)

f) A party may not request sanctions from the Board for alleged frivolous litigation for the purpose of delay or needless increase in the cost of litigation before the Executive Director or Administrative Law Judge, unless it requested sanctions from the Executive Director or Administrative Law Judge as to such alleged incident of frivolous litigation, or unless the Executive Director or Administrative Law Judge recommended sanctions as to such alleged incident of frivolous litigation. (Section 11 of the Act)

g) Except as provided in subsection (h) below, an order for sanctions shall be included in the Executive Director's order, the Administrative Law Judge's recommended decision and order, or the Board decision and order.

h) If neither party has moved for sanctions, the Executive Director, Administrative Law Judge, or Board may sua sponte issue an order to show cause why sanctions are not warranted. The party or parties to whom the order to show cause is directed shall have 14 days from the service of that order to file a response. The order to show cause shall recite the conduct or circumstances at issue.

i) An order leveling sanctions shall recite the conduct or circumstances for which sanctions are sought, and explain the basis for the sanction imposed.

History

• Source: Amended at 27 Ill. Reg. 7436, effective May 1, 2003

80 Ill. Adm. Code 1220.100 Unfair Labor Practice Charges Involving Fair Share Fees and Unlawfully-Collected Dues

a) Unfair Labor Practice Charges Involving Fair Share Fees

1. Unfair labor practice charges that proportionate share fees violate the Act shall be filed and processed in accordance with this Part.

2. The Board shall consolidate charges involving proportionate share fees in accordance with 80 Ill. Adm. Code 1200.105. Specifically, the Board shall consolidate in a single proceeding all proportionate share fee charges involving the same bargaining unit. The Board shall consolidate charges involving two or more bargaining units whenever it determines that the exclusive representatives are affiliated with a common employee organization, the exclusive representatives use similar methods for determining fair share fees, the consolidation would not prejudice the constitutional and statutory rights of the objecting employees, and the consolidation would resolve the charges in an efficient manner.

3. In hearings on fair share fee charges, the exclusive representative shall have the burden of proving how the fair share fee was calculated and that the fee did not exceed the employee's proportionate share of the costs of the collective bargaining process, contract administration and pursuing matters affecting wages, hours and conditions of employment. (Section 3(g) and (e) of the Act)

b) Unfair Labor Practice Charges Involving Unlawfully-Collected Dues

1. Unfair labor practice charges that a labor organization has unlawfully collected dues from a public employee in violation of the Act shall be filed and processed in accordance with this Part.

2. In cases in which a public employee alleges that a labor organization has unlawfully collected dues, the public employer shall continue to deduct the employee's dues from the employee's pay, but shall transmit the dues to the Board for deposit in an escrow account maintained by the Board. (Section 6(f-35) of the Act)

3. An exclusive representative must maintain an escrow account for the purpose of holding dues deductions to which employees have objected.

4. The employer shall transmit the entire amount of dues to the exclusive representative, and the exclusive representative shall hold them in escrow.

5. An escrow account maintained by an exclusive representative shall meet the following standards:

A) The account shall be maintained in a federally insured financial institution.

B) The account shall earn interest of at least the rate provided by commercial banks for regular passbook savings accounts.

C) If the account combines the dues of more than one objector, separate records must be kept of each objector's dues, prorating the interest earned on the account.

D) The escrow account may contain the fees of objecting employees in different bargaining units.

E) Any charges resulting from a financial institution for the cost of maintaining an escrow account shall be borne by the exclusive representative.

History

• Source: Amended at 45 Ill. Reg. 1880, effective February 1, 2021

80 Ill. Adm. Code 1220.105 Appointment of Counsel

a) A charging party may file a request for appointment of counsel simultaneously with or after filing a charge. The request shall be on a form developed by the Board. It shall be accompanied by an affidavit attesting to the charging party's inability to pay or inability to otherwise provide for adequate representation. (Section 5(k) of the Act) It shall also be accompanied by affidavits, documents or other evidence supporting the charge.

b) A charging party shall be deemed unable to pay or provide for adequate representation if the party's "Adjusted Income" is less than the amount set forth in Table A to this Part for a "Family Unit" of the applicable size, and if this person is not entitled to representation from a labor organization (or such representation would be inappropriate) or under the provisions of a prepaid legal services plan or similar arrangement. As an example, instances when representation by a labor organization would be inappropriate include when an individual files charges against a labor organization.

c) For purposes of this Section, "Adjusted Income" refers to all gross income available to the charging party for the prior year from wages, pensions, annuities, insurance or public assistance benefits, interest and dividends, and other such sources, including liquid assets such as savings and checking accounts, stocks, bonds and similar investments, less the following deductions for the prior year:

1. Child care and court-ordered child support payments;

2. That portion of educational and medical expenses which exceeds 5 percent of total gross income;

3. Unreimbursed expenses of obtaining and maintaining employment; and

4. An amount equivalent to 20 percent of wages earned, to approximate withholding for taxes and social security and the like.

d) For purposes of this Section, "Family Unit" means the charging party and all other persons related to the charging party by blood, marriage or adoption who reside in the charging party's household and are dependent upon the charging party for at least one half of their support.

e) If the Board or its designated representative determines that the charging party is unable to pay or is otherwise unable to provide for adequate representation, and that the charge is not clearly without merit, the charging party shall select counsel from a list of attorneys maintained by the Board.

f) Counsel selected by the charging party shall certify to the Board:

1. That they are licensed to practice law in Illinois under the rules of the Illinois Supreme Court.

2. That they have previous experience as the representative of parties in the trial or hearing of contested cases. An attorney without trial experience, including a law student certified to practice under Rule 711 of the Illinois Supreme Court, shall satisfy this requirement if actively supervised and accompanied at hearing by an attorney with previous trial experience, in which case the supervising attorney shall make the certification.

3. That they accept appointment in return for compensation from the Board at the rate of $75 per hour ($30 per hour for the time of law students and paralegals) plus costs, i.e., copying documents, subpoena fees, and subject to a maximum compensation limit of $5000 in any single cause. The maximum limit of $5000 may be increased in a particular case upon application to the Board if the circumstances of the case, including the number and complexity of the issues, demand the investment of time and expenses exceeding the limitation.

4. That they will maintain contemporaneous, careful records of time and expenses devoted to the case and will supply copies or summaries to the Board, together with bills for services rendered, at least monthly for each month in which time or costs are accrued.

g) Payment for personal services at the hourly rate is due upon completion of the Board proceedings in the cause. Payment of costs up to a total of $500 are payable on a monthly basis for the month in which the costs are incurred. Costs totalling more than $500 are payable at the completion of the proceedings before the Board and may be incurred only with prior approval of the Board, e.g., in instances in which issues presented are numerous or call for numerous witnesses.

h) An attorney appointed by the Board to represent a charging party pursuant to this Section shall not withdraw from such employment without approval of the Board or its Administrative Law Judge.

History

• Source: Renumbered from Section 1220.30 and amended at 27 Ill. Reg. 7436, effective May 1, 2003.

80 Ill. Adm. Code 1220.TABLE A "adjusted Income" Standards for Appointment of Counsel in Unfair Labor Practice Cases

Size of

Family Unit

Adjusted Annual Income Limit

1

$ 8,860

2

11,940

3

15,020

4

18,100

5

21,180

6

24,260

History

• Source: Amended at 27 Ill. Reg. 7436, effective May 1, 2003

Part 1230 Impasse Resolution

80 Ill. Adm. Code 1230.10 General Statement of Purpose

a) In creating this Part it is the Board's intent to be cognizant of the interests of labor organizations, public employers and employees, and the general public in assuring stable labor relations in the public sector. In pursuit of this objective, it is incumbent upon both labor organizations and public employers to adhere to and comply with the rules and regulations set forth in this Part, particularly those provisions that set forth time periods and those provisions that set forth requirements for filing, with the Board, contracts, bargaining notices and other documents.

b) The regulations contained in this Part detail the procedures for giving required notices during collective bargaining, for resolving impasses in collective bargaining, for making appointments to the Illinois Public Employees Mediation/Arbitration Roster, and for the selection of mediators, fact-finders and arbitrators from the Roster. The regulations in this Part implement the policies of the Illinois Public Labor Relations Act (Act) [5 ILCS 315] to provide peaceful and orderly procedures to protect the rights of public employers, public employees, labor organizations and the general public, to prevent labor strife and to protect the public health and safety.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.20 Definitions (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.30 General Purpose of This Subpart

Security officers of public employers, and peace officers, firefighters and fire department and fire protection district paramedics may not withhold services, nor may public employers lock out or prevent such employees from performing services at any time. (Section 14(m) of the Act) This Subpart implements the public policy of the State of Illinois that where the right of employees to strike is prohibited by law, it is necessary to afford an alternate, expeditious, equitable and effective procedure for the resolution of labor disputes subject to approval procedures mandated by the Act. (Section 2 of the Act) To achieve this policy objective, it is incumbent upon the parties to comply with the procedures established and to observe the time periods provided in this Subpart.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.40 Filing of Contracts (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.50 Bargaining Notices for Protective Services Units

a) The following notice requirements shall apply when the parties are bargaining for a successor contract:

1. Pursuant to Section 7 of the Act, any party wishing to terminate or modify an existing collective bargaining agreement shall serve on the other party a written Notice of the Intent to Terminate or Modify. The Notice shall be served on the other party 60 days prior to the scheduled termination date of the existing agreement. A copy of the Notice shall be filed with the Board by the party wishing to terminate or modify at the same time it is served on the other party. The Notice filed with the Board shall reference the existing contract's number as assigned by the Board.

2. If, no later than 30 days after service of the Notice of Intent to Terminate or Modify, the parties have not reached agreement on a new contract, the party who filed the Notice shall serve on the other party and the Board a Notice of No Agreement. The Notice shall be on a Board-designated form and shall set forth:

A) whether the parties are engaged in mediation and, if so, with whom;

B) if the parties are not in mediation, whether the parties desire the Board's assistance in obtaining mediation;

C) if the parties are not in mediation and do not require the Board's assistance in obtaining mediation, a statement from the parties that they are fully aware of the mandate of Section 14 of the Act that they engage in mediation 30 days prior to the expiration of a contract.

b) The following notice requirements shall apply when the parties are bargaining for an initial contract:

1. Any time after the Board certifies an exclusive representative or at any time when there exists a valid historical bargaining relationship but no current contract, any party may serve on the other party a written demand for bargaining. A copy of the demand for bargaining shall be filed with the Board by the party making the demand at the same time it is served on the other party. The parties shall begin bargaining at any reasonable time after the demand is filed and served.

2. Thirty days after the initial bargaining session between the parties, the party who filed the demand for bargaining shall file with the Board a Notice of Status of Negotiations. The Notice shall be on a Board-designated form and set forth:

A) whether the parties are engaged in mediation and, if so, with whom;

B) if the parties are not in mediation, whether the parties desire the Board's assistance in obtaining mediation.

c) Upon completing negotiations for either a successor or initial contract, the parties shall file with the Board a copy of the contract pursuant to 80 Ill. Adm. Code 1200.145.

History

• Source: Amended at 41 Ill. Reg. 4510, effective April 17, 2017

80 Ill. Adm. Code 1230.60 Mediation

a) Parties concerned with protective services units shall commence mediation as follows, unless provided for in an alternative impasse procedure under Section 14(p) of the Act:

1. In bargaining for a successor contract, unless the parties mutually agree to some other time limit, 30 days prior to expiration of the contract. (Section 14(a) of the Act)

2. In bargaining for an initial contract mediation shall commence upon 15 days of notice from either party or at such later time as the mediation services chosen pursuant to Section 12(b) of the Act can be provided to the parities. (Section 14(a) of the Act)

b) If the parties desire Board assistance in engaging a mediator, they shall file a Request for Mediation with the Board on a Board-designated form. The Board shall provide the parties with a panel of at least 3 mediators listed on the Public Employees Mediation/Arbitration Roster. The parties shall have 7 days from receipt of the list to choose one of the persons on the panel or any other person they choose to serve as mediator. If, at the end of this 7-day period, the parties have not notified the Board of their selection, the Board shall appoint a mediator.

c) Mediation shall be conducted as follows:

1. The function of the mediator shall be to communicate with the employer and the exclusive representative or their representatives and to endeavor to bring about an amicable and voluntary settlement. (Section 14(a) of the Act)

2. The mediator may hold joint and separate conferences with the parties. The conferences shall be private unless the parties otherwise agree.

3. Information disclosed by a party to a mediator in the performance of mediation functions shall not be disclosed voluntarily or by compulsion. All files, records, reports, documents, or other papers prepared by a mediator shall be considered confidential. The mediator shall not produce any such confidential records of, or testify in regard to, any mediation conducted by him, on behalf of any party to any cause pending in any type of proceeding.

4. The mediator shall keep the Board apprised of the status of the negotiations.

d) Compensation for the mediator shall be paid equally by the parties;, however, if either party requests the use of mediation services from the federal mediation and conciliation service, the other party shall either join in such request or bear the additional cost of mediation services from another source. (Section 14(a) of the Act)

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.70 Demand for Compulsory Interest Arbitration

a) When negotiating for an initial contract or a successor contract, if any dispute has not been resolved within 15 days after the first meeting of the parties and the mediator, or within such other time limit as may be mutually agreed upon by the parties (Section 14(a) of the Act), either party may file on the other party a Demand for Compulsory Interest Arbitration.

b) Demands for compulsory interest arbitration shall also be filed with the Board on a Board-designated form and shall include the names, addresses and telephone numbers of the parties and their representatives, the contract number and expiration date of the existing contract if there is one, the date mediation began or was waived or refused, the date the Notice of No Agreement was filed or, in initial contract negotiations, the date the Notice of Status of Negotiations was filed.

c) Arbitration procedures shall be deemed to be initiated by the filing of a request for mediation. (Section 14(j) of the Act)

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.80 Composition of the Arbitration Panel

a) Unless otherwise agreed to in writing by the parties, the arbitration panel shall consist of 3 members: the employer's delegate, the exclusive representative's delegate and the neutral chairman.

b) Selection of the neutral chairman shall proceed as follows:

1. Within 7 days after receipt of a timely filed Demand for Compulsory Interest Arbitration, the Board shall send the parties a list of 7 interest arbitrators selected from the Illinois Public Employees Mediation/Arbitration Roster, unless the parties have notified the Board of an agreement to use an alternate source of interest arbitrator. The parties may agree to use an alternate source of interest arbitrators at any time prior to appointment of an arbitrator by the Board.

2. The parties may select an individual on the list provided by the Board or any other individual mutually agreed upon by the parties. Within 7 days following the receipt of the list, the parties shall notify the Board of the person they have selected. Unless the parties agree on an alternate selection procedure, they shall alternatively strike one name from the list provided by the Board until only one name remains. A coin toss shall determine which party shall strike the first name. (Section 14(c) of the Act)

3. If the parties fail to notify the Board of their selection for neutral chairman, the Board shall appoint, at random, a neutral chairman from the Illinois Public Employees Mediation/Arbitration Roster. (Section 14(c) of the Act)

4. The parties may request a second panel of arbitrators only upon agreement of the parties. In the event a party objects to one or more members of the panel, the party shall notify the Executive Director of its objection within 5 days after receipt of the list of arbitrators. If the Executive Director believes that it is appropriate to include the arbitrator on the list, the parties shall continue the selection process provided in Section 1230.80(b)(2). If the Executive Director believes that it is inappropriate to include the arbitrator on the list due to extenuating circumstances, such as a conflict of interest or incapacity, the Executive Director will send the parties the name of an arbitrator to replace the objectionable name. The parties will follow the procedures set forth in Section 1230.80(b)(2) after receipt of the new list. The fact that an arbitrator had previously represented unions or management in labor relations matters is not sufficient evidence of conflict of interest under this Section. The Executive Director's decision not to remove an arbitrator from the list is not appealable; the objecting party having the objection may seek relief through striking the name of the arbitrator as provided in Section 1230.80(b)(2).

5. If the neutral chairman is unable or unwilling to commence the hearing within 15 days following his or her appointment, or within such additional time period to which the parties may agree pursuant to Section 1230.90(a) of this Part, or if the neutral chairman is otherwise unable or unwilling to serve, the parties shall notify the Board within 5 days. The Board shall provide the parties with a second list of 7 interest arbitrators from the Illinois Public Employees Mediation/Arbitration Roster. Within 7 days after the Board provides the list, the parties shall select an individual from the list or any other individual to serve as neutral chairman. If the parties fail to notify the Board of their selection, the Board shall appoint a neutral chairman. Except in exceptional circumstances, the Board shall not supply the parties with more than 2 lists of interest arbitrators.

c) Within 10 days following the filing of the demand for compulsory interest arbitration, each party shall notify the Board of the name, address and telephone number of its delegate to the interest arbitration panel. Delegates who are public officers or public employees shall continue on the payroll of the public employer during the arbitration proceeding without loss of pay.

d) Upon receipt of the names of the delegates and upon selection of a neutral chairman, the Board shall notify the neutral chairman in writing of the Chairman's appointment. The date of receipt of the notice shall be the date of the neutral chairman's appointment.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.90 Conduct of the Interest Arbitration Hearing

a) The neutral chairman of the arbitration panel shall provide the parties with reasonable notice of a hearing to commence within 15 days following the Chairman's appointment. The parties may agree in writing to extend the time for commencement of the hearing for a period of time not to exceed 90 days. The hearing shall conclude within 30 days following its commencement, unless the parties agree to extend this period.

b) The arbitration panel shall be responsible for choosing the location of the hearing and securing the premises. The Board hereby deems it appropriate for hearings to take place at the location selected by the panel. Requests to use the hearing rooms at the Board's offices must be made to the Board at least 10 days in advance, and will only be granted if space is available.

c) The neutral chairman shall preside over the hearing and shall take testimony. (Section 14(d) of the Act) The neutral chairman shall control the hearing to ensure that it is concluded expeditiously within 30 days after its commencement or within such longer period to which the parties may agree.

d) The neutral chairman shall have the authority to issue subpoenas in accordance with this Section. Subpoenas shall be secured by the neutral chairman from the Board's office. If any person refuses to obey a subpoena, or refuses to be sworn or to testify, or if any witness, party or representative is guilty of contempt while in attendance at the hearing, the neutral chairman may advise the Board's General Counsel. The General Counsel shall request the assistance of the Attorney General to invoke the aid of the circuit court within the jurisdiction in which the hearing is being held. (Section 14(e) of the Act)

e) The arbitration proceeding shall be informal. Technical rules of evidence shall not apply and the competence of evidence shall not thereby be deemed impaired. (Section 14(d) of the Act)

f) The arbitration panel may administer oaths, require the attendance of witnesses and the production of books, papers, contracts, agreements, and documents as may be deemed by it to be material to a just determination of the issues in dispute. (Section 14(e) of the Act)

g) The hearing proceedings shall be transcribed. The arbitration panel shall arrange for the recording and transcription of the proceedings. The costs of recording and transcribing the hearing shall be shared equally by the parties. Any party that desires a copy of the transcript shall be responsible for the cost of its copy.

h) The neutral chairman, if he or she is of the opinion that it would be useful or beneficial to do so, may remand the dispute to the parties for further collective bargaining for a period not to exceed 2 weeks. (Section 14(f) of the Act) The chairman shall notify the Board in writing of any such remand. If the dispute is remanded to the parties, the running of the time period for conclusion of the hearing shall be stayed.

i) Majority actions and rulings shall constitute the actions and rulings of the arbitration panel. (Section 14(d) of the Act)

j) Arbitration proceedings shall not be interrupted or terminated by reason of any unfair labor practice charges involving either party. (Section 14(d) of the Act)

k) Whenever one party has objected in good faith to the presence of an issue before the arbitration panel on the ground that the issue does not involve a subject over which the parties are required to bargain, the arbitration panel's award shall not consider that issue. However, except as provided in subsections (1) and (m), the arbitration panel may consider and render an award on any issue that has been declared by the Board, or by the General Counsel pursuant to 80 Ill. Adm. Code 1200.143(b), to be a subject over which the parties are required to bargain.

l) Arbitration – Peace Officers

1. In arbitration proceedings involving peace officers, the arbitration panel's decision shall be limited to wages, hours and conditions of employment (which may include residency requirements in municipalities with a population under 1,000,000, but those residency requirements shall not allow residency outside of Illinois) and shall not include the following:

A) residency requirements in municipalities with a population of at least 1,000,000;

B) the type of equipment, other than uniforms, issued or used;

C) manning;

D) the total number employees employed by the department;

E) mutual aid and assistance agreements to other units of government; and

F) the criterion pursuant to which force including deadly force, can be used.

2. However, nothing in Section 14(i) of the Act or in this subsection (l) shall preclude an arbitration decision regarding equipment or manning considerations in a specific work assignment involve a serious risk to the safety of a peace officer beyond that which is inherent in the normal performance of police duties. (Section 14(i) of the Act)

m) Arbitration – Firefighters/Paramedics

1. In arbitration proceedings involving firefighters or paramedics employed by fire departments or fire protection districts, the arbitration panel's decision shall be limited to wages, hours and conditions of employment (which may include residency requirements in municipalities with a population under 1,000,000, but those residency requirements shall not allow residency outside of Illinois) and shall not include the following matters:

A) residency requirements in municipalities with a population of at least 1,000,000;

B) the type of equipment (other than uniforms and fire fighter turnout gear) issued or used;

C) the total number of employees employed by the department;

D) mutual aid and assistance agreements to other units of government; and

E) the criterion pursuant to which force, including deadly force, can be used;

2. However, nothing in Section 14(i) of the Act or this subsection (m) shall preclude an arbitration decision regarding equipment levels if that decision is based on a finding that the equipment considerations in a specific work assignment involve a serious risk to the safety of a fire fighter beyond that which is inherent in the normal performance of fire fighter duties. (Section 14(i) of the Act)

3. The limitations of this subsection (m) shall not apply to any provision of a firefighter collective bargaining agreement in effect and applicable as of January 1, 1986.

n) If issues of peace officer manning, or peace officer, firefighter or paramedic equipment, are raised, unless otherwise agreed to by the parties, the panel shall receive evidence concerning the existence of a serious safety risk beyond that which is inherent in the normal performance of the employee's duties and evidence concerning the merits of the issue in the same proceeding.

o) The arbitration panel:

1. shall:

A) determine which issues are in dispute and which of those issues are economic issues;

B) serve a copy of that determination on the parties; and

C) require the parties to submit their final offers of settlement on each economic issue in dispute.

2. need not determine whether, with regard to protective service employees, equipment or manning issues involve serious safety risks beyond that which is inherent in the normal performance of the employees' duties at this stage of the proceeding.

3. may allow the parties reasonable additional time, as determined by the number and the complexity of the issues, for presenting written or oral arguments in support of their positions. The hearing shall be considered concluded when final offers are submitted or when written or oral arguments are presented, whichever is later.

4. when the Board has issued an order or the General Counsel has issued a declaratory ruling, or an issue concerning the mandatory or non-mandatory nature of a matter is in dispute between the parties, allow parties to amend those aspects of their final offers affected by the Board Order or General Counsel's declaratory ruling.

p) The following costs shall be shared equally by the parties:

1. the neutral chairman's fee;

2. costs of recording and transcribing the hearing;

3. the rent, if any, for the hearing room; and

4. all other costs of the proceeding, except for supplemental proceedings necessitated by an employer's rejection of an arbitration award.

History

• Source: Amended at 45 Ill. Reg. 1887, effective February 1, 2021

80 Ill. Adm. Code 1230.100 The Arbitration Award

a) Within 30 days after the conclusion of the hearing or such further additional periods to which the parties may agree (Section 14(g) of the Act), the panel shall issue, serve on the parties, and file with the Board its award and findings of fact. The panel shall file a hard copy and a computer disk copy of the award and findings of fact with the Board. The award shall be considered issued on the date it is served on the parties. The panel shall file a certificate of service with the Board.

b) The award shall contain findings of fact and a written opinion concerning each issue in dispute. The determination of the arbitration panel as to the issues in dispute and as to which of these issues are economic shall be conclusive. (Section 14(g) of the Act) With respect to each economic issue in dispute, the panel shall adopt the final offer of one of the parties, based on the following factors:

1. The lawful authority of the employer (Section 14(h)(l) of the Act);

2. Stipulations of the parties (Section 14(h)(2) of the Act);

3. The interests and welfare of the public and the financial ability of the unit of government to meet these costs (Section 14(h)(3) of the Act);

4. Comparison of the wages and conditions of employment of the employees involved in the arbitration proceeding with the wages, hours and conditions of employment of other employees performing similar services and with other employees generally:

A) In public employment in comparable communities;

B) In private employment in comparable communities (Section 14(h)(4) of the Act);

5. The average consumer prices for goods and services, commonly known as the cost of living (Section 14(h)(5) of the Act);

6. The overall compensation presently received by the employees, including direct wage compensation, vacations, holidays and other excused time, insurance and pensions, medical and hospitalization benefits, the continuity and stability of employment and all other benefits received (Section 14(h)(6) of the Act);

7. Changes in any of the foregoing circumstances during the pendency of the arbitration proceedings (Section 14(h)(7) of the Act);

8. Such other factors, not confined to the foregoing, which are normally or traditionally taken into consideration in the determination of wages, hours and conditions of employment through voluntary collective bargaining, mediation, fact-finding, arbitration or otherwise between the parties, in the public service or in private employment (Section 14(h)(8) of the Act).

c) With respect to each noneconomic issue in dispute, the panel shall base its award on the applicable factors set forth in subsection (b) of this Part.

d) If peace officer manning issues, or peace officer, firefighter or paramedic equipment issues are in dispute, the panel shall first make its findings and conclusions concerning the presence of a serious risk to employee safety beyond that which is inherent in the normal performance of the employee's duties. If the panel finds that such a serious risk exists, the panel shall render an award in accordance with this Part.

e) The commencement of a new municipal fiscal year after the initiation of arbitration procedures (Section 14(j) of the Act) shall not render the proceeding moot. Awards of wage increases may be effective only at the start of the fiscal year beginning after the date of the award; however, if a new fiscal year began after the initiation of arbitration proceedings, an award of wage increases may be retroactive to the beginning of that fiscal year.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.110 Employer Review of the Award

a) All of the terms decided upon by the arbitration panel shall be included in an agreement to be submitted to the public employer's governing body for ratification and adoption by law, ordinance or equivalent appropriate means. (Section 14(n) of the Act)

b) The governing body shall review each term decided by the arbitration panel. (Section 14(n) of the Act)

c) The governing body may reject any terms of the award by a three-fifths vote of those duly elected and qualified members of the governing body. (Section 14(n) of the Act) The rejection vote must occur within 20 days after service of the award. The governing body shall provide written reasons for its rejection and shall serve those reasons on the parties and the neutral chairman no later than 20 days after the rejection vote. The governing body shall file a copy of its reasons and a certificate of service with the Board. The reasons for rejection shall be considered issued on the date that they are served on the neutral chairman.

d) Any terms not rejected in accordance with this Section shall become a part of the parties' collective bargaining agreement.

e) The neutral chairman shall call together the panel and convene a supplemental interest arbitration hearing within 30 days after issuance of the reasons for rejection. The supplemental hearing shall be conducted in accordance with Section 1230.90.

f) The parties may mutually agree to select a different neutral chairman for the supplemental hearing, provided they notify the Board and the original neutral chairman within 7 days after service of the reasons for rejection of the award.

g) All reasonable costs of such supplemental proceedings, including the exclusive representative's reasonable attorney's fees, shall be paid by the employer. (Section 14(o) of the Act) If the employer refuses to pay any costs or attorney's fees, the exclusive representative may submit the costs and/or fees to the Board's General Counsel for a determination of reasonableness. The General Counsel shall certify the amount determined to be reasonable and the employer shall promptly pay that amount to the exclusive representative.

h) Any supplemental award rendered by the arbitration panel shall be subject to governing body review in accordance with this Section.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.120 General Purpose of This Subpart

This Subpart governs employees with the right to strike, provided that certain conditions are met. The Act requires that the parties attempt to mutually resolve their bargaining disputes prior to resorting to a strike. To facilitate amicable settlement between the parties, the Board shall provide, in accordance with this subpart, services of mediators, interest arbitrators and fact-finders. All costs of such services shall be shared equally by the parties.

80 Ill. Adm. Code 1230.130 Filing of Contracts (repealed)

History

• Source: Repealed at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.140 Bargaining Notices for General Public Employee Units

The following notice requirements shall apply when the parties are bargaining for a successor contract for a general public employee unit:

a) Pursuant to Section 7 of the Act, any party wishing to terminate or modify an existing collective bargaining agreement shall serve on the other party a written demand for bargaining. The demand for bargaining shall be served on the other party 60 days prior to the scheduled termination date of the existing agreement. Service of the demand for bargaining continues in full force and effect, without resort to strike or lockout, all the terms and conditions of the existing contract for a period of 60 days after such demand notice is given to the other party or until the expiration date of such contract, whichever occurs later. (Section 7(4) of the Act) A copy of the demand for bargaining shall be filed with the Board by the party making the demand at the same time it is served on the other party. The demand for bargaining shall reference the existing contract's number as assigned pursuant to Section 1230.130 of this Part.

b) Upon completing negotiations for either a successor or initial contract, the parties shall file with the Board a copy of the contract pursuant to Section 1230.130(a)(1) of this Part.

c) Any time after the parties have commenced negotiations, either party may request fact-finding or mediation/arbitration services. Such requests shall be filed in accordance with this Subpart.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.150 Mediation

a) Requests for mediation shall be on a Board-designated form. Joint requests for mediation must be made in writing.

b) Requests for mediation in negotiations for either successor or initial contracts may be made at any time after the parties have commenced negotiations.

c) Requests for mediation shall generally be made jointly. Unilateral requests for mediation may be made only after the party requesting mediation has asked the other party to join in the request and the other party has refused. Unilateral requests for mediation shall be accompanied by a written statement setting forth the circumstances of the other party's refusal to join in the request. Upon receipt of a unilateral request for mediation, the Board shall investigate the request. If the Board's investigation discloses that the request was properly filed under this Part, that bargaining has not resulted in an agreement, and that mediation would assist the parties, the Board shall grant the request. Unilateral requests filed by the exclusive representative in conformance with this Section shall satisfy the precondition for a lawful strike set forth in Section 17(a)(4) of the Act.

d) Whenever the Board grants a request for mediation it shall provide the parties with a panel of at least 3 mediators listed on the Public Employees Mediation/Arbitration Roster. The parties shall have 7 days from receipt of the list to choose one of the persons on the panel or any other person they choose to serve as mediator. If at the end of this 7-day period the parties have not notified the Board of their selection, the Board shall appoint a mediator.

e) Mediation shall be conducted as follows:

1. The function of the mediator shall be to communicate with the employer and the exclusive representative or their representatives and to endeavor to bring about an amicable and voluntary settlement. (Section 12(a) of the Act)

2. The mediator may hold joint and separate conferences with the parties. The conferences shall be private unless the parties otherwise agree.

3. Information disclosed by a party to a mediator in the performance of mediation functions shall not be disclosed voluntarily or by compulsion. All files, records, reports, documents, or other papers prepared by a mediator shall be considered confidential. The mediator shall not produce any confidential records of, or testify in regard to, any mediation previously conducted, on behalf of any party to any case pending in any type of proceeding.

4. The mediator shall keep the Board apprised of the status of the negotiations.

f) Compensation of the mediator shall be paid equally by the parties; however, if either party requests the use of mediation services from the federal mediation and conciliation service, the other party shall either join in such request or bear the additional cost of mediation services from another source. (Section 17(a)(5) of the Act)

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.160 Fact-Finding

a) The parties may agree in writing to the use of fact-finding in resolving their disputes.

b) Requests for fact-finding shall be filed on a Board-designated form and shall be accompanied by a copy of the parties' agreement to use fact-finding.

c) Upon receipt of the request for fact-finding, the Board shall supply the parties with a list of 7 fact-finders listed on the Public Employees Mediation/Arbitration Roster. The parties shall select one individual from the list to serve as fact-finder within 10 days of service of the list. If the parties advise the Board that they are unable to select one of the 7 individuals on the list, the Board shall provide a second list. Except in extraordinary circumstances, the Board shall not provide more than 2 lists. The parties shall notify the Board of the name of the individual they select to serve as fact-finder. Upon being so notified, the Board shall appoint the fact-finder.

d) If fact-finding follows mediation, the parties may agree to use the mediator as fact-finder, provided that the mediator is not a Board employee.

e) The fact-finding hearing shall be conducted as follows:

1. The person appointed as fact-finder shall immediately establish the dates and place of hearing.

2. Upon request, the Board shall issue subpoenas for hearings conducted by the fact-finder.

3. The fact-finder may administer oaths. (Section 13(b) of the Act

f) The fact-finder shall issue a report and findings as follows:

1. The fact-finder shall serve these findings and report on the parties and the Board within 45 days after the fact finder's appointment, unless the parties mutually agree to extend the time period.

2. Within 5 days after service of the findings and report, the fact-finder shall mail the findings and report to all newspapers of general circulation in the community as mutually designated by the parties, unless the parties mutually request otherwise.

g) The costs of the fact-finding proceeding shall be shared equally by the parties.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.170 Voluntary Interest Arbitration

a) The parties may voluntarily agree in writing to use interest arbitration.

b) The parties may request a list of interest arbitrators from the Board by completing a Board-designated form and a copy of their agreement to use interest arbitration. Upon receipt of the request, the Board shall provide the parties a list of up to 7 interest arbitrators from the Public Employees Mediation/Arbitration Roster. If the parties are unable to select an arbitrator from the list provided by the Board, upon request, the Board shall provide a second list of interest arbitrators to the parties. Except under extraordinary circumstances, the Board shall provide no more than 2 lists.

c) The neutral interest arbitrator selected by the parties shall conduct the voluntary interest arbitration in accordance with the agreement of the parties. The interest arbitrator or interest arbitration panel shall use the factors set forth in Section 1230.100(b) of this Part as guidelines in rendering the award.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.180 Strikes

Employees in general public employee units have the right to strike, provided that the following conditions have been met:

a) The employees are represented by an exclusive bargaining representative (Section 17(a)(1) of the Act) that has been certified by the Board or that has a valid claim to status as an historical bargaining representative pursuant to Section 3(f) of the Act.

b) The collective bargaining agreement between the public employer and the public employees, if any, has expired, or such agreement does not prohibit the strike. (Section 17(a)(2) of the Act) Pursuant to Section 8 of the Act, a collective bargaining agreement must contain provisions prohibiting strikes for the agreement's duration and providing for a grievance procedure culminating in final and binding arbitration of disputes over the interpretation of the agreement unless the parties agree to forgo these provisions.

c) The public employer and the labor organization have not mutually agreed to submit the disputed issues to final and binding arbitration. (Section 17(a)(3) of the Act)

d) The exclusive representative has requested a mediator pursuant to Section 12 of the Act and Section 1230.150 of this Part and mediation has been used. (Section 17(a)(4) of the Act)

e) At least 5 days have elapsed after a notice of intent to strike has been given by the exclusive representative to the public employer. (Section 17(a)(5) of the Act) A copy of the notice shall be filed with the Board and shall reference the contract number in cases of negotiations for successor contracts or the certification case number in cases of negotiations for initial contracts. The 5 day time period shall be calculated in accordance with 80 Ill. Adm. Code 1200.30(a) and (b).

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.190 Petitions for Strike Investigations

a) If a strike, which may constitute a clear and present danger to the health and safety of the public is about to occur or is in progress, the public employer concerned may file with the Board a petition for a strike investigation (Section 18(a) of the Act).

b) A petition for a strike investigation shall be on a Board-designated form and shall contain:

1. the name, address and telephone number of the petitioner;

2. the name, address, telephone number and affiliation, if any, of the labor organization that is threatening or conducting the strike;

3. the name, address and telephone number of the parties' representatives;

4. the date that the strike began or is threatened to begin;

5. a detailed description of the danger posed by the strike to the public health and safety.

c) Petitioner shall attach to its petition copies of all relevant evidence, including affidavits, of the existence of a strike or the threat of a strike, and of the existence of a clear and present danger to the health and safety of the public. (Section 18 of the Act)

d) The employer shall serve a copy of the petition on the labor organization prior to or simultaneously with its filing with the Board. Service shall be in person or by overnight delivery.

e) The Board shall investigate the petition. If there are disputed issues of material fact, the Board shall hold an expedited hearing. The Board shall issue its findings within 72 hours following the filing of the petition.

f) If the Board finds that there is no strike or threat of a strike, or that there is no clear and present danger to the health and safety of the public (Section 18 of the Act), or that the employer is otherwise not entitled to relief pursuant to Section 18 of the Act, the Board shall serve its findings on the parties. The employer may refile its petition for a strike investigation only if it alleges that circumstances have changed since the filing of the Board's findings.

g) If the Board finds that there is a strike or a threat of a strike that poses a clear and present danger to the health and safety of the public (Section 18 of the Act), and the Board finds that the employer is otherwise entitled to relief pursuant to Section 18 of the Act, the Board shall serve its findings on the parties.

h) Whenever a court enjoins a strike and orders interest arbitration in accordance with Section 14 of the Act, Section 1230.80 through 1230.110 of this Part shall govern the arbitration.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.200 Grievance Arbitration

a) Unless mutually agreed otherwise, every collective bargaining agreement between an employer and a labor organization that covers employment subject to the Act shall contain a grievance procedure that has as its last step final and binding grievance arbitration. The parties may use the Illinois Public Employees Mediation/Arbitration Roster or any other source for selection of grievance arbitrators.

b) Whenever either party requests, unless the collective bargaining agreement provides for an alternative source, the Board shall provide a panel of up to 7 grievance arbitrators selected from the Illinois Public Employees Mediation/Arbitration Roster. Requests shall be submitted on a Board-designated form. If the parties are unable to select an arbitrator from the first panel, the Board shall provide a second panel. The Board shall not provide more than 2 panels.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

80 Ill. Adm. Code 1230.210 Grievance Mediation

If the parties desire an individual from the Public Employees Mediation/Arbitration Roster to mediate one or more grievances, requests shall be made and processed in the same manner as requests for grievance arbitrators.

80 Ill. Adm. Code 1230.220 Mediation/Arbitration Roster

a) The Board shall establish an Illinois Public Employees Mediation/Arbitration Roster and shall make its services available for mediation, fact-finding, interest arbitration, grievance arbitration, and grievance mediation. The Roster shall list qualified mediators, fact-finders, interest arbitrators, and grievance arbitrators. A person may be qualified in more than one category.

b) Appointment to the Roster shall be based upon a majority vote of the members of the Board, after application by the individual. The application shall be on a form developed by the Board.

c) In making appointments to the Roster, the Board shall consider such factors as experience and training, membership on other recognized mediation or arbitration panels, education, prior published awards, current advocacy in employment relations matters, letters of recommendation supporting the application, and any other relevant material supplied by the applicant or requested by the Board. Individuals appointed to the Roster shall be residents of the State of Illinois. The members of the Public Employees Mediation/Arbitration Roster are persons who are on the labor arbitration panels of either the American Arbitration Association or the Federal Mediation and Conciliation Service or who are members of the National Academy of Arbitrators.

d) Individuals appointed to the Roster shall file with the Board a brief biographical sketch, a concise resume of their experience relevant to the position for which they are listed and a fee schedule. Whenever an individual is selected to serve in a case, that individual shall not charge a fee greater than that listed in the fee schedule an individual has filed with the Board. A minimum of 30 days notice shall be given to the Board for changes in fee schedules.

e) Requests for panels from the Roster shall be submitted on a form developed by the Board and shall include:

1. The name, address, telephone number and affiliation, if any, of the parties submitting the request;

2. The name, address and telephone number of the parties' representatives;

3. The type of service requested; and

4. A brief description of the nature of the dispute, including unresolved issues, to the extent known.

f) Whenever the Board provides the parties with a panel selected from the Roster, the Board shall provide copies of the biographical sketches and fee schedules of the panelists.

g) The parties may jointly request that panels submitted to them contain or omit specific individuals. No party may unilaterally make such a request.

h) Individuals listed on the Roster shall abide by the Code of Professional Responsibility for Arbitrators of Labor-Management Disputes, as amended, effective May 29, 1985, and adopted by the National Academy of Arbitrators and the American Arbitration Association, and shall take the constitutional affirmation of office. This incorporation by reference does not contain any further amendments.

History

• Source: Amended at 27 Ill. Reg. 7456, effective May 1, 2003

Part 1300 Gubernatorial Designation of Positions Excluded from Collective Bargaining

80 Ill. Adm. Code 1300.10 General Statement of Purpose

a) This Part establishes:

1. the procedures that the Board will use in determining whether designations made by the Governor of the State of Illinois or the Governor's agent under Section 6.1 of the Illinois Public Labor Relations Act [5 ILCS 315], excluding State employment positions from the self-organization and collective bargaining provisions of Section 6 of the Act, are lawful;

2. the procedures that the Governor of the State of Illinois or the Governor's agent shall use for designating State employment positions as excluded from the self-organization and collective bargaining provisions of Section 6 of the Act, as described in Section 6.1 of the Act;

3. the procedures that employees and labor organizations shall use for conducting proceedings before the Board regarding gubernatorial designation of State employment positions as excluded from the self-organization and collective bargaining provisions of Section 6 of the Act, as described in Section 6.1 of the Act; and

4. time limits and deadlines due to the nature of the proceedings at issue in this Part and the compressed timeline provided by Section 6.1 of the Act for resolution of gubernatorial designations.

b) This Part shall not apply to any other charges or petitions filed with the Illinois Labor Relations Board pursuant to the Act.

c) The provisions of 80 Ill. Adm. Code 1200, 1210, 1220, 1230 and 1240 only apply to this Part when specifically invoked by reference.

80 Ill. Adm. Code 1300.20 Board Information and Business Hours

a) The Springfield office of the Board is located at:

One Natural Resources Way

First Floor

Springfield, Illinois 62702

telephone: 217-785-3155

facsimile: 217-785-4146

b) The Chicago office of the Board is located at:

160 North LaSalle Street

Suite S-400

Chicago, Illinois 60601

telephone: 312-793-6400

facsimile: 312-793-6989

c) The Board's website address is www.state.il.us/ilrb. For electronic filing purposes for this Part only, the electronic mail (e-mail) address for the Board is ILRB.Filing@illinois.gov.

d) The official business hours of the Board are 8:30 a.m. to 5:00 p.m., Monday through Friday.

80 Ill. Adm. Code 1300.30 Definitions

This Part relies on the definitions contained in the Act, as well as other definitions set forth in this Section.

"Act" means the Illinois Public Labor Relations Act [5 ILCS 315].

"Administrative Law Judge" or "ALJ" means either the agency head or an attorney licensed to practice in Illinois.

"Administrative Law Judge's recommended decision and order" means findings of fact and conclusions of law and reasons for those findings and conclusions. It is not a final decision of the Board. A recommended decision and order will be reviewed by the Board upon the filing of exceptions or on the Board's own motion.

"Board" means the Illinois Labor Relations Board or State or Local Panel, individually as applicable, or an agent designated by the Board.

"Board Agent" means any Board employee who is designated by the Board to perform the acts and/or responsibilities outlined in the relevant Sections of this Part.

"Serve", unless otherwise limited by a specific rule, means to serve by U.S. Mail, by hand delivery or by e-mail at the served person's e-mail address. When service is made by e-mail, service shall be to the e-mail address indicated on the designation form.

80 Ill. Adm. Code 1300.40 Board's Jurisdiction

The Board shall undertake the process of determining whether a gubernatorial designation of a State employment position as excluded from self-organization and collective bargaining comports with Section 6.1 of the Act upon filing of a designation with the Board. All proceedings conducted under this Part are subject to the jurisdiction of the Board's State Panel pursuant to Section 5(a-5) of the Act.

80 Ill. Adm. Code 1300.50 Filing a Designation

a) When, pursuant to Section 6.1 of the Act, the Governor chooses to designate a position as excluded from the self-organization and collective bargaining provisions of Section 6 of the Act, the Governor or the Governor's agent must file a designation with the Board by e-mail by sending the designation to ILRB.Filing@illinois.gov. The Governor or the Governor's agent must also submit a hard copy of the designation to the Board at its Springfield office by U.S. Mail postmarked on the date that the designation was filed by e-mail or by hand delivery on the date that the designation was filed by e-mail. A designation shall be made on a form provided by the Board for this purpose and must provide the information required by Section 6.1(b) of the Act: the job title and job duties of the employment position; the name of the State employee currently in the employment position, if any; the name of the State agency employing the public employee; and the category under which the position qualifies for designation under Section 6.1(b) of the Act.

1. As provided in Section 6.1(a), the Governor may designate up to 3,580 State employment positions collectively within State agencies directly responsible to the Governor, and, upon designation, those positions and employees in those positions, if any, are hereby excluded from the self-organization and collective bargaining provisions of Section 6 of the Act. Only those employment positions that have been certified in a bargaining unit on or after December 2, 2008 that have a pending petition for certification in a bargaining unit on April 5, 2013, or that neither have been certified in a bargaining unit on or after December 2, 2008 nor have a pending petition for certification in a bargaining unit on April 5, 2013 are eligible to be designated by the Governor under this Section. The Governor may not designate under this Section, however, more than 1,900 employment positions that have been certified in a bargaining unit on or after December 2, 2008. [5 ILCS 315/6.1(a)]

2. To qualify for designation under Section 6.1, the employment position must meet the requirements of at least one of the following categories:

A) the position must authorize an employee in that position to act as a legislative liaison [5 ILCS 315/6.1(b)(1)];

B) the position must have a title of, or authorize a person who holds that position to exercise substantially similar duties as an, Agency General Counsel, Agency Chief of Staff, Agency Executive Director, Agency Deputy Director, Agency Chief Fiscal Officer, Agency Human Resources Director, Senior Public Service Administrator, Public Information Officer, or Chief Information Officer [5 ILCS 315/6.1(b)(2)];

C) the position must be a Rutan-exempt, as designated by the employer, position and completely exempt from jurisdiction B of the Personnel Code [20 ILCS 415/8(b)] [5 ILCS 315/6.1(b)(3)];

D) the position must be a term appointed position pursuant to Section 8b.18 or 8b.19 of the Personnel Code [5 ILCS 315/6.1(b)(4)]; or

E) the position must authorize an employee in that position to have significant and independent discretionary authority as an employee [5 ILCS 315/6.1(b)(5)]. A person has significant and independent discretionary authority as an employee if he or she:

i) is engaged in executive and management functions of a State agency and charged with the effectuation of management policies and practices of a State agency or represents management interests by taking or recommending discretionary actions that effectively control or implement the policy of a State agency; or

ii) qualifies as a supervisor of a State agency as that term is defined under Section 152 of the National Labor Relations Act (29 USC 152) or any orders of the National Labor Relations Board interpreting that provision or decisions of courts reviewing decisions of the National Labor Relations Board. [5 ILCS 315/6.1(c)]

b) Failure to fully complete the form could result in rejection of the filing of the designation by the Board.

c) In cases in which a designation is made for a position having an incumbent employee who is not currently represented by a collective bargaining representative and is not the subject of a pending petition for representation, the Board shall serve the designation on each unrepresented incumbent employee whose position has been designated. In cases in which a designation is made for a position that is represented by a collective bargaining representative or, in cases in which a collective bargaining representative has a petition for certification that includes the designated position pending before the Board at the time of the filing of the designation, the Board will serve the designation on the appropriate collective bargaining representative and on each incumbent employee whose position has been designated.

80 Ill. Adm. Code 1300.60 Processing and Investigation

a) Initial Processing

1. Upon filing of the designation with the Board, the Board or its agent will verify that the designation includes all information required by Section 6.1(b) of the Act, as provided in Section 1300.50, and will verify that the designated position was not certified in a bargaining unit before December 2, 2008.

2. After verification, the Board will provide a notice to the Governor or the Governor's agent to be posted at the workplace of the position that has been designated. Each affected employee's employing agency shall post the notice within 2 days after receipt of the notice by the Governor or the Governor's agent. The notice shall remain posted for 10 consecutive days. The employing agency or its agent shall certify, on a form provided by the Board, that the posting has been completed and shall return this form to the Board.

3. In cases in which a position is represented or subject to a pending petition for representation, the collective bargaining representative or incumbent employee shall have 10 days from the date of service of the designation to object to the designation. In cases in which the position is not represented or subject to a pending petition for representation, the incumbent employee shall have 10 days from the date of service of the designation to object to the designation. Objections must be made in writing and received in the Board's Springfield or Chicago office within the 10-day period. An objecting party may submit objections via U.S. Mail, hand delivery or e-mail to the Board at ILRB.Filing@illinois.gov. If an objecting party chooses to submit objections via e-mail, the party must also submit those objections in hard copy via U.S. Mail postmarked on the date that the objections were submitted via e-mail or by hand delivery to the Board's Springfield or Chicago office within the 10-day period. If an objecting party chooses to submit objections by e-mail, the party shall attach the objections to the e-mail in Microsoft Word format (.doc or .docx) or in Portable Document Format (PDF) (.pdf). Objections shall set forth the party's position with respect to the matters asserted in the designation regarding the job duties and functions of the position that is the subject of a designation, shall specifically state the basis for the objection, and shall include supporting documentation. The objections shall be simultaneously served on other parties as follows:

A) In cases in which an employee subject to the designation is not represented by a collective bargaining representative, an employee filing an objection under this Section shall serve a copy of the objection and copies of any supporting documentation upon the employer. If an objecting party chooses to serve objections by e-mail, the party shall attach the objections to the e-mail in Microsoft Word format or PDF.

B) In cases in which an employee subject to the designation is represented by a collective bargaining representative or is the subject of a petition for representation that is pending before the Board at the time of the filing of the designation, an employee filing an objection under this Section shall serve the objection and any supporting documentation upon the employer at its address indicated on the designation form and upon the collective bargaining representative at its address indicated on the designation form. A collective bargaining representative filing an objection under this Section shall serve the objection and any supporting documentation upon the employer at its address as indicated on the designation form and upon each employee whose position is the subject of the objection at his or her work address. In all cases, if an objecting party chooses to serve objections by e-mail, the party shall attach the objections to the e-mail in Microsoft Word format or PDF.

b) The Board may consolidate two or more gubernatorial designations or may sever gubernatorial designations that are filed together if the Board determines that the consolidation or severance would result in the efficient and expeditious resolution of designations.

c) If no objection to a designation is filed within the time allowed and the designation appears otherwise proper, the designation shall be forwarded to the Executive Director for certification as a designated excluded position.

d) Assignment to Administrative Law Judge

1. If objections to a designation are filed within the time allowed, the designation and objections shall be assigned to an ALJ.

2. The assigned ALJ will review the designation, any objections, and the documentation in support of such objections.

A) The ALJ may make a factual finding that the designation is proper based solely on the information submitted to the Board in cases in which the objections submitted fail to overcome the presumption that the designation is proper under Section 6.1 of the Act. In those cases, the ALJ will issue a recommended decision and order to the Board that such designation be certified.

B) If the ALJ finds that the objections submitted raise an issue of law or fact that might overcome the presumption that the designation is proper under Section 6.1 of the Act, the ALJ will order a hearing to be held to determine whether the designation is proper. After the hearing, the ALJ shall issue a recommended decision and order to the Board regarding the designation.

80 Ill. Adm. Code 1300.70 Hearing

a) Considering the nature of the designation and the representatives of the parties, the ALJ will, insofar as practicable, apply the rules of evidence applicable in Illinois courts. The ALJ may, upon proper objection, exclude evidence that is irrelevant, immaterial or unduly repetitious. Evidence may be presented in the form of testimony, exhibits, stipulations or affidavits.

b) Any hearing conducted in accordance with this Part shall be recorded by stenographic or other means that adequately preserves the record. The ALJ or the Board may order that the recording be transcribed. Parties may order transcripts and shall bear the costs of any transcripts they order.

c) Upon request, a party is entitled to a reasonable period at the close of the hearing for oral argument, which shall be made part of the record. Due to the nature of the proceedings at issue in this Part and the compressed timeline provided by Section 6.1 of the Act, the ALJ shall direct the filing of briefs only in extraordinary circumstances, when the filing is, in the opinion of the ALJ, warranted by the nature of the proceedings or the particular issues involved. All briefs shall be no more than a total of 50 double-spaced pages with margins of at least ½ inch, including attachments. All pages in excess of the 50 page limit will be rejected. The Board's General Counsel may grant approval of exceptions and briefs containing more than 50 pages only in extraordinary circumstances.

d) Except in extraordinary circumstances, hearings regarding designations shall be held within 14 days after receipt of objections by the Board and shall be limited in duration to one day of hearing.

e) Designation hearings shall be non-adversarial in nature. All parties may present evidence and make arguments, subject to the control of the ALJ. In designation hearings, the objecting party shall present its evidence first.

f) If the objecting party fails to appear after proper service of Notice of Hearing, the ALJ may recommend that the designation be certified by the Board. If any party other than the objecting party fails to appear, the ALJ may proceed in its absence and issue a recommended decision and order.

g) Pursuant to 80 Ill. Adm. Code 1200.40, the ALJ may schedule a pre-hearing conference when it appears to the ALJ that doing so would expedite the procedure.

h) Intermediate rulings of the ALJ shall not be subject to interlocutory appeal. Parties may raise objections to intermediate rulings in their exceptions to the ALJ's recommended decision.

i) The ALJ shall file and serve on the parties a recommended decision and order as expeditiously as possible. Due to the nature of the proceedings at issue in this Part and the compressed timeline provided by Section 6.1 of the Act, the ALJ may issue a recommended decision and order before completion of a transcript of the proceedings.

j) All exceptions to the ALJ's recommended decision and order shall be filed and served in accordance with Sections 1300.90 and 1300.130.

80 Ill. Adm. Code 1300.80 Authority of Administrative Law Judges

The ALJ shall have the duty to conduct fair proceedings, to take all necessary action to avoid delay, to maintain order and to ensure development of a clear and complete record. The ALJ shall have all powers necessary to achieve these ends, including, but not limited to, the discretionary authority to:

a) Review the designation, any objections and any supporting documentation and determine whether a designation is proper based solely on the information submitted to the Board or whether a hearing is necessary to determine whether the designation is proper;

b) Require the parties to participate in a pre-hearing conference before proceeding with a hearing;

c) Require all parties to submit pre-hearing information, including, but not limited to:

1. a detailed written statement of the issue to be resolved at hearing and its position;

2. a list of witnesses each party intends to call, the nature of their testimony, the estimated time for each witness' testimony, and the estimated time for the party's case in chief;

3. a list of exhibits to be offered by each party in its case in chief and a copy of each exhibit; and

4. all other information the ALJ requests;

d) Regulate the proceedings of the case and the conduct of the parties and their counsel;

e) Administer oaths and affirmations;

f) Receive relevant testimony and evidence;

g) Establish reasonable limits on the frequency and duration of the testimony of any witness and limit repetitious or cumulative testimony;

h) Examine witnesses and direct witnesses to testify; however, this provision does not lessen any party's burden of proof;

i) Issue subpoenas and rule upon motions to revoke subpoenas;

j) Take administrative notice of generally recognized facts of which Illinois courts may take judicial notice and of other facts within the specialized knowledge and experience of the Board;

k) Rule on objections, motions and questions of procedure;

l) Hear closing argument and, in extraordinary circumstances, authorize the submission of briefs and set the time for their filing;

m) Order a hearing reopened before the issuance of the ALJ's recommended decision and order;

n) Render and serve the recommended decision and order on the parties to the proceeding; and

o) Carry out the duties of the ALJ as provided or otherwise authorized by this Part or the Act.

80 Ill. Adm. Code 1300.90 Computation and Extensions of Time; Service

a) In computing any period of time prescribed by the Act or this Part, the designated period of time begins to run the day after the act, event or default and ends on the last day of the period so computed. If the last day falls on a Saturday, Sunday or legal holiday, the time period shall be automatically extended to the next day that is not a Saturday, Sunday or legal holiday.

b) When a time period prescribed under the Act or this Part is less than 7 days, intervening Saturdays, Sundays or legal holidays shall not be included.

c) Service of Documents

1. Service of a document upon a party by mail shall be presumed complete 3 days after mailing, if proof of service shows the document was properly addressed. This presumption may be overcome by the addressee, with evidence establishing that the document was not delivered or was delivered at a later date. A party's failure to accept or claim a document served by mail shall not be grounds for overcoming the presumption.

2. Service of a document upon a party by e-mail shall be presumed complete on the day that the document is transmitted via e-mail. This presumption may be overcome by the addressee, with evidence establishing that the document was not delivered, was delivered at a later date or was not accessible by the party. A party's failure or refusal to open a document served by e-mail shall not be grounds for overcoming the presumption.

d) Due to the nature of the proceedings at issue in this Part and the compressed timeline provided by Section 6.1 of the Act, the Board may use U.S. Mail, hand delivery and e-mail as methods of transmitting and filing certain documents in processing gubernatorial designations.

1. The original designation must be transmitted to the Board in its Springfield office as described in Section 1300.50.

2. Service of designations by the Board may be accomplished by U.S. Mail, hand delivery or e-mail.

3. Objections to designations must be transmitted to the Board in its Springfield or Chicago office and to other parties as described in Section 1300.60. Objections to designations must be received by the Board in its Springfield or Chicago office within 10 days after the date of service of the designation on the objecting party.

4. The recommended decision and order of the ALJ will be served on the parties to the proceeding by e-mail only.

5. Exceptions to the recommended decision and order of the ALJ will be filed with the Board by e-mail only at ILRB.Filing@illinois.gov and will be served on all other parties via e-mail subject to the following:

A) In cases in which an employee subject to the designation is not represented by a collective bargaining representative, an employee filing exceptions under this Section shall serve the exceptions upon the employer at its e-mail address.

B) In cases in which an employee subject to the designation is represented by a collective bargaining representative or is the subject of a petition for representation that is pending before the Board at the time of the filing of the designation, an employee filing exceptions under this Section shall serve the exceptions upon the employer at its e-mail address and on the collective bargaining representative at its e-mail address. A collective bargaining representative filing exceptions under this Section shall serve the exceptions upon the employer at its e-mail address and on each employee whose position is the subject of the objection at his or her e-mail address.

e) Requests for postponements of hearings shall be filed in accordance with Section 1300.100. Requests for postponements of other deadlines, as well as requests for extensions for the filing of briefs or exceptions, must be made before the then existing deadlines. Except for good cause shown, no request for postponement will be granted on any of the 3 days immediately preceding the date of a hearing. For purposes of this Section, good and sufficient cause may include a showing to the satisfaction of the Board or its agents that a postponement or extension will result in settlement of the case. Such a request will only be granted in extraordinary circumstances after consideration of its potential impact on the Board's ability to meet the time requirements of the Act and limited to the following circumstances:

1. all requests must be in writing, directed to the Board agent responsible for the proceeding (designated in the Notice of Hearing);

2. the grounds for the request must be set forth in detail;

3. the requesting party must specify alternative dates for scheduling the hearing or conference or for the due date of any documents;

4. the position of all parties concerning both the postponement or extension requested and the proposed alternative dates must be ascertained in advance by the requesting party and set forth in the request; and

5. the request is made for a continuance to a date and time certain; in no event shall an indefinite continuance be granted.

80 Ill. Adm. Code 1300.100 Motions

a) In matters set for hearing, all motions must be filed with the assigned ALJ via e-mail to the e-mail address provided by the ALJ. Motions shall be simultaneously served on other parties via e-mail at the e-mail addresses specified by each party as follows:

1. In cases in which an employee subject to the designation is not represented by a collective bargaining representative, an employee filing a motion under this Section shall serve the motion upon the employer at its e-mail address.

2. In cases in which an employee subject to the designation is represented by a collective bargaining representative or is the subject of a petition for representation that is pending before the Board at the time of the filing of the designation, an employee filing a motion under this Section shall serve the motion upon the employer at its e-mail address and on the collective bargaining representative at its e-mail address. A collective bargaining representative filing a motion under this Section shall serve the motion upon the employer at its e-mail address and on each employee whose position is the subject of the motion at his or her e-mail address.

b) Once the ALJ's recommended decision and order has been issued, all motions shall be filed with the Board by e-mail at ILRB.Filing@illinois.gov and simultaneously served on other applicable parties as described in subsections (a)(1) and (2).

c) Motions to postpone or extend a hearing must be made in writing via e-mail unless made during the hearing, at which time the motions may be made verbally, on the record. Motions must briefly state the grounds for the motion and any relief requested.

1. Motions to extend the time for the filing of documents must contain a statement that the moving party discussed the requested extension with the other parties. If no objections were raised, the moving party must certify that the other parties were consulted and authorized the moving party to represent that they have no objections. If objections were raised, the moving party must describe those objections and its response. Motions to extend time filed in conjunction with hearings on gubernatorial designation of positions as excluded from collective bargaining will be granted only in extraordinary circumstances.

2. Motions for continuance must contain a statement that the moving party consulted with the other parties to determine whether they have any objection to the requested continuance. When there are no objections, the moving party must certify that it has consulted with the other parties and that they authorized the moving party to represent that they have no objections. When objections are raised, the moving party must describe those objections and its response. The motion for continuance must contain a statement that the moving party contacted the other parties to determine their availability for hearing on subsequent dates and it must indicate those dates in the motion. Motions for continuance filed in conjunction with hearings on gubernatorial designation of positions as excluded from collective bargaining will be granted only in extraordinary circumstances.

3. At any time before the issuance of the recommended decision and order, a party may move to disqualify the ALJ on the grounds of bias or conflict of interest. The motion shall be in writing to the Board's General Counsel, with a copy to the ALJ, setting out the specific instances of bias or conflict of interest. An adverse decision or ruling, in and of itself, is not grounds for disqualification. The General Counsel may decline to disqualify the ALJ or may appoint another ALJ to hear the case.

d) Responses and any other answering documents, including memoranda and affidavits, must be filed within 3 days after service of the motion, or as otherwise required by the ALJ or the Board. Responses must be filed with the assigned ALJ via e-mail to the e-mail address provided by the ALJ and will be served on all opposing parties via e-mail at the e-mail addresses specified by each party.

e) Rulings on motions shall be made in writing and served on all parties to the proceeding. The ALJ may reserve ruling on any motion until the issuance of a recommended decision and order. Motions and responses shall not serve to postpone or delay the proceedings.

f) Rulings on motions are not appealable to the Board, unless otherwise provided by the Board.

80 Ill. Adm. Code 1300.110 Subpoenas

Following a Notice of Hearing on a designated position or positions, the Board, upon the request of an ALJ or upon the written application of a party, shall have the power to issue subpoenas for witnesses and subpoenas for documents. Requests for subpoenas must be filed with the assigned ALJ via e-mail to the e-mail address provided by the ALJ and will be served on all opposing parties via e-mail at the e-mail addresses specified by each party.

a) Subpoenas for Witnesses

1. A party's written application for subpoenas for witnesses must be directed to the ALJ and must contain the following information:

A) the title and case number of the proceeding;

B) the name, address and phone number of the party requesting the subpoena and its representative;

C) the name of the person to be subpoenaed; and

D) the date, time and place of the appearance to be commanded.

2. Applications must be filed with the ALJ and served on the other parties to the case at least 5 days before the hearing. The requested subpoenas may be picked up at the Board's office where the hearing will be held or at the office specified by the applicant in the subpoena request.

3. The party requesting the subpoenas shall be responsible for serving the subpoenas on the witnesses at least 3 days before the hearing date. The party requesting the subpoenas shall also be responsible for payment of the witness fees for attendance, subsistence and mileage. Witnesses appearing at a hearing pursuant to subpoena are entitled to the same fees and mileage as are allowed witnesses in civil cases in the courts of the State of Illinois, pursuant to Section 4.3 of the Fees and Salaries Act [705 ILCS 35/4.3]. The requesting party must tender all fees with the subpoena. A witness appearing at the request of the Board shall submit the subpoena with a voucher when claiming reimbursement.

4. Board employees shall not be subpoenaed to testify regarding matters that occurred during their employment with the Board.

5. Subpoenas shall remain in effect throughout the course of the proceedings.

b) Subpoenas for Documents (Subpoena Duces Tecum)

1. A party's written application for subpoenas for documents must be directed to the ALJ and must contain the following information:

A) the title and case number of the proceeding;

B) the name, address and phone number of the party requesting the subpoena and its representative;

C) a detailed description of the books, papers, documents or other objects to be produced pursuant to the subpoena;

D) the name of the person to be served with the subpoena; and

E) the date, time and place of production to be commanded.

2. Applications must be filed with the ALJ and served on the other parties to the case at least 5 days before the hearing. The date and time for production of documents may be before the hearing. The requested subpoenas may be picked up at the Board's office where the hearing will be held or at the office specified by the applicant in the subpoena request.

3. The party requesting the subpoenas shall be responsible for serving the subpoenas at least 3 days before the hearing date and 3 days before the date on which the documents are to be produced.

4. Confidential Board documents as defined in 2 Ill. Adm. Code 2501.20(c) shall not be subpoenaed.

c) Motions to Revoke Subpoenas

A person objecting to the subpoena may file a motion to revoke the subpoena. The motion must be filed at least one day before the hearing and shall be filed with the ALJ assigned to the case. Grounds for revocation shall include irrelevance, undue burden and privilege.

80 Ill. Adm. Code 1300.120 Representation of Parties

A party may be represented by counsel or any other representative of the party's choosing. The representative shall file a Notice of Appearance with the Board. Filing objections on behalf of a party shall be equivalent to filing a Notice of Appearance.

80 Ill. Adm. Code 1300.130 Appeals Procedures, Board Review and Court Review

a) ALJ's Recommended Decision and Order

1. Parties may file exceptions to the ALJ's recommended decision and order, and briefs in support of those exceptions, not later than 3 days after service of the recommended decision and order. All exceptions shall be filed and served in accordance with Section 1300.90. Each party shall serve its exceptions on the other parties. If the original exceptions are withdrawn, then all subsequent exceptions are moot. A party not filing timely exceptions waives its right to object to the ALJ's recommended decision and order.

2. Exceptions shall specifically set forth the questions of procedure, fact, law or policy to which exception is taken, shall identify that part of the ALJ's recommended decision and order to which objection is made, shall state the grounds for the exceptions, and shall include the citation of authorities unless set forth in a supporting brief. Any exception to a ruling, finding, conclusion or recommendation that is not specifically urged shall be considered waived. Any exception that fails to comply with the foregoing requirements may be disregarded.

3. Any brief in support of exceptions shall be confined to the subjects raised in the exceptions and shall contain:

A) a clear and concise statement of the case containing all that is material to the consideration of the questions presented;

B) a specification of the questions involved and the issues to be argued; and

C) an argument presenting clearly the points of fact and law relied upon in support of the position taken on each question.

4. The Board will review the ALJ's recommended decision and order upon timely filing of exceptions or at any time on its own motion. The Board may adopt all, part or none of the recommended decision and order, depending on the extent to which it is consistent with the record and applicable law. The Board shall issue and serve on all parties its decision and order. If the gubernatorial designation is found to be proper by the Board in its decision and order, the Executive Director shall certify the position as a gubernatorial designation.

5. If no exceptions to the ALJ's recommended decision and order have been filed within the prescribed time period, the parties will be considered to have waived their exceptions. Unless the Board reviews the recommended decision and order upon its own motion, it will not be legal precedent and shall be final and binding only on the parties to that proceeding. The Board's General Counsel shall issue an order so providing. If the gubernatorial designation is found to be proper by the ALJ's recommended decision and order as supported by the General Counsel's order, the Executive Director shall certify the position as a gubernatorial designation.

b) Court Review of Board Orders

A party aggrieved by a final order of the Illinois Labor Relations Board State Panel may obtain judicial review of that order in accordance with the Administrative Review Law [735 ILCS 5/Art. III], except that review shall be afforded directly in the Appellate Court for the district in which the party resides or does business, in accordance with Section 11(e) of the Act.

80 Ill. Adm. Code 1300.140 Ex Parte Communications

No party or other persons legally interested in the outcome of a hearing may communicate ex parte, either directly or indirectly, with an ALJ or with any member of the Board regarding matters pending before the Board.

80 Ill. Adm. Code 1300.150 Variances and Suspensions of Rules

The provisions of this Part may be waived or suspended by the Board when it finds that:

a) the provision from which the variance is granted is not statutorily mandated;

b) no party will be injured by the granting of the variance; and

c) application of the rule from which the variance is granted would, in the particular case, be unreasonable or unnecessarily burdensome.

80 Ill. Adm. Code 1540.5 Introduction (Repealed)

History

• Source: Repealed at 41 Ill. Reg. 4217, effective March 22, 2017

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.10 Appointment of Retirement System Coordinator

a) The head of every department, as defined in the Retirement System Act, shall appoint an individual(s) employed by or assigned to the department to act as "Retirement System Coordinator" for the agency.

b) All Department Certifications required by law or this Part shall be submitted in writing to the Springfield Office of the System on the form prescribed by the Board and shall include the signature of the duly appointed "Retirement System Coordinator" in each agency or his authorized designee as filed in writing with the System.

80 Ill. Adm. Code 1540.20 Member's Contribution and Service Credit

a) The percentage of salary prescribed by the Act governing the System as the rate of member contributions shall be applied against the actual amount of compensation earned and accruing to the member, subject to any statutory limitation on compensation.

b) For the purpose of computing creditable service for members compensated on an hourly or per diem basis the following conversion to calendar days shall be used:

1. Hourly basis

A) For service prior to September 1, 1956, 94 hours shall equal 15 calendar days; 47 hours to 94 hours shall equal 8 calendar days to 15 calendar days; and less than 47 hours shall equal less than 8 calendar days.

B) For service from September 1, 1956 through June 30, 1981, 87 hours shall equal 15 calendar days; 44 hours to 87 hours shall equal 8 calendar days to 15 calendar days; and less than 44 hours shall equal less than 8 calendar days.

C) For service after June 30, 1981, 75 hours shall equal 15 calendar days; 38 hours to 75 hours shall equal 8 calendar days to 15 calendar days; and less than 38 hours shall equal less than 8 calendar days.

2. Per diem basis

A) For service prior to September 1, 1956, unless inconsistent with a member's earnings records, 13 work days shall equal 15 calendar days, 6 work days to 13 work days shall equal 8 to 15 calendar days and less than 6 work days shall equal less than 8 calendar days.

B) For service from September 1, 1956 through June 30, 1981, unless inconsistent with a member's earnings records, 11 work days shall equal 15 calendar days, 6 work days to 11 work days shall equal 8 to 15 calendar days, and less than 6 work days shall equal less than 8 calendar days.

C) For service after June 30, 1981, unless inconsistent with a member's earnings records, 10 work days shall equal 15 calendar days, 5 work days to 10 work days shall equal 8 to 15 calendar days, and less than 5 work days shall equal less than 8 calendar days.

c) For purposes of qualifying for membership only, any part of a month of service shall equal one month.

A qualifying period interrupted by a Leave of Absence for military service, other than reserve training which requires a guarantee of regular pay, may be completed upon the employee's return to State service within 6 months after discharge. Payment of the contributions required for the qualifying period will establish eligibility of the employee to receive credit for the military service subject to the conditions as set forth in the Retirement Act. Any member reentering service shall not be required to serve the qualifying period.

History

• Source: Amended at 8 Ill. Reg. 4144, effective March 26, 1984

80 Ill. Adm. Code 1540.30 Determination of Rate of Compensation

The following schedule is to be used in establishing monthly rate of compensation for employees receiving salary payments on an hourly, per diem, monthly or part-time basis:

a) For all Service Prior to January 1, 1978

1. Full-Time Hourly Employees:

Prior to September 1, 1956, 187 hours per month shall constitute the normal work period for an hourly employee. On and after September 1, 1956, 174 hours per month shall constitute the normal work period. Should time worked as shown on the payroll indicate that the hours required for a position is greater or less than 187 hours per month prior to September 1, 1956 or 174 hours per month after September 1, 1956, the normal work period shall be the number of hours shown for the majority of the months used for calculating earnable compensation (25 months) subject to a minimum of 152 hours per month. If the number of hours required for the position changes during the period used for calculating earnable compensation the full-time rate will be adjusted to the number of hours required. Should a majority of the months used for calculating earnable compensation (25 months) reflect less than 152 hours worked per month, the member shall be considered a part-time employee and earnable compensation will be computed in accordance with subparagraph a) 4) of this Section. Variable hours worked over and above the normal work period shall be considered as salary adjustments, and such earnings shall be used when calculating earnable compensation.

2. Full-Time Per Diem Employees:

A) Prior to September 1, 1956, 25 days per month shall constitute the normal work period for a full-time per diem employee. On or after September 1, 1956, 22 days per month shall constitute the normal work period.

B) Unless inconsistent with a member's earnings records, a per diem employee shall be considered full-time and all earnings used in the computation of earnable compensation shall be converted to a full-time rate if a majority of the months used for calculating earnable compensation (25 months), as shown on payroll records, evidence time worked of 25 days prior to September 1, 1956, or 22 days after September 1, 1956.

3. Full-Time Salaried Employees:

The actual monthly base rate of pay, excluding overtime, will be used.

4. Part-Time Employees:

When it is established that the employee's normal work period is less than the period necessary to constitute a full month, actual earnings will be used.

b) For all service on and after January 1, 1978 it shall be computed as provided for in the Retirement System Act.

History

• Source: Amended at 8 Ill. Reg. 4144, effective March 26, 1984

80 Ill. Adm. Code 1540.40 Prior Service Credit

a) Prior Service Form

Any member claiming prior service credit shall file at the Springfield Office of the System a written statement on a form prescribed by the Board setting forth in detail all service for which he claims credit rendered prior to the date of establishment of the Retirement System.

b) Verification of Prior Service

Statement of prior service for which credit is claimed shall be confirmed in writing to the Springfield Office of the System, on a form prescribed by the Board, by the Retirement System Coordinator appointed in the Department in which such service was rendered or by some other person employed in such Department and who is duly authorized by such Retirement System Coordinator to make such confirmation. The confirmation shall be made from the records of the Department or other State Agency. If no such records are available, confirmation of such prior service may be made by affidavit of two competent persons not a relative of the member who have actual knowledge of the service claimed to have been rendered by the member.

80 Ill. Adm. Code 1540.50 Credit for Service for Which Contributions are Permitted

a) Exercise of Option

1. For purposes of purchasing certain service credit provided for in the Act, any member of the System as defined in such Act who meets the requirements shall be eligible to exercise any of the service credit options provided for therein.

2. This privilege shall not apply to service representing previous employment periods which had not been credited at the time of acceptance of a refund until repayment of such refund.

3. This privilege shall not apply to a member, if, at the time of entering into an agreement with the System for the purchase of service credit on or after January 1, 2026, has an overdue obligation to repay the System for amounts owed to the System.

b) Credit and Contribution Basis

Credit for such periods shall be the amount of credit earned during the period of employment for which contributions are made. Contributions for such periods together with the required interest shall be made as provided for in the Act and this Part before any credit is granted.

History

• Source: Amended at 50 Ill. Reg. 353, effective December 26, 2025

80 Ill. Adm. Code 1540.60 Severance of Employment – A Condition to the Payment of a Refund or Retirement Annuity

a) Application for Refund or Retirement Annuity

Any member who is eligible to receive a refund of contributions or a retirement annuity may elect to apply for that refund or retirement annuity by making a written request in the form and manner prescribed by the Board.

b) Verification of Withdrawal From Service

A request for a refund of contributions or a retirement annuity shall not be considered until the Board has received a written notice from the Department in which the member was last employed certifying to the member's withdrawal from service and the effective date thereof, except that the written notice described in this subsection shall not be required for a member who retires while on inactive or disabled status and has been off the Department's payroll for a period of at least 5 years.

c) Withdrawal From Service – Period of Separation

A member who terminates employment and then returns to State employment shall be eligible for a refund of contributions only if there is at least a 14- day break in State employment as reflected on a payroll and if the refund application is executed by the member prior to the date of reemployment. A member who is placed on "Temporary Layoff" as that term is used in the rules of the Department of Central Management Services (see 80 Ill. Adm. Code 302.510) shall not be considered to have completed "Withdrawal" as that term is defined in the Illinois Pension Code (Code) [40 ILCS 5].

d) Effect of Legal Action

1. If a refund of contributions is paid by the System to a member and legal action results in the member being reinstated to their position with full restoration of all rights and privileges, then the reinstated member shall be permitted to reestablish service credit with the System for the reinstated period by repaying to the System the amount of refunded contributions in a lump sum or installment payments in accordance with Section 1540.250 of this Part, except that:

A) the two-year minimum service requirement shall be waived for purposes of determining the period within which the member may commence repayment of the refund; and

B) no interest shall be due if the member makes the required lump-sum payment to the System within 30 days after the System's written notice of the opportunity to reestablish the service credit or executes within the same period an installment agreement with the System to make the required payment.

2. If a retirement annuity is paid by the System to an annuitant and legal action results in the annuitant being reinstated to their position with full restoration of all rights and privileges, then upon making a re-entry to service after retirement, the annuitant's retirement annuity shall be discontinued immediately and they may repay to the System in a lump sum or installment payments the total amount of all retirement annuity payments received on or after retirement. No interest shall be due on the amount of the repayment if the member makes the required lump-sum payment to the System within 30 days after the System's written notice of the opportunity to make the repayment or executes within the same period an installment agreement with the System to make the repayment. The retirement annuity of a member who has completed the repayment described in this subsection (d)(2) and subsequently retires shall be computed as though the member had not previously retired.

e) An election for a refund that is submitted by a member that received disability benefits and has a pending claim for either Social Security disability benefits or benefits payable under the Workers' Compensation Act [820 ILCS 305] or Workers' Occupational Diseases Act [820 ILCS 310] shall not be processed until that claim has been determined.

f) For purposes of Section 14-130(a) of the Code, the phrase "ceased to be an employee" means the date the member separates from service, or the date the member's refund application is received by the System, whichever is later.

History

• Source: Amended at 49 Ill. Reg. 12173, effective September 9, 2025

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.70 Death Benefits and Survivor's Annuities

a) Benefit Application

Any person claiming a death benefit or survivor's annuity shall file at the Springfield Office of the System a written application for such benefit on a form prescribed by the Board.

b) Proof of Death

An application for a death benefit or survivor's annuity shall be accompanied by a certified copy of the Certificate of Death for the deceased member or annuitant.

c) Identification of Claimant

Any person or persons applying for a survivor's annuity or death benefits of any kind shall, when requested by the Board, file at the Springfield Office of the System an affidavit alleging at least the name of the claimant and his or her relationship to the deceased member.

d) Suspension and Termination of Benefit for Gainful Activity

The occupational death benefits and survivors' annuities payable to the unmarried adult disabled children of deceased members and annuitants under Article 14 of the Illinois Pension Code are subject to suspension and termination for gainful activity in accordance with Section 1540.85.

History

• Source: Amended at 45 Ill. Reg. 9547, effective July 19, 2021

80 Ill. Adm. Code 1540.80 Disability Claims

a) Nonoccupational Disability and Temporary Disability

1. Any member of the State Employees' Retirement System (SERS) claiming benefits for nonoccupational disability or temporary disability shall file at the Springfield Office of SERS a written application on forms prescribed by the Board.

2. If a member makes a payment of contributions to SERS in order to establish sufficient credit to qualify for a nonoccupational disability benefit, payment of the benefit shall accrue as of the latter of the 31st day of absence from work (including any periods of the absence for which sick pay was received), the day after the member is last entitled to receive compensation (including any sick pay), or the date of payment to SERS. The date of payment of the required contributions shall be determined in accordance with the provisions of Section 1540.220(a) (Period for Payment). If a member is receiving a nonoccupational disability benefit, and incurs a concurrent sickness or condition that is severe enough to disable the member past the period in which the member is disabled from the original sickness or condition, the nonoccupational benefit would continue uninterrupted and the member would not be required to obtain a new leave of absence or incur a new 30 day waiting period. A benefit will continue uninterrupted in the manner described only if the member is otherwise eligible for the benefit and a licensed healthcare professional's report is provided and supports the disabling sickness or condition.

3. If a member makes a payment of contributions to SERS in order to establish sufficient credit to qualify for a temporary disability benefit, payment of the benefit shall accrue as of the latter of the 31st day after the member is last entitled to receive compensation or the date of payment to SERS. The date of payment of the required contributions shall be determined in accordance with the provisions of Section 1540.220(a) (Period for Payment).

4. If a member who is receiving a nonoccupational or temporary disability benefit wishes to make a payment of contributions to extend the period of eligibility for receipt of the benefit, the request to make the payment must be received at the Springfield Office of SERS before the period of eligibility terminates and the date of payment of the required contributions shall be determined in accordance with the provisions of Section 1540.220(a) (Period for Payment).

5. If a member requests to have service credits under the State Universities Retirement System (SURS) or the Teachers' Retirement System of the State of Illinois (TRS) considered for the purposes of determining nonoccupational or temporary disability benefit eligibility under Section 14-124 or 14-123.1 of the Illinois Pension Code, or for purposes of calculating the total period of time for which benefit will be paid, SERS shall not include in its calculations any credits accrued under Article 15 or 16 of the Code that have been forfeited by acceptance of a refund or applied toward a retirement annuity and that have not been restored or otherwise reestablished in accordance with the requirements of those Articles of the Code. Credits accrued under Article 15 or 16 of the Code that have been forfeited by acceptance of a refund or applied toward a retirement annuity, and that have not been restored or otherwise reestablished in accordance with the requirements of those Articles of the Code, shall not be considered for purposes of determining eligibility for a nonoccupational or temporary disability benefit under Section 14-124 or 14-123.1 of the Illinois Pension Code (Code) [40 ILCS 5] or in determining the total period of time for which such a benefit is payable.

6. The System may deem the requirement of Section 14-124(4) of the Code to be satisfied with respect to a member if the member who is applying for a nonoccupational disability benefit is eligible to be granted a leave of absence for disability but, before the leave could be granted, upon medical examination, the member is found to be permanently and totally incapacitated to perform the duties of the member's position.

b) Occupational Disability

1. For the purposes of determining a member's eligibility for an occupational disability benefit, the term "becomes incapacitated to perform the duties of his position as the proximate result of bodily injuries sustained or a hazard undergone while in the performance and within the scope of the member's duties" as used in Section 14-123 of the Code shall not include a payment received under the Workers' Compensation Act [820 ILCS 305] or the Workers' Occupational Diseases Act [820 ILCS 310] in which the causation of the disability is disputed.

2. Any member of SERS claiming benefits for occupational disability shall file at the Springfield Office of SERS a written application on forms prescribed by the Board.

c) Licensed Healthcare Professionals

Before an occupational, nonoccupational or temporary disability benefit can be approved, one statement must be received from a licensed healthcare professional attesting to the disability. An additional statement from a second licensed healthcare professional may be required by the disability examiner assigned to the case, depending on the nature of the disabling condition.

d) Report of Licensed Healthcare Professionals

1. All reports provided to the System by a licensed healthcare professional shall contain, among other things, the date and place of the first examination by the licensed healthcare professional, the cause and nature of the member's disability, information regarding surgical work or laboratory tests performed for the member, the date of last examination by the licensed healthcare professional, prognosis regarding the member's disability, an estimate of the probable length of the member's disability, and the licensed healthcare professional's license number.

2. All licensed healthcare professional's reports shall be signed by a licensed healthcare professional or by medical records personnel employed by or acting pursuant to the direction of the licensed healthcare professional.

e) Suspension and Termination for Gainful Employment

The occupational, non-occupational, and temporary disability benefits that are payable to members under Article 14 of the Illinois Pension Code are subject to suspension and termination for gainful employment in accordance with Section 1540.85.

f) Investigation of Claims

1. The SERS Board of Trustees recognizes its obligation to provide a systematic program for the continued investigation, control and supervision of disability claims.

2. Each disability benefit recipient is required to provide a current medical examination report every 6 months to substantiate continued disability. In order to substantiate the member's continued eligibility for disability benefits, the Disability Claims Examiner may require that the member submit to independent medical examinations and may request additional medical statements; hospital records; activity inspection reports; Department of Employment Security Earning Statements; Social Security benefit payment information; income tax records; or other pertinent information, all as deemed reasonable and necessary by the Examiner. SERS may waive the medical examination report requirement for cases in which the evidence supports that a member is permanently disabled and that the member will never be able to return to their former position.

3. Failure of a disability benefit recipient to submit to an independent medical examination, to cooperate with an activity inspection, or to provide the information required shall result in suspension of benefit payments.

4. Any benefit suspended as a result of a medical examination will be suspended on the last day of the month in which the claim is reviewed by the Executive Committee.

5. The System may direct a covered employee who is receiving a nonoccupational or temporary disability benefit from the System and who is eligible under the federal Social Security Act (42 U.S.C. 7) for a disability benefit before attaining the Social Security full retirement age to file a claim for benefits under the federal Social Security Act so that the amount of the Social Security offset to the System-provided disability benefit can be calculated as provided in Sections 14-123.1 and 14-125 of the Code. If an employee does not file a claim for Social Security benefits within 30 days after receiving written direction from the System to do so, then the payment of the System-provided disability benefit shall be suspended until the member files such a claim.

6. Any person who applies for or who is receiving disability benefits and knowingly makes to SERS any false statement, falsifies or permits to be falsified any record submitted to SERS, or omits pertinent information in an attempt to defraud SERS, shall have the benefit suspended until the correct information has been provided to SERS.

A) If the correct information that is provided does not substantiate eligibility for the disability benefit payments, then the benefit shall be terminated.

B) If it is determined that the person omitted pertinent information and the correct information that is provided supports that the individual is gainfully employed, then the process prescribed in subsection (e) shall determine if the benefit payments shall resume.

C) If it is determined that the person knowingly made to SERS a false statement, or falsified or permitted to be falsified any record submitted to SERS, in an attempt to defraud SERS and the correct information that is provided supports that the individual is gainfully employed, then the benefit shall be terminated.

g) A disability benefit claim will be processed after the date that the final payroll payment received by the member has been posted to SERS' accounting database.

h) When calculating the amount of a nonoccupational, occupational, or temporary disability benefit under Section 14-123, 14-123.1, or 14-125 of the Code, the "date of disability" or "time disability occurred" is the date the member is removed from payroll by virtue of being placed on disability leave.

i) When calculating the final average compensation of a disability benefit claim, the calculation shall include the actual compensation received during the month in which the member left the regular payroll.

j) Any individual receiving an occupational disability benefit under Section 14-123 of the Code who remains disabled at the end of the month in which that benefit ceases under paragraph (3) or (4) of Section 14-123 shall become entitled to a retirement annuity and have the minimum period of service prescribed for the receipt of such annuity waived as described in that Section. The disability benefit described in this subsection (j) applies regardless of whether the member first became a member on or after January 1, 2011.

k) In accordance with Section 14-125.1 of the Code, occupational and nonoccupational disability benefits will be increased by 7% or 3% of the original fixed amount on January 1 following the fourth anniversary of the granting of the benefit. For purposes of section 14-125.1 of the Code and this subsection (k), "the fourth anniversary of the granting of the benefit" means that a member receives disability benefit payments for 48 consecutive months without an interruption due to suspension.

l) A temporary disability benefit that converts to either a nonoccupational or an occupational disability benefit in the manner prescribed under Section 14-123.1 of the Code shall, for the purposes of Sections 14-123 or 14-124 of the Code, be deemed either as a nonoccupational or an occupational disability benefit.

m) The 5-year limitation prescribed under Sections 14-123(b)(4), 14-123.1(b)(4), and 14-124(c) of the Code shall not be disrupted by the suspension of the disability benefit claim previously granted, if applicable.

n) Definitions

As used in this Section:

"Code" means the Illinois Pension Code [40 ILCS 5].

"Full retirement age" means the age at which an individual is eligible to receive full Social Security retirement benefits.

"The duties of the member's position" means the duties of the member's position as of the date the member's name is removed from the payroll without regard to subsequent changes in the duties of the position, availability of the position, or the member's right to return to the position.

"Licensed healthcare professional" means any individual who is licensed by the Department of Financial and Professional Regulation as a physician under the Medical Practice Act of 1987 [225 ILCS 60], as a physician assistant under the Physician Assistant Practice Act of 1987 [225 ILCS 95], as a psychologist under the Clinical Psychologist Licensing Act [225 ILCS 15], or as an advanced practice registered nurse under the Nurse Practice Act [225 ILCS 65] or who is licensed or otherwise credentialed by the licensing body of another state as a physician, physician assistant, clinical psychologist, or advanced practice registered nurse under the laws of that state.

"Licensed healthcare professional's license number" means the unique license number, registration number, or other identifier issued by the federal Centers for Medicare and Medicaid Services, the Department of Financial and Professional Regulation, or the licensing body of another state to an individual who is licensed or otherwise credentialed by the Department of Financial and Professional Regulation or the licensing body of another state, as a licensed healthcare professional.

"Member", for purposes of Sections 14-123, 14-123.1, and 14-124 of the Code, means an employee in active service at the time of incurring a disabling condition.

History

• Source: Amended at 50 Ill. Reg. 7700, effective May 20, 2026

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.81 Occupational Death Benefits

For the purpose of determining a survivor's eligibility for occupational death benefits, a member's death shall be deemed as the proximate result of bodily injuries sustained or a hazard undergone while in the performance and within the scope of the member's duties only when death benefits under either the Workers' Compensation Act [820 ILCS 305] or Workers' Occupational Diseases Act [820 ILCS 130] are awarded to the member's survivor.

History

• Source: Added at 46 Ill. Reg. 19224, effective November 18, 2022

80 Ill. Adm. Code 1540.85 Benefit Suspension and Termination for Gainful Employment or Activity

a) Suspension of Benefit for Gainful Employment or Activity

If the System becomes aware that a member who is receiving an occupational, nonoccupational, or temporary disability benefit under Article 14 of the Illinois Pension Code has engaged in gainful employment or if the System becomes aware that the unmarried adult disabled child of a deceased member or annuitant is receiving a survivor's annuity or occupational death benefit under Article 14 of the Illinois Pension Code and has engaged in substantial gainful activity, then it shall immediately suspend the respective Article 14 benefit and provide the affected individual with written notice of the benefit suspension and of the individual's right to appeal the benefit suspension under subsection (e).

b) Gainful Employment or Activity

For purposes of this Section and Article 14 of the Illinois Pension Code, an individual engages in gainful employment and substantial gainful activity when the individual:

1. returns to active employment or becomes employed with the State of Illinois in any capacity;

2. violates the Calendar Quarter Remuneration Limit in subsection (c) for the first time and fails within the period specified by the System:

A) to execute an agreement with the System to repay the System all amounts earned in excess of the Calendar Quarter Remuneration Limit; and

B) to repay the System the amount described in the agreement; or

3. violates the Calendar Quarter Remuneration Limit in subsection (c) for a second or subsequent time.

c) Calendar Quarter Remuneration Limit

No member who is receiving an occupational, nonoccupational, or temporary disability benefit under Article 14 of the Illinois Pension Code and no adult disabled child who is receiving a survivor's annuity or occupational death benefit under Article 14 of the Illinois Pension Code may receive more in remuneration than the substantial gainful activity amount that is determined annually by the Commissioner of the Social Security Administration in accordance with 42 C.F.R. 423(d)(4) and found at https://www.ssa.gov/oact/cola/sga.html in any calendar quarter.

d) Remuneration

1. As used in this Section, "remuneration" means any compensation for personal services, including fees, wages, salary, commissions, and similar items, as well as any income derived from active participation in a business activity or through the performance of physical or mental activities generally performed for the production of income, regardless of whether the compensation or income is earned through self-employment or employment by others.

2. "Remuneration" includes the fair market value of non-monetary goods or services received as remuneration.

3. "Remuneration" does not include:

A) income from income-producing opportunities or activities created by the member or individual before the onset of disability except to the extent that the level of income produced by the opportunity or activity has increased through the member or individual's performance of physical or mental activities after the onset of the disability;

B) earnings that are derived from financial instruments, real estate, a limited partnership, or any other enterprise in which any individual is not involved in active participation; or

C) income generated from the sale of the member or individual's personal residence.

4. Remuneration shall be computed based on the date earned (rather than the date received) and on a gross rather than net basis. No deductions of any kind, including, but not limited to, deductions for losses, expenses, taxes, or withholding shall be considered in the computation of remuneration under this Section.

5. Remuneration representing gain from the sale, exchange or other disposition of goods or other property shall be equal to the sum received on the sale, exchange, or disposition, less the amount representing the cost to the seller in acquiring the goods or other property that is sold, exchanged, or disposed of.

e) Administrative Appeal Rights

An adversely affected individual may appeal the suspension of the individual survivor's annuity, occupational death benefit, or disability benefit under this Section to the Executive Committee in the same manner as a member may appeal the disposition of a claim to the Executive Committee under Section 1540.270, except that all Petitions for Hearings and Petitions for Written Appeals must be received by the Executive Secretary of the System within 30 days after the date of the written notice described in subsection (a). If the Executive Committee determines on appeal that an individual has not engaged in gainful employment and substantial gainful activity, as described in subsection (b), while receiving a survivor's annuity, occupational death benefit, or disability benefit under Article 14 of the Illinois Pension Code, then the Executive Committee shall direct the System to reinstate the suspended benefit. If the Executive Committee determines on appeal that an individual has engaged in gainful employment or substantial gainful activity, as described in subsection (b), while receiving a survivor's annuity, occupational death benefit, or disability benefit under Article 14 of the Illinois Pension Code, then the Executive Committee shall issue a recommendation to the Board of Trustees that it terminate payment to the individual of any survivor's annuity, occupational death benefit, or disability benefit under Article 14 of the Illinois Pension Code.

f) Benefit Termination or Reinstatement

If the Board of Trustees ratifies the Executive Committee's recommendation under subsection (e), that decision becomes the final administrative decision and then the System shall terminate the affected individual's survivor's annuity, occupational death benefit, or disability benefit under Article 14 of the Illinois Pension Code retroactively to the date of its initial suspension under this Section. If the Board of Trustees objects to ratification of the Executive Committee's recommendation under subsection (e), then the individual's survivor's annuity, occupational death benefit, or disability benefit under Article 14 of the Illinois Pension Code shall be reinstated retroactively to the date of benefit suspension under this Section.

History

• Source: Amended at 48 Ill. Reg. 7844, effective May 7, 2024

80 Ill. Adm. Code 1540.90 Benefit Offset

a) Occupational Disability, Occupational Death, and Survivor’s annuity

Any amounts received under the Workers' Compensation Act [820 ILCS 305] or the Workers' Occupational Diseases Act [820 ILCS 310] as compensation for the disability or death of a member shall be applied, for the period of time prescribed by those Acts for payments, as an offset against any occupational disability benefit, occupational death benefit, or survivor’s annuity provided under Article 14 of the Illinois Pension Code [40 ILCS 5] for that disability or death, as follows:

1. If the amount of compensation received under the Workers' Compensation Act or the Workers' Occupational Diseases Act for a month is less than the occupational disability, occupational death benefit, or survivor’s annuity provided under Article 14 of the Illinois Pension Code for that month , then only the amount of the monthly occupational disability, occupational death benefit, or survivor’s annuity that exceeds the monthly compensation received under the Workers' Compensation Act or the Workers' Occupational Diseases Act shall be payable by the Retirement System, subject, in the case of occupational death, to any minimum benefit provided by Sections 14-103.18 and 14-121(h) of the Pension Code. If the amount of compensation received under the Workers' Compensation Act or the Workers' Occupational Diseases Act for a month equals or exceeds the monthly occupational disability or death benefit provided under Article 14 of the Pension Code, then no benefit shall be payable by the Retirement System for that month.

2. If the compensation for disability or death is received in a lump sum, or partly in a lump sum and partly in monthly or weekly sums, and if a period of time is not prescribed for payment of that compensation by the Workers' Compensation Act or the Workers' Occupational Diseases Act, then the Retirement System shall, for offset purposes, consider the compensation as if it had been paid using the average weekly wage as prescribed under those Acts. Salary or wages paid on or after the date of the member's disability shall not be included in the amount to be offset under this subsection against benefits payable under Article 14 of the Illinois Pension Code on account of the member's service.

3. In the event the whole or any part of the benefits received under the Workers' Compensation Act or Workers' Occupational Diseases Act is commuted into one sum, the aggregate sum of the benefits so commuted and not the commuted value thereof shall be used for purposes of ascertaining the amount of the offset under this subsection.

4. No offset shall be applied under this subsection against the member's retirement annuity.

5. The offset described in this subsection shall be reduced by any legal expenses granted in the award.

6. The offset described in this subsection shall be reduced by amounts received or paid under the Workers' Compensation Act or Workers' Occupational Diseases Act for medical, hospital, or burial expenses, provided that, in the case of medical and hospital expenses, the expenses are incurred before either a final determination is made on the member's claim by the Illinois Workers' Compensation Commission or the member’s claim is otherwise settled.

7. That portion of the occupational death benefit consisting of accumulated contributions of a member shall not be subject to any offset mentioned in this Section.

8. The termination of death benefits under the Workers' Compensation Act or Workers' Occupational Diseases Act due to remarriage of the benefit recipient shall cause the offset to the Occupational Death Benefit applicable to the remarried benefit recipient to terminate effective with the last month of eligibility represented in the final benefit payment under the Workers' Compensation Act or Workers' Occupational Diseases Act.

9. In those cases in which the injury or death, for which an occupational disability, occupational death benefit, or survivor’s annuity is payable, creates a legal liability for damages on the part of some person other than the employer to pay damages, the Workers' Compensation offset shall be applied as follows:

A) Any amounts paid under the Workers' Compensation Act or Workers' Occupational Diseases Act are subject to the offset provisions of Article 14 of the Pension Code and this Part, even though those amounts are recoverable under Section 5(b) of the Workers' Compensation Act (subrogation).

B) In the event that benefits due under the Workers' Compensation Act or Workers' Occupational Diseases Act are commuted into one sum or waived in lieu of the member seeking recovery against a third party, the System shall use the amount of any judgment, settlement or payment for the injury by the third party as a credit against any benefits paid or payable by the System.

10. Any periods of disability for which payment under the Workers' Compensation Act is denied, due to the failure of the individual to comply with that Act, that result in a period of noncompensability under the Workers' Compensation Act will not be considered for Occupational Disability until the entire Workers' Compensation case has been finalized through the Illinois Workers' Compensation Commission.

b) Nonoccupational Disability and Temporary Disability

As used in this Section, "full retirement age" means the age at which an individual is eligible to receive full Social Security retirement benefits.

1. The nonoccupational and temporary disability benefit payable to a covered member shall be offset before the full retirement age by the amount of Social Security disability benefit payable prior to the member attaining the full retirement age and after the full retirement age by the amount of the Social Security retirement benefit for which the individual is first eligible on or after attaining the full retirement age less legal expenses paid by the member to obtain the award up to the maximum allowed by the Social Security Administration.

2. The Social Security retirement benefit offset will be applied as follows, at the full retirement age. For a disability benefit recipient who received Social Security disability benefits before attaining the full retirement age, the Social Security disability benefit payment applied as the offset prior to attaining the full retirement age will remain in effect as the Social Security retirement benefit offset on or after attaining the full retirement age.

3. Disability benefits payable from the System commencing after the full retirement age will be offset by Social Security retirement benefits for which the individual is eligible on the commencement of disability.

c) Social Security Benefit Offset to Widow's and Survivor's Annuities

1. Beginning July 1, 2009, the Social Security survivor benefit offset (offset) shall not apply to any widow's or survivor's annuity of any person who began receiving a retirement annuity or a survivor's or widow's annuity prior to January 1, 1998.

2. Beginning July 1, 2009, the offset shall not apply to the widow's or survivor's annuity of any person who began receiving a widow's or survivor's annuity on or after January 1, 1998 and prior to July 1, 2009.

3. If the widow's or survivor's annuity is payable based on a coordinated employee's death in service, the offset shall not be applied to the widow's or survivor's annuity.

4. Any person who began receiving a retirement annuity after January 1, 1998 and before July 1, 2009 may make a one-time election before July 1, 2009 to reduce the monthly retirement annuity payable by 3.825% in exchange for not having the offset applied to any survivor's annuity payable.

5. Any employee with a retirement annuity effective date on or later than July 1, 2009 may, at the time of retirement, elect to reduce the monthly retirement annuity payable by 3.825% in exchange for not having the offset applied to any survivor's annuity payable.

6. For a person on the level income option under Section 14-112 of the Illinois Pension Code who makes an election under subsection (c)(4) or (c)(5) of this Section, the reduction shall be computed based on the reduced amount of the retirement annuity to be paid after the person has become eligible for old age payments under the federal Social Security Act plus any automatic annual increases received as of the date of the election.

7. For a member whose accrued benefits are payable, in whole or in part, to an alternate payee pursuant to a QILDRO, as established by Section 1-119 of the Pension Code, any reduction due to an election made by the member under subsection (c)(4) or (c)(5) of this Section shall be computed based on the total amount of the member's retirement annuity prior to and without giving effect to any QILDRO reduction for amounts payable to an alternate payee. However, the actual reduction under subsection (c)(4) or (c)(5) shall be applied exclusively to the member's retirement annuity and not to any payment to an alternate payee.

8. If a coordinated employee does not elect to reduce the retirement annuity in exchange for not applying the offset to the SERS survivor's annuity, the survivor's annuity shall be reduced by one-half of any Social Security survivor's benefits for which all beneficiaries included in the widow's or survivor's annuity are eligible. The offset shall not reduce any survivor's or widow's benefit by more than 50%. If a coordinated employee does not elect to reduce the retirement annuity in exchange for not applying the offset to the SERS survivor's annuity, the offset will commence on the date the beneficiaries first become eligible to receive any portion of the Social Security benefit, regardless of whether the beneficiaries elect to accept the Social Security benefit on that date or if the beneficiaries' own earnings preclude payment of Social Security survivor's benefits.

9. If an annuitant who elected to have the retirement annuity reduced 3.825% to prevent an offset from taking place to any survivor benefits payable has a change in marital status due to death or divorce, that annuitant may make an irrevocable election to prospectively discontinue the reduction. However, no reimbursement of prior reductions will be made.

10. If, at the time the offset is to be commenced, the survivor is eligible to receive a monthly benefit amount from the Social Security Administration based on his/her own Primary Insurance Amount, that amount shall be deducted from the amount of survivor's benefit payable by Social Security and the offset computed on the difference. If the survivor is eligible to receive a monthly benefit amount based on his/her own Primary Insurance Amount and a governmental pension offset would have been applied to the Social Security survivor's benefit, that amount shall be deducted from the amount of the survivor's benefit payable by Social Security and the offset computed on the difference.

11. The Social Security reduction amount once established shall remain constant except for the following conditions:

A) If a survivor under age 50 previously receiving the survivor's benefit because of minor children becomes a deferred annuitant, the offset amount will be recomputed when he or she first becomes eligible for Social Security survivor's benefits. The offset amount will be based on the original widow's or widower's Social Security survivor's amount, ignoring subsequent increases to the deceased's Primary Insurance Amount. The recomputed offset amount shall be the balance of the Social Security survivor's benefit minus the governmental pension offset, if any.

B) The offset amount will be adjusted when a child is removed from consideration for the System's annuity.

C) The offset amount will be adjusted when any benefit recipients become ineligible for Social Security benefits.

D) Beginning July 1, 2009, if a survivor under age 62 receiving a survivor's benefit subject to the Social Security offset becomes eligible to receive a monthly benefit amount based on a Primary Insurance Amount on his or her own record, the offset will be recomputed when he or she first becomes eligible to receive his or her own Primary Insurance Amount. The offset amount will be based on the estimated widow's or widower's Social Security survivor's amount determined at the date of death of the member less the estimated monthly benefit amount based on the Primary Insurance Amount of the survivor determined at the date of death of member, and the government pension offset, if any, ignoring any subsequent increases to the deceased Primary Insurance Amount or the survivor's Primary Insurance Amount. The monthly benefit amount based on the primary insurance amount of the survivor shall be determined from the Social Security Administration's Personal Earnings and Benefit Estimate Statement, including any adjustment due to the application of the Windfall Elimination Provision.

d) Retirement Annuity

Pursuant to Section 14-108(f) of the Pension Code, for members under age 65, the primary insurance benefit payable to the member upon attainment of age 65 shall, at the date of acceptance of a retirement annuity, be determined from the Social Security Administration's Personal Earnings and Benefit Estimate Statement, including any adjustments due to the application of the Windfall Elimination Provision. For members over age 65, the primary insurance benefit shall be the amount of Social Security benefits payable at the date of retirement with the State Employees' Retirement System.

History

• Source: Amended at 46 Ill. Reg. 14779, effective August 22, 2022

80 Ill. Adm. Code 1540.100 Birth Date Verification

a) Any person or persons making application for a retirement annuity, survivors or widows annuity, nonoccupational, occupational or temporary disability benefit shall submit as proof of birth date, a legal copy of their birth certificate or birth record.

b) Upon the submission by the member of documentation from an official employed by the state or county where the birth occurred that states that no birth record exists, the following documents may be submitted for consideration:

1. Military records

2. Marriage record showing date of birth

3. Evidence of Social Security payments that require attainment of specific age

4. Church records of birth or baptism

5. Passport or immigration and naturalization record

6. Two or more documents showing birth dates, such as insurance policies, school records, and medical records

c) If none of the above documents are available, an affidavit from parents, older brother or sister, or relative having knowledge of the date of birth may be considered.

History

• Source: Amended at 47 Ill. Reg. 3530, effective February 22, 2023

80 Ill. Adm. Code 1540.110 Marriage Verification

a) Proof of Marriage

1. Applicants claiming benefits as a surviving spouse must submit proof of marriage. Documents acceptable as proof of marriage are:

A) A copy of the public record of marriage.

B) A copy of the religious record of the marriage.

C) In the case of a common-law marriage if none of the above documents are available, other relevant evidence may be submitted.

2. If no records under subsection (a)(1) exist, the following may be submitted for consideration:

A) A notarized statement from the individual who performed the marriage.

B) Notarized statements from at least two individuals in attendance of the marriage.

C) Certification from the Social Security Administration of acceptance of the marriage and date.

3. Verification that spouse qualifies for survivor's benefits, widow's benefits, or occupational death benefits:

A) For purposes of ensuring that a surviving spouse qualifies as either a survivor annuity beneficiary, a widow's annuity beneficiary, or an occupational death beneficiary, applicants claiming benefits as a surviving spouse must also provide a joint income tax return document that contains the names of the deceased member and the surviving spouse. An acceptable document must not be dated more than 24 months prior to the member's death.

B) If the surviving spouse did not file taxes jointly with the member prior to the member's death, then the surviving spouse shall provide documentation that demonstrates that either the member and surviving spouse had filed separate tax returns for the preceding tax years, or that the surviving spouse had no reportable income for the preceding tax years.

C) In addition to providing the information contained in subsection (a)(3)(B), a surviving spouse shall also provide that necessary documentation under any of the following items:

i) Two billing statements from a service provider that contain the names of the deceased member and the surviving spouse. Acceptable statements must not be dated more than 6 months prior to the member's death.

ii) A financial account statement that identifies such account was co-owned by the deceased member and surviving spouse. An acceptable statement must not be dated more than 6 months prior to the member's death.

iii) Acceptable documentation that supports that the surviving spouse and deceased member co-owned their residential home. An acceptable document must not be dated more than 6 months prior to the member's death.

b) Proof of Dissolution or Invalidity of Marriage.

The only document acceptable as proof of dissolution or invalidity of marriage is a certified copy of the declaration of decree from a court of law.

History

• Source: Amended at 46 Ill. Reg. 19224, effective November 18, 2022

80 Ill. Adm. Code 1540.120 Level Income Option

a) Basis of Computation.

The Level Income Option shall be based on an estimate of a member's primary Social Security benefit, as provided by the Social Security Administration. The calculation shall be based on standard actuarial tables maintained by the System.

b) Effect on Automatic Increase Annuity.

Should an annuitant subsequently become eligible for the automatic increase annuity benefit, such increases shall be based on the amount of retirement annuity received at the date of eligibility for the increases.

c) Effect on Widows and Survivors Annuities.

Upon death of an annuitant, any widow or survivors benefits which become payable shall be based on the amount of the member's retirement annuity received at the date of death.

History

• Source: Amended at 11 Ill. Reg. 11155, effective June 15, 1987

80 Ill. Adm. Code 1540.125 Reversionary Annuity

a) The reversionary annuity of a member who elects a reversionary annuity, who accepts the provisions of Article 20 of the Code, and who cashes or deposits the payment of a proportional annuity from another participating system prior to the date in which he or she is eligible to begin receiving retirement annuity payments from Article 14 of the Code, shall begin on the first day of the month following the member's death.

b) Definitions

"Participating System" means a retirement system defined as a "participating system" by Section 20-108 of the Code.

"Proportional Annuity" means a retirement annuity paid in accordance with Section 20-121 of the Code.

History

• Source: Added at 44 Ill. Reg. 7888, effective April 27, 2020

80 Ill. Adm. Code 1540.130 Pension Credit for Unused Sick Leave

a) Credit for sick leave shall be determined on the basis of a 260-day work year.

b) All unused sick days for which the employee receives credit shall be certified by the last employer responsible for maintaining a sick leave record for the employee.

History

• Source: Amended at 16 Ill. Reg. 14407, effective September 4, 1992

80 Ill. Adm. Code 1540.140 Removal of Children from Care of Surviving Spouse

a) Children Under Age 18

If a spouse is receiving a widow's or survivors' annuity prior to age 50 because minor children of the member are under the care of the spouse and the children are legally removed by order of a court from the spouse's care, then the widow's annuity or survivors' annuity payable to the spouse shall be suspended until the spouse attains age 50; however, the children eligible to receive a survivors' annuity, if under the care of the legal guardian, may continue to receive their portion of the survivors' benefit, based on their individual eligibility. Widow's or survivors' annuity payments accepted by the spouse after the children have legally been removed by order of a court from the spouse's care will be considered benefit overpayments due to the System.

b) Children Over Age 18 and Under Age 22 and a Full-Time Student

1. If under the care of the surviving spouse at attainment of age 18, children over age 18 and under age 22 and a full-time student will be presumed under the care of a surviving spouse during their period of eligibility, based upon a self-certification signed by the surviving spouse. However, the surviving spouse will not be considered as the natural guardian of the child.

2. Application for benefits by or on behalf of a child over age 18 and under age 22 and a full-time student must be accompanied by a student certification. The certification must have the signature of the student and a representative of the school to be valid. A new certification must be obtained and submitted to the System semi-annually after initial approval of the benefit unless the System is able to determine, based on records in its possession or vendor-supplied data, that the child is a full-time student for that semi-annual period.

3. Survivor benefits shall be payable during the period between regular school years, such as winter breaks or summer terms, if the benefit recipient carried a full-time workload in the preceding semester.

c) Definitions of Full-Time Student and Regular School Year

1. For purposes of this Section, a full-time student shall be one who is enrolled in a course of study in an educational institution and who is carrying a full-time workload as determined by the educational institution during the regular school year for the course of study the student is pursuing.

2. A regular school year is the 8 to 9 months that includes two semester terms or three trimester (quarter) terms, excluding the summer term.

History

• Source: Amended at 46 Ill. Reg. 4100, effective February 23, 2022

80 Ill. Adm. Code 1540.150 Proof of Dependency

In consideration of the payment of an occupational death benefit, survivors annuity or reversionary annuity, person or persons claiming such benefits as a dependent shall submit acceptable proof to the Board that the member was contributing at least one-half of the dependent's support at the time of the member's death, or in the case of a reversionary annuity, at the time of retirement. A copy of the deceased member's income tax filing for the year of event claiming the person as a dependent shall be accepted as proof of dependency. For the reversionary annuity, a spouse will be deemed to be a dependent of the member.

History

• Source: Amended at 26 Ill. Reg. 16575, effective October 22, 2002

80 Ill. Adm. Code 1540.160 Investigations of Benefit Recipients

a) The Board of Trustees of the State Employee's Retirement System recognizes its obligation to provide a systematic and ongoing program for the review and investigation of all benefits payable by the System to assure continued eligibility of all recipients.

b) The failure of any benefit recipient to cooperate in providing reasonable information required shall result in suspension of benefit payments until such time as continued eligibility is confirmed.

History

• Source: Amended at 4 Ill. Reg. 12, p. 530, effective March 11, 1980

80 Ill. Adm. Code 1540.170 Interest on Member Contributions

a) Credited

1. Interest credited on the member's individual account on and after July 1, 1981 shall be computed once a year at the rate of 6.5% per annum compounded annually on the balance at the beginning of each fiscal year and no consideration shall be given to the current fiscal year's contributions in such computation.

2. The amount of any benefit payable by the System shall, if interest credited to member's account is a part of the benefit, include interest credited to the member's account through the end of the fiscal year immediately preceding the date in which the benefit becomes payable.

b) Charged Interest

Interest charged to a member establishing periods of service on and after January 1, 1984 shall be at the rate of 6.5% per annum compounded annually, except that the rate of 5% per annum compounded annually will be charged for:

1. The repayment of refunded contributions paid to the member prior to January 1, 1984, or

2. Members establishing service credit on an installment basis provided the signed installment agreement is received prior to January 1, 1984.

History

• Source: Amended at 49 Ill. Reg. 12173, effective September 9, 2025

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.180 Date of Application – Retirement Annuity, Occupational and Nonoccupational and Temporary Disability Benefits, and Resignation Refund Payments

A member's written request applying for benefit or resignation refund payment provided for in the Retirement System Act shall be accepted as the formal application form for purposes of meeting any application deadlines or time frames contained therein, provided the formal application form prescribed by the Board is subsequently received at the Springfield Office of the System the later of the deadline or time frame provided by law or 30 days from the date the formal application form is mailed to the member. Should the completed formal application be received after the later of either of these periods the date of application will be the date the form is received.

History

• Source: Amended at 10 Ill. Reg. 8889, effective May 14, 1986

80 Ill. Adm. Code 1540.190 Lump Sum Salary Payments

a) Employee retirement contributions are not to be assessed against certain lump sum salary payments as provided in the Act.

b) Compensation received for unused compensatory time shall be applied to the pay period in which it was earned, rather than when it was received.

c) Compensation received for back wages shall be applied to the pay period in which it was earned, rather than when it was received.

History

• Source: Amended at 44 Ill. Reg. 11172, effective June 19, 2020

80 Ill. Adm. Code 1540.195 Mandatory Distributions Pursuant to Section 401(a)(9) of the Internal Revenue Code

The System shall pay all benefits in accordance with a reasonable good faith interpretation of the requirements of section 401(a)(9) of the Internal Revenue Code. When the System is required to make a mandatory distribution pursuant to that section and the member is eligible to receive either a retirement annuity or a refund, but fails to make the required election within 60 days after the System sends out the election form, the member shall be deemed to have elected a refund.

History

• Source: Added at 41 Ill. Reg. 4217, effective March 22, 2017

80 Ill. Adm. Code 1540.200 Removal from the Payroll

Written applications for nonoccupational disability benefits must be received in the Springfield Office of the System within the statutory time frame after the member's name has been removed from the payroll. The term "removal from the payroll" as it pertains to the payment of nonoccupational disability benefit is the last day of the pay period during which a member received compensation for services as a State employee.

History

• Source: Amended at 11 Ill. Reg. 11155, effective June 15, 1987

80 Ill. Adm. Code 1540.210 Latest Date of Membership

a) The term "date he last became a member of the System" as it pertains to the purchase of service credits is the first day of the latest or current period of membership and is not affected by the payment of contributions for any periods of service prior to or following this first day or the repayment of a refund.

b) A member who accepts a retirement annuity and subsequently re-enters membership establishes a new date of membership as of that date, unless he or she repays all annuity payments received as provided for in the statute, in which case his or her previous date of membership is re-established.

c) For a person who, under the provisions of the Retirement Systems Reciprocal Act [40 ILCS 5/Art. 20], repays a refund and pays for any period of service prior to or after the service period of membership for the period of service prior to or after the service period covered by the refund, the latest date of membership shall be the first day of membership for the period covered by the refund. If more than one refund is paid, it shall be the first day of the period of membership covered by the latest of the membership periods involved.

History

• Source: Amended at 41 Ill. Reg. 4217, effective March 22, 2017

80 Ill. Adm. Code 1540.220 Period for Payment and Amount of Payment of Contributions

a) Period for Payment

An eligible member shall exercise an option or options to pay contributions to establish credit for service within the deadline or time frame provided by law and shall make the required payment(s) by the later of any deadline or time frame provided by law or 30 days from the date written notification of the amount due is mailed to the member.

b) Amount of Payment

Any member making a payment to the System which includes interest as a part of such payment shall pay the required amount 30 days from the date formal notification of the amount payable is sent to the member or the end of the month to which interest was computed in the required amount. If payment is made after the later of these dates additional interest will be charged to the end of the month in which payment is received in the Springfield Office of the System.

History

• Source: Amended at 4 Ill. Reg. 12, p. 530, effective March 11, 1980

80 Ill. Adm. Code 1540.230 Contributions by the State (repealed)

History

• Source: Repealed at 8 Ill. Reg. 4144, effective March 26, 1984

80 Ill. Adm. Code 1540.240 Actuarially Funded Basis (repealed)

History

• Source: Repealed at 11 Ill. Reg. 11155, effective June 15, 1987

80 Ill. Adm. Code 1540.250 Payments to Establish Credit for Service for Which Contributions Are Permitted

a) If a member receives one or more contribution refunds from the System, past service credits previously refunded will be reinstated only after the two-year minimum service requirement is satisfied and the member repays the amount of refunds previously received together with interest due before retirement either in a lump sum or installment payments by direct payment or payroll deduction. No payment will be applied to any period of service prior to a refund until that refund is paid in full. Service credit will be granted only when a stipulated refund, qualifying, short period or other type of permissive service credit as set forth in the Act is paid in full; except, in the event of death of the member partial service credit will be granted. Such partial service credit will be based on contributions and interest paid as of date of death.

b) Under the installment option, interest will be calculated on the total amount of contributions for the stipulated period of service through the month of the date the member elects to complete payment. No installment option will be approved for payments of less than $20.00 per payment or $10.00 per pay period for payroll deduction. For picked-up contributions as described in Section 1540.255, if payment is made in full prior to the final due date stipulated in the option, interest will be recalculated and a refund of interest paid to the member, provided such payment is received at least 2 months prior to the due date and is in excess of $5.00.

c) If a member pays the contributions and interest due in full under an installment option payment plan and if that plan does not account for interest earned on contributions made during the installment option payment plan, then an interest rebate will be paid to reflect interest earned during the installment period. The rebate will be calculated based on regular interest as defined in the Retirement Savings Act [30 ILCS 430]. The amount of rebate will be determined as of each June 30 preceding the date of payment in full, based on the total of the payments accumulated in the account at the beginning of each fiscal year. At the time the account is paid in full, the total interest accumulated in the rebate account will be paid to the member. The interest rebate will not be paid if the accumulation is less than $5.00.

d) Except in the case of contributions made through the pick-up option described in Section 1540.255, if a member elects to receive a retirement annuity, completes a revocation card or for some other reason elects not to complete the member's installment payment option, all monies paid by the member on such option will be refunded to the member and no service credit granted.

e) If a member receives a widow/survivor contribution refund upon retirement, and subsequently a beneficiary becomes eligible for the widow/survivor annuity, the member may repay the widow/survivor contribution refund in a lump sum or installment payments. The repayment shall consist of the amount of the widow/survivor contribution refund, together with interest, from the date of refund to the date of repayment. If the member requests to repay the refund, or is in the process of repaying the refund, and dies before the completion of the repayment, then the balance of the repayment due may be paid in a lump sum, within 30 days after the estate or eligible survivor receives the notice amount due from the System.

f) All installment payment plans which pertain to optional service purchases (see Section 1540.255), offered by the System and agreed to by the member, shall be in annual increments and shall not exceed 5 years in length.

g) Funds may be issued from another account to the System for purposes of establishing or upgrading service credit of a member who entered an installment plan only when:

1. the member separates from service;

2. the System receives the payment within 30 days after the member’s separation from service; and

3. the payment completes the transaction.

h) A member who issues funds from another account that is not part of a qualified plan as regulated under Section 401(a) of the Internal Revenue Code (26 U.S.C. 401) to the System for purposes of establishing or upgrading service credit may not issue any further payments to the System regarding that transaction.

i) A member who issues funds from another account that is part of a qualified plan as regulated under Section 401(a) of the Internal Revenue Code to the System for purposes of establishing or upgrading service credit may issue one additional payment to complete the transaction.

j) A member who issues funds from another account for purposes of establishing or upgrading service credit may not subsequently elect to enroll in an installment plan or issue any other payment to the System regarding that transaction.

History

• Source: Amended at 47 Ill. Reg. 13138, effective August 22, 2023

80 Ill. Adm. Code 1540.255 Pick-up Option for Optional Service Contributions

a) "Member" as used in this Section means any person who is entitled to reinstate past service credits previously refunded or purchase permissive service credits under the Act creating the State Employees' Retirement System of Illinois.

b) A member choosing to make contributions for the reinstatement (purchase) of past service credits previously refunded or the purchase of permissive service credits shall have the option to have those contributions treated as either after-tax or before-tax (picked up) contributions. In order for contributions for the reinstatement of past service credits or purchase of permissive service credits to be considered as picked up (before-tax) contributions under Section 414(h)(2) of the Internal Revenue Code (Code), the member must make an irrevocable election to have the contributions made by payroll deduction through the Comptroller's office by providing a copy of the election to the member's payroll officer. Any contributions for the purchase of past service credits or permissive service credits which are made directly by the member or when the payroll deduction election is not irrevocable will be considered as after-tax contributions (not picked up).

c) The member wishing to make contributions for the purchase of past service credits previously refunded or permissive service credits shall have the following contribution options:

1. The contributions may be made directly by the member in installments or by a lump sum payment and the contributions may be terminated by the member at any time;

2. If the member is receiving compensation for personal services rendered, on a warrant issued pursuant to a payroll voucher and which is drawn by the State Comptroller upon the State Treasurer, the contributions may be made by voluntary payroll deduction and the payroll deduction may be terminated by the member at any time; or

3. If the member is receiving compensation for personal services rendered, on a warrant issued pursuant to a payroll voucher drawn by the State Comptroller upon the State Treasurer, the contribution may be made by an irrevocable payroll deduction by which the member chooses to have the contributions picked up by the employer under the Code.

Only the contribution method described in subsection (c)(3) will qualify the contributions as contributions picked up by the employer for Code purposes. Those members electing to make such contributions pursuant to subsection (c)(3) shall complete and sign an irrevocable payroll authorization form provided by the State Employees' Retirement System (System). That form must be provided to both the System and the member's payroll officer.

d) The irrevocable payroll deduction form must indicate:

1. the total amount to be deducted;

2. the amount per pay period to be deducted; and

3. the total number of pay periods (one or more) over which the designated amount is to be deducted.

All payroll deduction payments must be completed no later than the final payroll payment made to the member in conjunction with the member's retirement or termination from employment. The payroll deduction form when executed must be on such terms as would result in the payment, by the member's anticipated retirement date, of the necessary amounts to purchase the permissive service credit or the service credits previously refunded. During the period of the irrevocable payroll deduction no voluntary payments will be accepted by the System from the member towards the purchase of past service credits or for the purchase of permissive service credits for which an irrevocable payroll deduction is in place. The amount to be withheld per pay period need not be the same amount for each pay period.

e) The irrevocable payroll deduction election of the member shall remain in effect until the earlier of:

1. the payroll deductions or the purchase of the service credits as indicated in the form are completed;

2. the death of the member;

3. the member is disabled from performing his/her services as an employee for more than one year;

4. the member is absent from employment due to layoff or strike for more than one year;

5. employment is terminated either voluntarily or involuntarily; or

6. the payroll deduction is 120 days delinquent, either in whole or in part.

f) If an irrevocable payroll deduction becomes delinquent, then the member shall bring the payments current, by payroll deduction, within 120 days after the original delinquency. Absence from employment due to layoff, strike or disability will not be construed as a delinquency in the payroll deduction. Failure to bring a delinquent payment current within 120 days after the original delinquency will result in termination of the member's irrevocable election with all contributions made by the member under the irrevocable payroll deduction being refunded to the member less the appropriate tax withholding. The right to make up a delinquency cannot be used for the purpose of amending or modifying the terms of the original irrevocable payroll deduction election.

g) In the case of the death of a member, the irrevocable payroll deduction will terminate and the member's account will be granted partial service credit based upon contributions made to the date of death as described in Section 1540.250.

h) In the case of retirement, termination of employment of the employee or absence from employment in excess of one year due to layoff, strike, or disability, the member will have the choice of:

1. Making an after-tax lump-sum payment in the amount of the balance due to complete the purchase of the service credits originally intended;

2. Electing to make an eligible trustee-to-trustee transfer or other eligible rollover in the amount of the balance due to complete the purchase of the service credits originally intended; or

3. The amounts contributed to date under the irrevocable payroll authorization will be refunded, less appropriate tax withholding.

i) A member shall be considered as being "disabled from performing his/her services as an employee" when the member has been granted a leave by the employer because the member is physically or mentally unable to perform the duties of the job.

j) A member who is changing job positions but will still be employed by the State of Illinois may substitute an irrevocable payroll deduction in the new position for the irrevocable payroll deduction effective in the former position so long as the terms of the new payroll deduction are not changed, except to make up any delinquency resulting from a break in service between positions. In such a case the irrevocable payroll deduction election will not terminate as provided for in subsection (e)(4) of this Section unless the provisions of subsection (e)(5) of this Section would require termination of the election.

History

• Source: Amended at 26 Ill. Reg. 16575, effective October 22, 2002

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.260 Contributions and Service Credit During Nonwork Periods

When State law requires that service credit be granted to a member during nonwork periods, such credit shall be granted based on the member's normal work schedule. Employee and employer contributions shall be payable during such non-work periods based on the member's full rate of compensation. A nonwork period is any pay period during which an employment relationship exists and throughout which the employee does no work for the employer. If such a nonwork period falls within a qualifying period, it should be considered part of that period, and the employee may make contributions at the required rate to establish service credit. Such contributions may be made without interest if paid within 6 months of the employee's return to work, or within 6 months of completing the qualifying period, whichever is later.

History

• Source: Amended at 8 Ill. Reg. 4144, effective March 26, 1984

80 Ill. Adm. Code 1540.265 Contributions Due for Service Subject to the Uniformed Services and Reemployment Rights Act

A member who receives compensation from a department under the Uniformed Services and Reemployment Rights Act (P.L. 103-353) shall, for the period they receive such compensation, contribute employee contributions based on the amount of compensation that is credited to their retirement account for that period.

History

• Source: Added at 46 Ill. Reg. 19224, effective November 18, 2022

80 Ill. Adm. Code 1540.266 Unconditional Discharge Other Than by Dishonorable Discharge

a) For purposes of Section 14-105(b)(2) of the Pension Code, “unconditional discharge other than by dishonorable discharge”, means:

1. the member has not been discharged dishonorably from active-duty military service; and

2. has either voluntarily separated from the military by completing their service obligation; or

3. has been discharged due to their acceptance of a reserve commission enlistment; or

4. has involuntarily separated from the military.

b) In the case of a service member’s discharge due to acceptance of a reserve commission enlistment, the date of discharge is the date such service member would have otherwise qualified to voluntarily separate from the military due to completing their regular service commission enlistment obligation.

c) This term shall not include discharges from service in a reserve commission enlistment.

History

• Source: Added at 47 Ill. Reg. 8026, effective May 24, 2023

80 Ill. Adm. Code 1540.270 Written Appeals and Hearings

a) Definition of Terms

"Authorized Representative" – a person representing a Petitioner in a written appeal or hearing.

"Executive Committee" – a committee consisting of one member of the Board of Trustees, the Chairperson of the Board or the Chairperson's designee, and the Executive Secretary of SERS or the Secretary's designee, which shall meet periodically for the purpose of hearing all administrative contested matters and making recommendations to the Board of Trustees who shall make the final decision. At any time, the Chairperson of the Board or the Executive Secretary of SERS may appoint an alternate designee to serve on the committee in place of the designee that the Chairperson or Secretary has previously appointed.

"Executive Secretary" – the person designated as the official custodian of all papers and documents filed in proceedings before the Executive Committee.

"Hearing" – the reconsideration by the Executive Committee of the initial disposition of a claim, at which the Petitioner appears in person or by an Authorized Representative, either at the hearing or by video or audio conference.

"Hearing Officer" − a member of the Executive Committee or an attorney retained by the Executive Committee for the purpose of conducting hearings and communicating the Executive Committee's findings of fact, conclusions of law, and recommendation to the Board of Trustees.

"Legal Action" − any action, following the final denial by the Board of Trustees, in which a member is seeking relief in State or federal court for a disputed claim.

"Petition" – a written request made by a Petitioner or Authorized Representative for a hearing, a written appeal, a rehearing, or a written reappeal before the Executive Committee.

"Petitioner" – an individual who requests by Petition:

a hearing or a written appeal before the Executive Committee for reconsideration of the initial disposition of a claim; or

a rehearing or written reappeal before the Executive Committee for reconsideration of the disposition of a hearing or written appeal.

"Rehearing" – the reconsideration by the Executive Committee of the disposition of a hearing or written appeal, at which the Petitioner appears in person or by an Authorized Representative, either at the hearing or by video or audio conference.

"System" – the State Employees' Retirement System of Illinois.

"Video or Audio Conference" − hearing or rehearing before the Executive Committee for which the Petitioner or Authorized Representative is not physically present and the proceeding before the Executive Committee is conducted through video and audio technology.

"Written Appeal" – the reconsideration by the Executive Committee, based upon written evidence, of the initial disposition of a Petitioner's claim, at which the Petitioner does not appear either in person or by an Authorized Representative.

"Written Reappeal" – the reconsideration by the Executive Committee, based upon written evidence, of the disposition of a hearing or written appeal, at which the Petitioner does not appear either in person or by an Authorized Representative.

b) Administrative Determination

The administrative staff of the System shall be responsible for the daily functioning of the System, including the processing of all claims for benefits payable by the System, all claims for service credits granted by the System, and all claims against or relating to the System.

c) Right of Appeal

Any member, annuitant or beneficiary adversely affected by the initial disposition of a claim by the System's staff may have the disposition of the claim reconsidered either at a hearing before the Executive Committee or by filing a Written Appeal with the Executive Committee.

d) Written Appeals to Executive Committee

1. Communication to Executive Committee

All Petitions for Written Appeal shall be directed to the Executive Secretary of SERS at its Springfield Office and must be received within 30 days following the notification of the initial disposition of the claim.

2. Form of Written Appeal

A Petition for a Written Appeal shall set forth the name and address of the Petitioner, the name and address of the Petitioner's Authorized Representative if applicable, a brief statement of the facts forming the basis of the written appeal, which must include any new or additional evidence, and the relief sought.

3. Disposition of Written Appeal

A) The Executive Committee shall consider a Petition for Written Appeal at the next regular meeting of the Executive Committee more than 15 days after the receipt of the Petition.

B) Following the written appeal and the receipt of all supplemental material requested, the recommendation of the Executive Committee shall be communicated in writing to the Petitioner and Authorized Representative, if applicable, and the appropriate action shall be implemented by the Executive Committee subject to the approval of the Board of Trustees.

4. Continuances and Extensions of Time

Continuances and extensions of time shall be granted by the Executive Committee when it is demonstrated that obtaining and presenting additional evidence is necessary to render a fair and equitable decision on the written appeal before the Committee.

5. Minutes and Records of Written Appeals

A) Minutes of every meeting of the Executive Committee and a record of all written appeals before the Executive Committee shall be kept by the Executive Secretary of SERS at its Springfield Office.

B) The Executive Secretary of SERS shall be the official custodian of all papers and documents filed in proceedings before the Executive Committee.

e) Hearings Before the Executive Committee

1. Communication to the Executive Committee

All Petitions for Hearings shall be made to the Executive Secretary of SERS at its Springfield Office and must be received within 30 days following the notification of the initial disposition of the claim.

2. Appearance

Any Petitioner or Authorized Representative may appear at a hearing before the Executive Committee, either in person or by video or audio conference.

3. Form of Petition

Petitions may be informal or formal and shall be presented by letter or other writing. A petition shall set forth the name and address of the Petitioner, the name and address of the Authorized Representative, if applicable, a brief statement of the facts forming the basis of the petition, which must include any new or additional evidence and the relief sought.

4. Notice of Hearing

Upon scheduling of a hearing before the Executive Committee, a Petitioner shall be provided with written notice of: the date, time and place of the hearing; the subject matter of the hearing; and relevant procedural and substantive statutory and regulatory provisions. Notice of the hearing shall also inform the Petitioner that the Petitioner will be afforded the opportunity to provide a statement of the Petitioner's position, present oral evidence, and conduct examination and cross-examination of witnesses as necessary for full and true disclosure of the facts. In the absence of the Petitioner, the Executive Committee will consider the Petitioner's Petition and such other matters as may be properly brought before it at the hearing.

5. Prehearing Conferences

A) Upon written request by the Executive Committee or a Petitioner or Authorized Representative, a conference shall be conducted for the purpose of formulating issues and considering:

i) The simplification of issues;

ii) The amendment of pleadings;

iii) The making of admissions of facts or stipulations for the purpose of avoiding the unnecessary introduction of evidence;

iv) The procedure at the hearing;

v) The limitation of the number of witnesses; and

vi) Such other matters as may aid in the simplification of the evidence and disposition of the proceeding.

B) The persons attending the prehearing conference may enter into a written stipulation as to matters decided in the prehearing conference.

C) No minutes shall be kept of the prehearing conference. Facts disclosed in the course of the prehearing conferences are privileged and, except by agreement, shall not be used against the Petitioner or any other party attending the prehearing conference either before the Executive Committee or elsewhere unless fully substantiated by other evidence.

6. Conduct of Hearings

A) Hearings shall be conducted before the Executive Committee by the Hearing Officer and shall be of an informal nature.

B) The Hearing Officer shall direct all parties to enter their appearances on the record. The Hearing Officer shall conduct a full and fair hearing, receive testimony of the claimant and admit exhibits into evidence, avoid delay, maintain order and make a sufficient record for a full and true disclosure of the facts and issues. To accomplish these ends, the Hearing Officer shall make all procedural and evidentiary rulings necessary for the conduct of the hearing.

C) Parties may, by written stipulation, agree upon any facts involved in the proceeding. The facts stipulated shall be considered as evidence in the proceeding.

D) Irrelevant material or unduly repetitious evidence shall be excluded.

7. Documentary Evidence

Whenever possible, documents and exhibits shall be introduced by stipulation of the parties. Originals of documents shall be introduced into evidence with leave of the Hearing Officer to substitute the originals with copies. Whenever possible, the parties shall interchange copies of exhibits or other pertinent material before the hearing at which they are to be offered.

8. Briefs and Oral Arguments

Written briefs and oral arguments shall be allowed at the request of the Petitioner. The time limitations upon the oral argument shall be determined by the Hearing Officer having regard to the magnitude and complexity of the issues involved and the other business of the Executive Committee. All testimony shall be taken under oath before an officer authorized to administer oaths by the laws of this State or of the United States or of the place where the testimony is to be given.

9. Disposition of Hearing

Following the hearing and receipt of all supplemental material requested, the Executive Committee, following its next scheduled meeting, shall communicate its recommendation in writing to the Petitioner and Authorized Representative, if applicable. The recommendation shall contain a sufficient statement of the facts, all necessary findings of fact and conclusions of law, and a suggested decision or decisions of the Board of Trustees. The appropriate action shall be implemented by the Executive Committee subject to the approval of the Board of Trustees.

10. Continuances and Extensions of Time

Continuances and extensions of time shall be granted by the Executive Committee or the Hearing Officer when it is demonstrated that obtaining and presenting additional evidence or witnesses is necessary to render a fair and equitable decision on the hearing before the Executive Committee.

11. Minutes and Record of Hearing

A) Minutes of every meeting of the Executive Committee and a record of all hearings before the Executive Committee shall be kept by the Executive Secretary of SERS at its Springfield Office.

B) Two records of proceedings shall be kept that shall be in the form of a non-verbatim bystander's record of the proceedings and either a stenographic transcription or a tape recording. The record shall be available to the Petitioner or Authorized Representative prior to the Executive Committee making its recommendations.

C) The Executive Secretary of SERS shall be the official custodian of all papers and documents filed in proceedings before the Executive Committee.

12. Disqualification; Ex Parte Communications

A) Disqualification

i) A Hearing Officer or other member of the Executive Committee may be disqualified on grounds of bias or conflict of interest. A motion to disqualify a Hearing Officer or other member of the Executive Committee for bias or conflict of interest should be made to the Hearing Officer by any party to the hearing at least one week prior to the commencement of the hearing. The motion shall be heard, considered, and ruled upon by the Hearing Officer or, when necessary, by the Executive Committee at or prior to the commencement of the hearing. The movant shall have the burden of proof with respect to the motion to disqualify. Either an adverse ruling or the fact that a Hearing Officer or other member of the Executive Committee is an employee of the System or has a contract with the System, standing alone, shall not constitute bias or conflict of interest.

ii) The Executive Director may not be called as a witness unless it is demonstrated that the Executive Director has relevant noncumulative personal knowledge of facts bearing upon the claim. The Executive Director may not be disqualified as a member of the Executive Committee on the basis that the Executive Director is responsible for the overall administration of the System.

iii) In the event that the Executive Committee is reduced to fewer than two members, the Board President may appoint another person to the Executive Committee.

B) Ex Parte Communications Prohibited. Except in the disposition of matters that the System is authorized by law to entertain or dispose of on an ex parte basis, employees of the System and the members of the Executive Committee shall not, after receiving notice of a hearing in a contested matter, communicate, directly or indirectly, in connection with any issue of fact, with any party, or in connection with any other issue with any party, or the representative of any party, except upon notice and opportunity for all parties to participate. However, an employee of the System may communicate with other employees of the System and an employee of the System or member of the Executive Committee may have the aid and advice of one or more assistants. An ex parte communication received by any employee of the System and member of the Executive Committee shall be made a part of the record of the pending matter, including all written communications, all written responses to the communications, and a memorandum stating the substance of all oral communications and all responses made and the identity of each person from whom the ex parte communication was received. Communications regarding matters of procedure and practice, such as the format of pleadings, number of copies required, manner of service, and status of proceedings, are not considered ex parte communications. [5 ILCS 100/10-60]

13. The System will arrange for transcription services and incur the related costs for a hearing only if the petitioner's appeal relates to the System's application of a plan design provision in which there is a lack of clear guidance on how to apply such provision in that specific situation due to a lack of relevant precedents, or a conflict in existing legal interpretations.

14. If a petitioner fails to appear at a hearing when transcription services are requested, they will bear the cost associated with rescheduling or cancelling.

f) Rehearings and Written Reappeals

1. Purpose of Rehearing and Written Reappeal

The Executive Committee will grant a rehearing or written reappeal by majority approval only for the purpose of considering new or additional evidence not previously available.

2. Procedures for Rehearing

The procedures set forth in subsection (e) (Hearings Before the Executive Committee) shall apply to rehearings, except that a Petition for a Rehearing must be received within 90 days following the notification of the final decision of the Board of Trustees with respect to the recommendation of the Executive Committee.

3. Procedures for Written Reappeal

The procedures set forth in subsection (d) (Written Appeals to Executive Committee) shall apply to written reappeals, except that a Petition for a Written Reappeal must be received within 90 days following the notification of the final decision of the Board of Trustees with respect to the recommendation of the Executive Committee.

g) Decisions of Board of Trustees

1. Decisions of the Board of Trustees shall be final administrative decisions subject to the provisions of the Administrative Review Law [735 ILCS 5/Art. III].

2. Communication to Petitioner

The decision of the Board of Trustees shall be communicated in writing to the Petitioner and Authorized Representative, if applicable.

h) A request for a retirement annuity or a refund of contributions shall be granted when legal action is pending on a disputed disability claim. Should the member receive a favorable decision on the legal action against the System and request additional disability benefits with regard to the disputed claim for a period beyond the effective date the retirement annuity or refund of contributions, the member must repay all retirement benefits or refund of contributions within 30 days after notification by the System of the amount due.

History

• Source: Amended at 50 Ill. Reg. 353, effective December 26, 2025

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.280 Availability for Public Inspection (recodified)

History

• Source: Recodified to 2 Ill. Adm. Code 2375.10 at 8 Ill. Reg. 15902

80 Ill. Adm. Code 1540.290 Procedure for Submission, Consideration and Disposition of Petitions Seeking the Promulgation, Amendment or Repeal of These Rules and Regulations (recodified)

History

• Source: Recodified to 2 Ill. Adm. Code 2375.110 at 8 Ill. Reg. 15902

80 Ill. Adm. Code 1540.300 Organization of the State Employees' Retirement System (recodified)

History

• Source: Recodified to 2 Ill. Adm. Code 2375.210 at 8 Ill. Reg. 15902

80 Ill. Adm. Code 1540.310 Amendments

This Part may be changed or amended at any regular or special meeting of the Board by a majority vote of the membership of the Board.

80 Ill. Adm. Code 1540.320 Optional Forms of Benefits - Basis of Computation

For purposes of computing optional forms of benefit provided in the Retirement Act, the interest used shall be 8.50% per annum and the mortality rate shall be 52% of the rate in Table A, column A plus 48% of the rate in Table A, column B for members and 48% of the rate in Table A, column A plus 52% of the rate in Table A, column B for surviving beneficiaries of members.

History

• Source: Amended at 23 Ill. Reg. 3824, effective March 9, 1999

80 Ill. Adm. Code 1540.330 Board Elections

In accordance with the Illinois Pension Code, an election for 2 trustees, one contributing member with at least 8 years of creditable service and one annuitant who has been an annuitant for at least one full year, will be held every 5 years beginning in 1986 and an election for 4 trustees, three contributing members with at least 8 years of creditable service and one annuitant who has been an annuitant for at least one full year, will be held every 5 years beginning in 2009.

a) Definitions of Terms

For purposes of this Section, the following definitions shall apply:

"Annuitant" − Any annuitant, as defined in Section 14-103.07 of the Code.

"Annuitant who has been an annuitant for at least one full year" means an annuitant who has received at least 12 monthly installments of their retirement annuity on or before the date upon which the annuitant is sworn into office as a trustee.

"Code" means the Illinois Pension Code [40 ILCS 5].

"Contributing member " − Any member of the System, as defined in Section 14-103.06 of the Code who is currently contributing to the System, unless the member is employed by the System.

"Contributing member with at least 8 years of creditable service" – Any contributing member who, on or before the date upon which they are sworn into office as a trustee, has obtained at least 8 years of creditable service, as defined in Section 14-103.15 of the Code.

b) Nominations

Qualified persons for the position of Contributing Member Trustee or Annuitant Trustee shall file a Statement of Candidacy and a trustee petition on a form prescribed by the Board, in accordance with the Code. Petitions shall be signed by not fewer than 400 contributing members for a Contributing Member Trustee candidate and by not fewer than 100 annuitants for an Annuitant Trustee candidate and indicate the addresses of the signators opposite their names. Nominating petitions shall be circulated and certified only by contributing members or annuitants for each respective trustee candidate. Forms shall be secured from the Executive Secretary and filed in accordance with the Calendar (see subsections (f) and (i)). Trustee petitions and the Statement of Candidacy must be filed at the System's Springfield office, 2101 South Veterans Parkway, Springfield, Illinois, in person or by mail during the office hours of 8:00 a.m. to 4:30 p.m.

c) Lottery for Ballot Position

All petitions filed on or before the first day for filing shall be deemed filed as of 8:00 a.m. on the first day. All petitions received thereafter shall be deemed as filed in the order of actual receipt. Where 2 or more petitions are received simultaneously for the same office, the State Employees' Retirement Board, with whom petitions are filed, shall break ties and determine the order of filing, by means of a lottery.

d) Procedures on Objections

The Board of Trustees of the System shall review and rule on all written petitions filed objecting to any candidate's qualifications as outlined in Section 14-134 of the Code. Petitions objecting shall be made in accordance with 80 Ill. Adm. Code 1540.270(d)(3). Nomination papers shall be deemed valid unless objections are received by the System in writing within 5 days after the last day for filing nomination papers. Not later than 12:00 noon on the next business day, after receipt of the objector's petition, the Executive Secretary shall deliver or transmit the nomination papers and original objector's petition to the Chairman of the Board and a copy of the objector's petition to the candidate whose nomination papers are the subject of the objection. Not later than 12:00 noon on the second business day after receipt of the objector's petition, the Chairman of the Board shall call for a meeting to consider the petition by giving notice to each of the members of the Board, the objector and candidate. The meeting of the Board shall not be less than 3 nor more than 5 days after receipt of objector's petition by the Chairman of the Board.

e) Elections

After the Executive Secretary has certified the candidates, separate ballots shall be prepared for the Contributing Member Trustee and for the Annuitant Trustee. Candidate position shall be in the order that the petitions are filed, or as determined by the lottery. Ballots will be mailed on election day to all qualified Contributing Members and Annuitants. All ballots must be returned, sealed in the envelope provided, so as to be received by May 30 of the election year. In order to be eligible to vote, a contributing member must make contributions during the first payroll period in March of the election year. In order to be eligible to vote, an annuitant must receive a retirement annuity for March of each election year.

f) Calendar of Events

1. Beginning in 1986 and every 5 years thereafter, and in 2014 and every 5 years thereafter, the following timelines shall apply:

A) JANUARY 2 − Forms available from the Executive Secretary for Statement of Candidacy and petitions.

B) JANUARY 15 − Last day Executive Secretary shall publish in a newsletter the dates and times when candidates may receive petitions. The pre-filing notice must also include the time and location of the filing period for nominating petitions.

C) FEBRUARY 11 − First day for candidates to file nomination papers for trustee offices in the office of the Executive Secretary.

D) FEBRUARY 19 − Last day for candidates to file nomination papers for trustee offices in the office of the Executive Secretary.

E) FEBRUARY 24 −

i) Last day for filing objections to the nomination papers of candidates for the office of trustees in the office of the Executive Secretary.

ii) Notice shall be given by telephone, facsimile or electronically of the time and place for conducting a lottery when 2 or more petitions are received simultaneously for the same office. Notice shall be given by the Executive Secretary to all candidates involved in the lottery.

F) FEBRUARY 28 − Lottery shall be conducted by the Executive Secretary when 2 or more petitions are received simultaneously for the same office.

G) MARCH 1 − Last day for candidates to withdraw their candidacy in the office of the Executive Secretary.

H) MAY 1 − or, if Sunday, then May 2 − Election

I) MAY 30 − Last day all voted ballots shall be received by the Board or its designate.

J) JUNE 6 − Last day for canvassing of election results by the Board or its designated agent.

K) JUNE 18 − Last day for the Board to proclaim the results of the election and to issue the certificates of election to the winners.

2. If any of these dates falls on a Saturday, Sunday or holiday, the next succeeding business day for the System shall be the effective date.

g) Ballot Security

Upon receiving the official voted ballots, they shall be secured in a locked location until the canvassing begins.

h) Board Notification

1. The Board or its designated agent shall canvass the ballots and certify the results. Each candidate may have two observers present during the ballot canvassing.

2. The candidate or candidates receiving the most votes for the office of Contributing Member Trustee will be declared the winner. The candidate receiving the most votes for the office of the Annuitant Trustee will be declared the winner.

3. If a candidate should become ineligible for office after the submission of the Statement of Candidacy and petitions, but before the election, the Board shall notify the candidate of the ineligibility and remove the candidate's name from the ballot. If a candidate should become ineligible for office after the mailing of ballots, the candidate's votes will not be counted and the eligible candidate receiving the most votes shall be declared the winner.

4. Ballots will be retained for 60 days following the certification. The ballots can then be destroyed, unless litigation is pending.

5. In case of a tie vote between 2 or more candidates, the Board shall determine the winner by means of a lottery to break the tie.

6. The Board will proclaim the results of the election and issue Certificates of Election to the winners.

i) Special Election Calendar of Events

The special election to be held in 2009 to fill the 4 new elected trustee positions shall be subject to the same procedures outlined in this Section, except as may need to be modified to comply with the following calendar for the special election:

1. APRIL 16 − First day for candidates to file nomination papers for trustees offices in the office of the Executive Secretary.

2. MAY 11 − Last day for candidates to file nomination papers for trustees offices in the office of the Executive Secretary.

3. MAY 15 − Lottery shall be conducted by the Executive Secretary when 2 or more petitions are received simultaneously for the same office.

4. JUNE 1 − Election

5. JUNE 26 − Last day all voted ballots shall be received by the Board or its designate.

6. JULY 2 − Last day for canvassing of election results by the Board or its designated agent and for the Board to proclaim the results of the election and to issue the certificates of election to the winners.

History

• Source: Amended at 50 Ill. Reg. 7700, effective May 20, 2026

80 Ill. Adm. Code 1540.331 Board Vacancies

When a vacancy occurs for an active or retired elected trustee position, the Board shall appoint a qualifying member to fill the vacancy for the remainder of that term. The announcement of the vacancy and the process to fill such vacancy shall be published on the System's website no less than 45 days before the vacancy will be filled.

a) If the vacancy is an active member trustee position, an email shall be sent to each active member's email address on file notifying such members of the vacancy as prescribed under Section 14-134 of the Illinois Pension Code, the eligibility criteria to fill such vacancy, as described in the Act and this Section, and a summary of the process to fill such vacancy. An active member is eligible to fill a vacancy to the position of an active contributing member trustee provided that the member has at least eight years of creditable service, is not employed by the System, supplies a resume and statement that summarizes their interest in filling the vacancy, and provides a petition of no less than 250 signatures of active contributing members in support of their candidacy.

b) If the vacancy is a retired member trustee position, an email shall be sent to each retired member's email address on file notifying each retried member of the vacancy, the eligibility criteria to fill such vacancy as described in the Act and this Section, and a summary of the process to fill such vacancy. A retired member is eligible to fill such vacancy if the member supplies a resume and statement that summarizes their interest in filling the vacancy, and provides a petition of no less than 100 signatures of retired members in support of their candidacy.

c) A candidate must deliver the documentation and petition requirements of this Section to the System's primary office at least 10 days before the Board meeting in which such vacancy is to be filled.

d) At the next scheduled meeting of the Board, eligible members who submit the required documents will be considered by the Board for appointment. The affirmative votes of seven trustees are required to appoint a candidate. The Board appointment will be valid for the remainder of that term.

History

• Source: Amended at 50 Ill. Reg. 7700, effective May 20, 2026

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.340 Excess Benefit Arrangement

a) Adoption and Nature of the Arrangement.

1. The Arrangement. The State Employees' Retirement System of Illinois, pursuant to the authority granted to it by 40 ILCS 5/1-116, hereby adopts the State Employees' Retirement System of Illinois Excess Benefit Arrangement effective January 1, 1997.

2. Nature of the Arrangement. This Arrangement is a portion of a governmental plan (as that term is defined in section 414(d) of the Internal Revenue code of 1986, as amended, and section 3(32) of the Employee Retirement Income Security Act of 1974, as amended) and is administered as a qualified governmental excess benefit arrangement pursuant to the provisions of Code section 415(m).

3. Limitation Year. The System adopts the calendar year as the limitation year for the purpose of this Arrangement and Code Section 415.

b) Definitions. Each word or phrase defined in this subsection (b) shall have the following meaning whenever such word or phrase is capitalized and used herein unless a different meaning is clearly required by the context of the Arrangement. The definition of any term in the singular may also include the plural.

1. "Arrangement" shall mean the State Employees' Retirement System of Illinois Excess Benefit Arrangement as from time to time amended or restated.

2. "Code" shall mean the Internal Revenue Code of 1986, as amended.

3. "Effective Date" shall mean January 1, 1997.

4. "Limitation Year" shall mean that period for which all calculations and determinations of benefits and contribution limits will be made under Code Section 415 and this Arrangement.

5. "Maximum Benefit" shall mean the monthly equivalent of the maximum benefit permitted by Code section 415 to be paid a Participant under the Retirement Plan.

6. "Participant" shall mean a person who is an "annuitant" as that term is defined in [40 ILCS 5/14-103.07] or a "beneficiary" as that term is defined in [40 ILCS 5/14-103.08].

7. "Retirement Plan" shall mean the retirement plan administered by the State Employees' Retirement System of Illinois pursuant to [40 ILCS 5/14-101].

8. "System" shall mean the State Employees' Retirement System of Illinois.

9. "Unrestricted Benefit" shall mean the maximum monthly Normal or Early Retirement Benefit or Disability Benefit payable under Article 14 of the Illinois Pension Code [40 ILCS 5/14] determined without regard to the limitation imposed under section 415 of the Code.

c) Benefits.

1. Retirement Benefit. Upon the Normal retirement date of a Participant, as provided under the Retirement Plan, such Participant shall be entitled to a monthly benefit equal in amount to his or her Unrestricted Benefit less the Maximum Benefit.

2. Early Retirement Benefit. Upon the early retirement of a Participant, as provided under the Retirement Plan, such Participant shall be entitled to a monthly benefit equal in amount to his or her Unrestricted Benefit less the Maximum Benefit.

3. Disability Benefit. If a Participant is unable to work because of an illness or injury with an employer that participates in the Retirement Plan and as a result is entitled to a disability benefit provided under the Retirement Plan, such a Participant shall be entitled to a monthly benefit equal to his or her Unrestricted Benefit less the Maximum Benefit.

4. Spouse's Pension Benefit. Subject to subsection (c)(5) of this Section, upon the death of a Participant whose spouse is eligible for a pre- or post- retirement surviving spouse benefit under the Retirement Plan, the Participant's surviving spouse shall be entitled to a monthly benefit equal to the surviving spouse benefit determined in accordance with the provisions of the Retirement Plan without regard to the limitations under Code section 415 less the Maximum Benefit.

5. Benefit Payment. A retirement benefit payable under this subsection shall be paid at such time or times and in such form to the Participant as the benefit under the Retirement Plan would be paid.

d) Administration of the Arrangement.

1. Administrator. The Arrangement shall be administered by the System which shall have the authority to interpret the Arrangement and issue such policies as it deems appropriate. All provisions set forth in the Retirement Plan with respect to the Administrative powers and duties of the System, expenses of administration, and procedures for filing claims shall also be applicable with respect to the Arrangement. The System shall have the duty and responsibility to maintain records making the requisite calculations and disbursing the payments hereunder through the Comptroller of the State of Illinois. The System's interpretations, determinations, regulations, and calculations shall be final and binding on all persons and parties concerned.

2. Amendment and Termination. The System may amend or terminate the Arrangement at any time, provided, however, that no such amendment or termination shall adversely affect a benefit to which a terminated or retired Participant or his or her beneficiary is entitled under subsection (c) of this Section prior to the date of such amendment or termination unless the Participant becomes entitled to an amount equal to such benefit under another arrangement plan or practice adopted by the System.

3. Funding. The System will pay all benefits arising under this Arrangement and all costs, charges and expenses relating thereto through appropriations received from the State of Illinois, and miscellaneous income of the System, except those costs normally borne by other agencies or offices of the State of Illinois. No provision shall at any time be made with respect to segregating any assets of the System, or of any employer for payment of any benefits hereunder. No Participant, or any other person, shall have any interest in any assets or miscellaneous income of the System, the State, or of any employer by reason of the right to receive a benefit under the Arrangement.

4. Non-assignability of Benefits. The benefits payable hereunder or the right to receive future benefits under the Arrangement shall not be subject to judgment, execution, garnishment, attachment or other seizure by process, in bankruptcy or otherwise, nor to sale, pledge, mortgage or other alienation, and shall not be assignable to the same extent as provided for in [40 ILCS 5/14-147].

5. Terms of Arrangement. Nothing contained herein shall be construed as providing for assets to be held in trust or escrow or any other form of asset segregation for the Participant or for any other person or persons to whom benefits are to be paid pursuant to the terms of this Arrangement, the Participant's only interest hereunder being the right to receive the benefits set forth herein. To the extent the Participant or any other person acquires a right to receive benefits under this Arrangement, such right shall be no greater than the right of any unsecured, general creditor of the State of Illinois.

6. Applicable Law. All questions pertaining to the construction, validity, and effect of this Arrangement shall be determined in accordance with the laws of the State of Illinois and, unless inconsistent, with the laws of the United States.

7. Forfeiture Provisions. All rights to any benefits payable under this Arrangement, including the payment of any benefit installments, shall be immediately forfeited if the Participant's right to receive an annuity benefit under the Retirement Plan is terminated in accordance with [40 ILCS 5/14-149].

History

• Source: Added at 21 Ill. Reg. 4992, effective April 1, 1997

80 Ill. Adm. Code 1540.350 Qualified Illinois Domestic Relations Orders (QILDRO)

a) Definitions

1. The definitions in Section 1-119(a) of the Illinois Pension Code (Code) [40 ILCS 5] shall apply to this Section.

2. "Death Benefit" in Section 1-119(a)(2) of the Code includes a lump sum payment described in Sections 14-116, 14-117 and 14-128 of the Code.

3. "Member's Refund" in Section 1-119(a)(5) of the Code does not include an error refund as defined in subsection (a)(4) of this Section.

4. "Error Refund" as used in this Section includes:

A) a refund paid to a member as the result of an error in a payment to the System;

B) an interest rebate; or

C) a refund paid to a member as the result of the member's failing to complete the required contributions necessary to purchase or reinstate service credit.

5. "Disability Benefit" in Section 1-119(a)(3) of the Code includes:

A) an occupational disability benefit under Section 14-123 of the Code;

B) a temporary disability benefit under Section 14-123.1 of the Code; or

C) a nonoccupational disability benefit under Section 14-124 of the Code.

6. "Member's Retirement Benefit" as used in this Section means the total amount of the retirement benefit as defined in Section 1-119(a)(8) of the Code that would be payable to the member in the absence of a QILDRO.

7. "Partial Member's Refund" as used in this Section includes:

A) a refund of widow/survivor benefit contributions;

B) a refund of alternative formula contributions as a result of the member not completing sufficient service to qualify for the alternative formula retirement benefit; or

C) a refund of early retirement contributions.

8. "Permissive Service" in Section 1-119(a)(5.5) of the Code includes credit purchased by the member for military service, leaves of absence, early retirement incentives, contractual service, federal or out-of-state service, visually handicapped service, legislative staff intern service and unused sick and vacation time.

9. "Regular Service" in Section 1-119(a)(7.5) of the Code includes service for which compensation was paid on a State payroll and purchased by the member for a qualifying period, short periods of employment, full or partial refund, emergency or temporary employment, and service credit where the member previously opted not to participate in the System and subsequently opted to purchase the service credit for the participation.

10. "Accelerated Retirement Benefit" means an accelerated pension benefit payment under Sections 14-147.5 and 14-147.6 of the Code.

b) Requirements for a Valid Qualified Illinois Domestic Relations Order

The System will accept a court order as a valid Qualified Illinois Domestic Relations Order, or QILDRO, that meets all of the following requirements:

1. The order must be accompanied by a $50 non-refundable processing fee, by check payable to the State Employees' Retirement System.

2. If the order applies to a person who became a member of the System before July 1, 1999, the order must be accompanied by the original Consent to Issuance of QILDRO signed by the member.

3. The order must be a certified copy of an original order dated on or after July 1, 1999.

4. The order must have been issued by an Illinois court of competent jurisdiction in a proceeding for declaration of invalidity of marriage, legal separation, or dissolution of marriage that provides for the distribution of property, or any proceeding to amend or enforce such a property distribution, prior to the death of the member.

5. The order must contain the name, residence address, and Social Security number of the member.

6. The order must contain the name, residence address, and Social Security number of the alternate payee.

7. The order must identify the State Employees' Retirement System as the retirement system to which it is directed.

8. The order must express any amount to be paid to the alternate payee from a member's retirement benefit as a dollar amount per month or as a percentage per month.

9. The order must express any amount to be paid to the alternate payee from a member's refund or partial refund as a dollar amount or as a percentage of the refund.

10. The order must express any amount to be paid to the alternate payee from a member's death benefit as a dollar amount or as a percentage of the death benefit.

11. The order must apply only to benefits that are statutorily subject to QILDROs as provided in Section 1-119(b)(1) of the Code.

12. The order and, if applicable, the Consent to Issuance of QILDRO must be in the form adopted by the System.

13. No language may be added to, or omitted from, the QILDRO form or the consent form adopted by the System.

c) Requirement for a Valid QILDRO Calculation Court Order

The System will accept a court order as a valid QILDRO Calculation Court Order or as a QILDRO Calculation Court Order that meets all of the following requirements:

1. The order must be accompanied by a $50 non-refundable processing fee, with the check made payable to the State Employees' Retirement System.

2. The order must be a certified copy of an original order dated on or after July 1, 2006.

3. The order must have been issued by an Illinois court of competent jurisdiction in a proceeding for declaration of invalidity of marriage, legal separation, or dissolution of marriage that provides for the distribution of property, or any proceeding to amend or enforce such a property distribution.

4. The order must contain the name, residence address, and Social Security number of the member.

5. The order must contain the name, residence address, and Social Security number of the alternate payee.

6. The order must identify the State Employees' Retirement System as the retirement system to which it is directed.

7. The order must apply only to benefits that are statutorily subject to QILDRO Calculation Court Orders as provided in Section 1-119(b)(1) of the Code.

8. The order must be in the form directed by Section 1-119 of the Code.

9. No language may be added to, or omitted from, the QILDRO Calculation Court Order form adopted by the System.

10. The QILDRO Calculation Court Order must not be completed in a manner that changes the intent of the QILDRO to which it relates.

d) Required Form

1. A QILDRO/QILDRO Calculation Court Order must be in the form directed by Section 1-119 of the Code. The required QILDRO/QILDRO Calculation Court Order form is available from the System upon request or in PDF at www.state.il.us/srs.

2. A QILDRO/QILDRO Calculation Court Order that is not in the form adopted by the System is invalid.

3. A Consent to Issuance of QILDRO must be in the form adopted by the System as of the date that the QILDRO is received. The required consent form is available from the System upon request or in PDF at www.state.il.us/srs.

4. A consent form that is not in the form adopted by the System is invalid.

e) Filing a QILDRO with the System

1. A QILDRO should be sent to the System's Springfield Office, accompanied by the consent form, if applicable, and a $50 non-refundable processing fee.

2. A QILDRO will be deemed received by the System on the date that it is received in the System's Springfield Office.

3. Within 45 calendar days after receipt of a QILDRO, the System will review the order and notify the member and each alternate payee by first class mail that it has received the order, and whether the order is a valid QILDRO. If the System determines that the order is not a valid QILDRO, the notice will specify the reason or reasons.

4. A QILDRO that has been modified by the issuing court should be submitted in the same manner as the original QILDRO. A separate $50 non-refundable processing fee is required for each modified QILDRO.

f) Filing a QILDRO Calculation Court Order with the System

1. A QILDRO Calculation Court Order should be sent to the System's Springfield Office, accompanied by a $50 non-refundable processing fee.

2. A QILDRO Calculation Court Order will be deemed received by the System on the date that it is received in the System's Springfield Office.

3. Within 45 calendar days after receipt of a QILDRO Calculation Court Order, the System will review the order and notify the member and each alternate payee by first class mail that it has received the order, and whether the order is a valid QILDRO Calculation Court Order. If the System determines that the order is not a valid QILDRO Calculation Court Order, the notice will specify the reason or reasons.

4. A QILDRO Calculation Court Order that has been modified by the issuing court should be submitted in the same manner as the original QILDRO Calculation Court Order. A separate $50 non-refundable processing fee is required for each modified QILDRO Calculation Court Order. A modified QILDRO Calculation Court Order will not affect the priority of the QILDROs on file.

5. No QILDRO Calculation Order (QCO) is required when the System receives a valid QILDRO that directs 100% of the gross payment amount to the alternate payee.

6. No QILDRO Calculation Order (QCO) is required if the valid QILDRO directs a percentage of the gross amount of the death benefit to the alternate payee.

g) Benefits Affected by a QILDRO

1. A QILDRO may apply only to the following benefits administered by the System:

A) a monthly retirement benefit;

B) a member's termination refund;

C) a member's partial refund;

D) a member's death benefit; and

E) a member's accelerated retirement benefit.

2. If a QILDRO specifies a dollar amount or percentage payable to an alternate payee from any partial member's refund that becomes payable, the aggregate amount paid to the alternate payee from all partial member's refunds shall not exceed the dollar amount or percentage specified in the QILDRO.

3. A QILDRO shall not apply to any of the following:

A) a reversionary annuity that becomes payable following the death of the member;

B) a survivor benefit;

C) any disability benefit;

D) an error refund; and

E) any other benefit paid under Article 14 of the Code not specifically listed in subsection (g)(1) of this Section.

4. If the space provided on the QILDRO form for the dollar amount or percentage the alternate payee is to receive from the member's retirement benefit, member's refund, partial member's refund or death benefit is left blank, then the alternate payee will receive no portion of the benefit or refund for which the space is left blank.

h) Effect of a Valid QILDRO

1. Retirement Benefit

A) After the System has determined that a QILDRO applying to a retirement benefit on a dollar basis is valid, one of the following will occur:

i) If the member has not yet started receiving benefits, the QILDRO will be placed in the member's file and will be implemented when the first affected benefit payment commences; or

ii) If the member is already receiving benefits subject to the QILDRO, payment to the alternate payee will begin with the first payment to the member occurring at least 30 days after the QILDRO is received.

B) After the System has determined that a QILDRO applying to a retirement benefit on a percentage basis is valid, that the member has not retired, and that a QILDRO Calculation Court Order will be needed, the following will occur:

i) Within 45 days, the System will provide the information required in Section 1-119(h)(1.5)(B) of the Code;

ii) When the member requests a retirement benefit, within 45 days after the System receives all information necessary to determine the actual benefit payable, the System will provide the information required in Section 1-119(h)(1.5)(C) of the Code; and

iii) When the member requests a retirement benefit and there is no QILDRO Calculation Court Order on file, the System will advise the member and alternate payee of the need for a QILDRO Calculation Court Order. The System will determine an anticipated payment to the alternate payee based on information in the QILDRO, if it is possible to do so. The System will hold the alternate payee's anticipated payment and pay the member's monthly retirement benefit, less the amount held for the alternate payee, pending receipt of the QILDRO Calculation Court Order. Once the QILDRO Calculation Court Order is received, the System will adjust the amounts payable in accordance with the QILDRO Calculation Court Order and begin paying the alternate payee. However, if it is not possible for the System to determine an anticipated payment based only on the QILDRO, then neither the member nor the alternate payee will be paid until the QILDRO Calculation Court Order is received. If the System holds an anticipated payment for the alternate payee, then such payment will be issued to the alternate payee upon receipt of a valid QILDRO Calculation Court Order. The System shall not adjust the anticipated payment for the alternate payee unless expressly directed by a valid Court order.

C) After the System has determined that a QILDRO applying to a retirement benefit on a percentage basis is valid, and that the member is receiving a retirement benefit, the following will occur:

i) Within 45 days, the System will provide the information required in Section 1-119 (h)(1.5)(C) of the Code; and

ii) If there is no QILDRO Calculation Court Order on file, the System will advise the member and alternate payee of the need for a QILDRO Calculation Court Order. The System will determine an anticipated payment to the alternate payee based on information in the QILDRO, if it is possible to do so. The System will hold the alternate payee's anticipated payment and pay the member's monthly retirement benefit, less the amount held for the alternate payee, pending receipt of the QILDRO Calculation Court Order. Once the QILDRO Calculation Court Order is received, the System will adjust the amounts payable in accordance with the QILDRO Calculation Court Order and begin paying the alternate payee. However, if it is not possible for the System to determine an anticipated payment based only on the QILDRO, then neither the member nor the alternate payee will be paid until the QILDRO Calculation Court Order is received. If the System holds an anticipated payment for the alternate payee, then such payment will be issued to the alternate payee upon receipt of a valid QILDRO Calculation Court Order. The System shall not adjust the anticipated payment for the alternate payee unless expressly directed by a valid Court order.

2. Refund or Partial Refund

A) After the System has determined that a QILDRO applicable to a member's refund or partial member's refund is valid, one of the following will occur:

i) If the QILDRO provides that the refund or partial refund will be allocated on a dollar amount basis and the member has not applied for a refund or partial refund, the QILDRO will be placed in the member's file and will be implemented when payment of the affected refund or partial refund is made;

ii) If the QILDRO provides that the refund or partial refund will be allocated on a percentage basis and a QILDRO Calculation Court Order is not on file when the member requests a refund or partial refund, the System will provide the refund or partial refund amount to the member and alternate payee and will advise of the need for a QILDRO Calculation Court Order. The System will hold the refund or partial refund until the QILDRO Calculation Court Order is received;

iii) If a refund application is pending when the System receives a QILDRO that purports to apply to the refund but the refund payment has not yet been vouchered, the System will hold the portion of the refund that would be payable to the alternate payee until it receives clarification from the court as to whether the QILDRO is effective against that pending refund. It is the member's or alternate payee's responsibility to obtain clarification from the court and to notify the System of the court's clarification; or

iv) If a refund payment has already been vouchered when the System receives a QILDRO that purports to apply to the refund, the QILDRO shall not be effective against that refund.

B) If a QILDRO provides that a partial refund will be payable to an alternate payee, but the QILDRO Calculation Court Order does not allocate a portion of the partial refund to the alternate payee, then the entire partial refund will be payable to the member.

C) "Vouchered", as used in subsection (h)(2)(A), means that the voucher has been signed and dated, even though the warrant has not been issued by the Office of the State Comptroller.

3. Death Benefit

A) After the System has determined that a QILDRO applicable to a member's death benefit is valid, one of the following will occur:

i) If the QILDRO provides that the death benefit will be allocated on a dollar amount basis and if the System has not received notice of the member's death, the QILDRO will be placed in the member's file and will be implemented when payment of the affected death benefit is made;

ii) If the QILDRO provides that the death benefit will be allocated on a percentage basis and a QILDRO Calculation Court Order is not on file when the System is notified of the death of the member, the System will provide the death benefit amount to the beneficiary on file and the alternate payee and will advise of the need for a QILDRO Calculation Court Order. The System will hold the death benefit until the QILDRO Calculation Court Order is received.

• If a death benefit application is pending when the System receives a QILDRO that purports to apply to the death benefit but the death benefit payment has not yet been vouchered, the System will hold the portion of the death benefit that would be payable to the alternate payee until it receives clarification from the court as to whether the QILDRO is effective against that pending death benefit. It is the alternate payee's responsibility to obtain clarification from the court and to notify the System of the court's clarification;

• If a death benefit payment has already been vouchered when the System receives a QILDRO that purports to apply to the death benefit, the QILDRO shall not be effective against that death benefit;

• Notwithstanding subsection (h)(3)(A)(ii) of this Section, a QILDRO Calculation Court Order is not required when the death benefit is either payable to only the alternate payee and the member's estate, or totals the minimum amount of $500 as prescribed by Section 14-117 of the Code.

B) "Vouchered", as used in subsection (h)(3)(A), means that the voucher has been signed and dated, even though the warrant has not been issued by the Office of the State Comptroller.

4. Accelerated Retirement Benefit

A) For cases in which a valid QILDRO filed with the System grants prospective automatic annual increases to benefits of an alternate payee and the member subject to that QILDRO elects the accelerated retirement benefit under Section 14-147.6 of the Code, a supplemental order clarifying how the payment option is to be divided must be accepted before any of the retirement benefits payable to the member and alternative payee are vouchered. If no supplemental order was provided by or on behalf of the member subject to the QILDRO at the time he or she applies for the accelerated retirement benefit under Section 14-147.6, the System will advise of the need for a supplemental order. It is the member's or alternate payee's responsibility to obtain the supplemental order.

B) If a member subject to a valid QILDRO elects the accelerated retirement benefit under Section 14-147.5 of the Illinois Pension Code, a supplemental order clarifying how the accelerated retirement benefit is to be divided must be accepted by the System before any benefits payable to the member or the alternate payee may be vouchered. If no supplemental order was provided by or on behalf of the member subject to the QILDRO at the time he or she applies for the accelerated retirement benefit under Section 14-147.5, the System will advise of the need for a supplemental order. It is the member's or alternate payee's responsibility to obtain a supplemental order.

C) "Vouchered", as used in this subsection (h)(4), means that the voucher has been signed and dated, even though the warrant has not been issued by the Office of the State Comptroller.

i) Termination of QILDRO

The System will consider a QILDRO as having been terminated in any of the following situations:

1. Upon receipt of a certified copy of a court order terminating the QILDRO;

2. Upon payment of all amounts provided for in the QILDRO; or

3. When the person to whom the QILDRO applies ceases to be a member or annuitant of the System.

j) QILDROs Against Persons Who Became Members Prior to July 1, 1999

1. A QILDRO that applies to a person who became a member of the System prior to July 1, 1999, must be accompanied by the original Consent to Issuance of QILDRO signed by the member. If the original is unavailable, a certified copy of the consent form filed with the court that issued the QILDRO is acceptable in lieu of the original.

2. The Consent to Issuance of QILDRO must be in the form adopted by the System (including judicial district and county, case number and caption, member's name and SSN, alternate payee's name and SSN, member's signature and date) as of the date the QILDRO is received. A consent form that is not in the form adopted by the System is invalid.

3. In accordance with Section 1-119(m)(1) of the Code, a consent form must be signed by the member to whom the QILDRO applies. A consent form signed by a judge in lieu of the member is invalid.

k) Alternate Payee's Address

1. An alternate payee is responsible to report to the System in writing and in the form and manner prescribed by the System each change in their name and mailing address.

2. When a member's retirement benefit, refund or death benefit subject to a QILDRO becomes payable, the System will send notice to the last address of the alternate payee reported to the System that the benefit, refund or death benefit is payable. Other than sending such notice, the System shall have no duty to take any other action to locate an alternate payee.

3. The 180-day period during which the System will hold the retirement benefit, refund, or death benefit as provided in Section 1-119(e)(2) of the Code begins on the date that the notice described in subsection (j)(2) of this Section is sent to the last address of the alternate payee reported to the System, or on the date that the retirement benefit, refund, or death benefit becomes payable, whichever is later.

4. If the System does not receive written confirmation of the alternate payee's current mailing address in the form and manner prescribed by the System within the 180-day period, then the System will pay the amounts held under Section 1-119(e)(2) of the Code to the regular payee.

5. If the System receives written confirmation of the alternate payee's current mailing address in the form and manner prescribed by the System after the 180-day period, then the System will begin issuing applicable recurring benefit payments to the alternate payee in accordance with the QILDRO and QILDRO Calculation Court Orders on file with the System, but the alternate payee will have no right to any amounts already paid to the member.

l) Electing Form of Payment

1. A member's election either to receive or forego a proportional annuity under the Retirement Systems Reciprocal Act [40 ILCS 5/20] is not a prohibited election under Section 1-119(j)(1) of the Code.

2. A member's election to take a refund is not a prohibited election under Section 1-119(j)(1) of the Code.

3. A member's election of a form of payment of annuity that reduces the member's total benefit, while still allowing full payment to the alternate payee under a QILDRO at the date of the election, is not a prohibited election under Section 1-119(j)(1) of the Code.

m) Automatic Annual Increases

1. The alternate payee will or will not receive a proportionate share of any automatic annual increase in the member's retirement benefit under Section 14-114 or 14-115 of the Code, according to the designation in the QILDRO. If the QILDRO fails to designate whether the alternate payee is intended to receive a proportionate share of the automatic annual increase, then the System will presume that the alternate payee is not entitled to a proportionate share of the automatic annual increase in the member's share.

2. The initial increase in the amount due the alternate payee under the QILDRO is payable with the next succeeding increase due the member after the date the QILDRO first took effect.

3. The System will calculate the amount of any increase payable to the alternate payee under the QILDRO.

4. The amount of any increase payable to the alternate payee is the percentage of increase due the member under Sections 14-114 or 14-115 of the Code, multiplied by the alternate payee's monthly benefit as of the date of the increase.

n) Providing Benefit Information for Divorce Purposes

1. Within 45 days after receiving a subpoena or request from a member, the System will provide the information required in Section 1-119(h)(1) of the Code.

2. Information provided by the System for divorce purposes does not include the amount of a member's retirement benefit for which no information is yet on file with the System. The System will not provide a retirement benefit amount if the member is not vested. The System will not project earnings or future service. The System will not assume future eligibility for special formula employees or elections by members.

3. Information provided by the System for divorce purposes does not reflect an actuarial opinion as to the present value of a member's retirement benefit, refund, death benefits or other interests.

4. Except as otherwise indicated by the System in a statement regarding a member's benefits, information provided by the System for divorce purposes reflects the member's total service career for which service credit in the System has accrued, and is not isolated as to the marital period only. The System will not provide benefit information for the marital period or specific years.

5. The System does not calculate the amount of a member's retirement benefit, refund or death benefit that would be payable to a former spouse pursuant to a divorce decree or dissolution judgment.

6. While the System makes every effort to provide accurate information for divorce purposes, benefit estimates are by their nature approximate and subject to revision due to errors, omissions, erroneous assumptions, or future changes in the rules and laws governing the System.

7. The System does not disclose information for divorce purposes to spouses, former spouses, relatives, or other third parties including the member's attorney, except in response to the member's written authorization to release such information, or in response to a subpoena.

o) Member's Death before Entry of QILDRO Calculation Court Order

1. If the System has on file a valid QILDRO that allocates a System-provided benefit on a percentage basis and if the member named in the QILDRO dies before the associated QILDRO Calculation Court Order has been entered, then the System shall send a written notice to the alternate payee's last known address to advise the alternate payee that a valid QILDRO Calculation Court Order is needed and that it is the alternate payee's responsibility to have the required calculations performed and to file that order with the System.

2. If the alternate payee does not respond to the System's written notice by filing a valid QILDRO Calculation Court Order for the underlying QILDRO within 180 days after the System sends the written notice and, as a result, the alternate payee to whom benefits are to be directed under the QILDRO Calculation Court Order has not been located, then the System shall pay the System-provided benefits that would otherwise be distributed under the QILDRO to the regular payee's beneficiaries or estate as is provided in Article 14 of the Code.

3. The System has no duty or obligation to assist in performing calculations required for the entry of a QILDRO Calculation Court Order or in completing the QILDRO Calculation Court Order form.

p) Nontaxable Funds

1. Unless otherwise specified in a supplemental order, the nontaxable portion of a payment divided under Section 1-119 of the Code shall be paid solely to the member, or, when applicable, the member's named beneficiaries or estate.

2. Notwithstanding subsection (p)(1), nontaxable funds may be payable to an alternate payee if those funds are needed to fulfill the amount due to that alternate payee as ordered by a court in accordance with Section 1-119 of the Code.

History

• Source: Amended at 50 Ill. Reg. 4175, effective February 27, 2026

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.360 Election to Be an Employee Under Section 14-103.05(b)(3) of the Illinois Pension Code

An election to be considered an "employee" under Section 14-103.05(b)(3) of the Illinois Pension Code is an irrevocable election for all periods during which the person is serving at the appointment of the Governor with the advice and consent of the Senate. The election is valid and irrevocable for the entire period spent in a position, even upon reappointment to the same position. Appointment to a different position under Section 14-103.05(b)(3) requires the employee to complete a new election form.

History

• Source: Added at 34 Ill. Reg. 285, effective December 15, 2009

80 Ill. Adm. Code 1540.370 Americans With Disabilities Act

a) Purpose

1. This grievance procedure is established pursuant to the Americans With Disabilities Act of 1990 (ADA) (42 USC 12101 et seq.) and specifically Section 35.107 of the Title II regulations (28 CFR 35.107), requiring the adoption of a procedure to resolve grievances asserted by qualified individuals with disabilities. Interested parties may contact the ADA Coordinator to review the ADA or its regulations to understand the rights, privileges and remedies afforded by them.

2. In general, the ADA requires that each program, service and activity offered by the State Employees' Retirement System (System), when viewed in its entirety, be readily accessible to and usable by qualified individuals with disabilities.

3. It is the intention of the System to foster open communication with all individuals requesting readily accessible programs, services and activities. The System encourages supervisors of programs, services and activities to respond to requests for modifications before they become grievances.

b) Definitions

"ADA" means the Americans With Disabilities Act of 1990 (42 USC 12101 et seq.).

"ADA Coordinator" means the person appointed by the Executive Secretary of the System to coordinate the System's efforts to comply with and carry out its responsibilities under Title II of the ADA, including any investigation and prompt equitable resolution of grievances filed by complainants. The ADA Coordinator may be contacted at State Employees' Retirement System, ADA Coordinator, 2101 S. Veterans Parkway, Springfield IL 62704. (See 28 CFR 35.107.)

"Complainant" means a qualified individual with a disability who files a Grievance Form provided by the System.

"Disability" shall have the same meaning as set forth in the ADA.

"Executive Secretary" means the Executive Secretary of the System or a duly authorized designee.

"Grievance" means any written complaint under the ADA by an individual with a disability who meets the eligibility requirements for participation in, or receipt of, the benefits of a program, activity or service offered by the System and who believes he or she has been excluded from participation in, or denied the benefits of, any program, service or activity of the System, or who has been subject to discrimination by the System.

"Grievance Form" means the form prescribed for the purpose of filing a grievance under this Part and includes information such as name, address, telephone number, and nature of the grievance, with specificity, including date of incident, time, place and witnesses if applicable.

"Major Life Activities" means functions such as caring for one's self, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning or working.

"Qualified Individual with a Disability" means an individual with a disability who, with or without reasonable modifications to rules, policies or practices, the removal of architectural, communication or transportation barriers, or the provision of auxiliary aids and services, meets the essential eligibility requirements for the receipt of services or the participation in programs or activities provided by the System.

"Reasonable Modification" means modifications or adjustments to services, programs or activities that enable a qualified individual with a disability to participate in, or enjoy the benefits of the service, program or activity.

"System" means the State Employees' Retirement System of Illinois.

c) Procedures

1. The ADA Coordinator will endeavor to respond to and resolve grievances without the need to resort to the formal grievance procedure established by this Part. A person who wishes to avail himself or herself of the formal procedure, however, may do so only by filing a grievance within 180 calendar days after the alleged discrimination in the form and manner prescribed in this Section.

2. The ADA Coordinator shall provide a copy of the grievance procedure and the required complaint form to anyone who requests it or expresses a desire to file a formal grievance.

3. Grievances must be submitted in accordance with procedures established in this Section. It is mutually desirable and beneficial that grievances be satisfactorily resolved in a prompt manner. Time limits established in this procedure are in calendar days, unless otherwise stated, and may be extended by mutual agreement, in writing, by the complainant and the reviewer, at the reviews described in subsections (d) and (e).

4. A complainant's failure to submit a Grievance Form, or to submit or appeal it to the next level of review within the specified time limits, shall mean that the complainant has withdrawn the grievance or has accepted the System's last response as given in the grievance procedure.

5. A complainant must exhaust the remedies provided under this Part as a prerequisite for filing any action before a court or other administrative body.

6. The System shall, upon being informed of an individual's desire to file a formal grievance, instruct the individual how to receive a copy of this procedure and the Grievance Form.

d) ADA Coordinator Review

1. If an individual desires to file a grievance, the individual shall promptly, but no later than 180 days after the date of the alleged discrimination, submit a grievance to the ADA Coordinator on the Grievance Form prescribed for that purpose. The Grievance Form must be completed in full in order to receive proper consideration by the ADA Coordinator.

2. Upon request, the System shall assist an individual in completing the Grievance Form.

3. The grievance shall contain the following information:

A) The complainant's name, address and telephone number.

B) Information as to the best time and means for contacting the complainant.

C) The program, activity or service that was denied the complainant, or in which alleged discrimination occurred.

D) The date and nature of the denial or alleged discrimination.

E) An explanation of why the complainant believes he or she is a qualified individual with a disability.

F) The signature or execution of or on behalf of the complainant.

4. The complainant shall attach copies of any documents received from or submitted to the System that pertain to the program, activity or service referred to in the grievance.

5. The ADA Coordinator, or his/her representative, shall investigate the grievance and, if the grievance is found to be valid, shall make reasonable efforts to resolve it. The ADA Coordinator shall provide a written response to the complainant and Executive Secretary within 15 business days after receipt of the Grievance Form.

e) Final Review

1. If the grievance is not resolved pursuant to this Section to the satisfaction of the complainant, the complainant may submit a copy of the Grievance Form and ADA coordinator's response to the Executive Secretary for final review. The complainant shall submit these documents to the Executive Secretary, together with a short written statement explaining the reasons for dissatisfaction with the ADA Coordinator's written response, within 10 business days after service of the ADA Coordinator's response. Service is deemed complete five business days after mailing.

2. Within 15 business days after receipt of the complainant's request to the Executive Secretary for final review, the Executive Secretary shall appoint a three-member panel to evaluate the grievance. The Executive Secretary shall designate one panel member as chairman. The panel shall schedule a review of the grievance, which shall commence no later than 15 business days after the last panel member is appointed.

3. Complainant shall be afforded an opportunity to appear before the panel. Complainant shall have the right to appoint a representative to appear on his or her behalf. The panel shall review the complainant's Grievance Form and the ADA Coordinator's written response and may conduct interviews and seek advice as it deems appropriate.

4. Upon agreement of at least two of the panel members, but not later than 15 business days after the review described in subsection (b), the panel shall make written recommendations to the Executive Secretary regarding the proper resolution of the grievance. All recommendations shall include reasons for the recommendation and shall bear the signatures of the concurring panel members. A dissenting member of the panel may make a recommendation to the Executive Secretary in writing and shall sign his or her recommendation.

5. Within 15 business days after receipt of the panel's recommendations, the Executive Secretary shall approve, disapprove or modify the panel recommendations; shall render a decision on those recommendations in writing; shall state the basis for his or her decision; and shall cause a copy of the decision to be served on the parties. The Executive Secretary's decision shall be final. If the Executive Secretary disapproves or modifies the panel's recommendations, the Executive Secretary shall include written reasons for the disapproval or modification.

6. The Grievance Form, the ADA Coordinator's response, the complainant's statement of the reasons for dissatisfaction, the panel's recommendations, and the Executive Secretary's decision shall be maintained in accordance with the State Records Act [5 ILCS 160] or as otherwise required by law.

f) Accessibility

The System shall ensure that all stages of the grievance procedure are readily accessible and usable by individuals with disabilities.

g) Case-By-Case Resolution

Each grievance involves a unique set of factors that includes but is not limited to: the specific nature of the disability; the essential eligibility requirements, the benefits to be derived, and the nature of the service, program or activity at issue; the health and safety of others; and whether an accommodation would constitute a fundamental alteration to the program, service or activity, or cause undue hardship for the System. Accordingly, termination of a grievance at any level, whether through the granting of relief or otherwise, shall not constitute a precedent on which any other Complainants should rely.

History

• Source: Added at 34 Ill. Reg. 8313, effective June 10, 2010

80 Ill. Adm. Code 1540.380 Correction of Mistakes in Benefit Payments

a) If SERS mistakenly sets any benefit at an incorrect amount, it will recalculate the benefit as soon as may be practicable after the mistake is discovered.

b) If the recalculation results in a determination by SERS that it has overpaid a benefit and, if that benefit overpayment either was undiscovered for less than 3 years or resulted from incorrect information supplied by the affected member or beneficiary, then SERS will adjust the benefit to the correct level and notify the benefit recipient in writing. The written notice will indicate the correct amount of the benefit, the amount of the overpayment that must be recovered by the System, and the procedure for appealing the determination. If the affected member or beneficiary does not appeal the determination within 30 days after the postmark date of the written notice or, if, upon appeal, the Executive Committee affirms the System's determination, then SERS will make arrangements for collection of the amount of the overpayment. The overpayment can be repaid by:

1. reductions in any subsequent benefit payment due to the recipient or their survivors and beneficiaries;

2. repayment of the overpayment by the recipient to SERS;

3. other arrangement SERS makes with the recipient; or

4. any other means legally available to the System.

c) If the recalculation results in a determination by SERS that it has overpaid a benefit and, if that benefit overpayment was undiscovered for 3 or more years and did not result from incorrect information supplied by the affected member or beneficiary, then SERS will adjust the benefit to the correct level and notify the benefit recipient in writing. The written notice will indicate the correct amount of the benefit, describe the procedure for appealing the determination, and inform the benefit recipient that they are not required to repay SERS for the excess amounts received in error.

d) If the recalculation results in a determination by SERS that it has underpaid a benefit, then SERS will notify the benefit recipient, adjust the benefit to the correct level, and pay a lump sum amount to the recipient in the amount necessary to make the recipient whole as to the amounts that should have been paid to the recipient by SERS under the Code. The amount payable under this subsection (d) on account of an underpayment of an accelerated pension benefit payment shall be distributed from the State Pension Obligation Acceleration Bond Fund.

e) A benefit underpayment that arises from a back pay award may be acted upon under subsection (d) and is not required to be passed upon by the Board under Section 14-135.04 of the Code. However, if a member believes that the System has incorrectly adjusted the benefit or incorrectly calculated the amount of the underpayment, the member may appeal those calculations in the same manner as the appeal of an initial claim under Section 1540.270.

f) Amounts collected under subsection (b) on account of the overpayment of accelerated pension benefit payments shall be remitted to the State Pension Obligation Acceleration Bond Fund.

g) Nothing in this Section prevents SERS from referring any debt due SERS to the Attorney General, the Debt Collection Board, the Comptroller's Offset System, or private collection agencies at any time it deems appropriate.

h) If an error was made to the benefit calculation of a member who elected the estimated payment option under Section 14-110(a-5) of the Code, then the 3-year timeline prescribed under Section 14-148.1 of the Code shall be set to the date the actual benefit payment amount is finalized.

i) Definitions

As used in this Section:

"Accelerated Pension Benefit Payment" means any accelerated pension benefit payment provided under Section 14-147.5 or 14-147.6 of the Code.

"Benefit" means any retirement annuity, widow's annuity, survivor's annuity, occupational disability benefit, temporary disability benefit, nonoccupational disability benefit, death benefit, accelerated pension benefit payment, or other benefit payable under Article 14 of the Code or any portion of any proportional annuity or survivor's annuity that is payable by SERS under Article 20 of the Code.

"Code" means the Illinois Pension Code [40 ILCS 5].

"State Pension Obligation Acceleration Bond Fund" means the bond fund created by Section 7.7(d) of the General Obligation Bond Act [30 ILCS 330].

"SERS" means the State Employees' Retirement System of Illinois.

History

• Source: Amended at 50 Ill. Reg. 353, effective December 26, 2025

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.385 Suspension of Benefits from Uncashed Warrants

a) Monthly benefit payments to annuitants may be suspended when four monthly warrants remain uncashed. The System shall inquire as to the cause for the uncashed warrants. These and subsequent payments shall be made upon learning the circumstances or whereabouts of the warrants, or upon prompt compliance in cashing the warrants.

b) Any member that has his or her benefit suspended under this Section shall be required to register for direct deposit as a condition for resuming benefit payments.

History

• Source: Added at 41 Ill. Reg. 4217, effective March 22, 2017

80 Ill. Adm. Code 1540.390 Freedom of Information Act

a) Purpose. This Section establishes policies and procedures specific to SERS concerning requests for information made under FOIA [5 ILCS 140].

b) Freedom of Information Officer. The Freedom of Information Officer is the staff member at SERS responsible for responding to all requests for information on behalf of SERS as the "public body" under FOIA and is also responsible for maintaining all records required to be kept under FOIA and this Section. The Freedom of Information Officer shall be the SERS Executive Secretary or a designee of the SERS Executive Secretary. Denials issued by the Freedom of Information Officer shall inform the requester of the right of review by the Public Access Counselor under Section 9.5 of FOIA or by a court under Section 11 of FOIA.

c) Time and Place for Requests or Inspection. Records subject to FOIA shall be made available for inspection and copying at SERS principal office on weekdays between the hours of 8:00 a.m. and 4:30 p.m., excluding days during which the office is closed to the public. Written requests shall be mailed to the Freedom of Information Officer or a designee in the SERS Executive Department at 2101 S. Veterans Pkwy., P.O. Box 19255, Springfield IL 62794-9255. FOIA requests may also be submitted by facsimile (217-557-3943) or by email (SERS@srs.illinois.gov). Oral requests for inspection or copying may be made in person or by phone at 217-785-7016.

d) Fees. Unless a fee is waived or reduced under Section 6 of FOIA, fees may be imposed on the requester to recover costs of document production or reproduction according to the following schedule:

1. Photostatic copying of paper documents:

A) Black and white copies shall be charged after the first 50 pages at $0.05 per page;

B) Color copies shall be charged at $0.13 per page.

2. Printing of electronic documents or microfilmed/microfiched documents shall be charged at $0.05 per page.

3. Physical storage on electronic, tape or other media, shipping and facsimile transmission costs shall be charged to the extent those costs are incurred. Electronic transmission via e-mail shall be provided at no charge.

e) Exemptions. Records exempted under Section 7 or 7.5 of FOIA shall be exempt from inspection and copying.

History

• Source: Added at 41 Ill. Reg. 4217, effective March 22, 2017

80 Ill. Adm. Code 1540.395 Accelerated Pension Benefit Payment Program

a) Purpose. This Section establishes policies specific to SERS concerning the Accelerated Pension Benefit Payment Options authorized by Sections 14‑147.5 and 14‑147.6 of the Illinois Pension Code (Code) [40 ILCS 5].

b) Payment Option Limitations

1. A member needs to be an eligible person on or before June 1, 2026 in order to elect an accelerated pension benefit payment.

2. A member who elects the Level Income Option is ineligible to elect an accelerated pension benefit payment.

3. A member who elects the Social Security Offset Removal is ineligible to elect an accelerated pension benefit payment.

4. A member who elects a reversionary annuity is ineligible to elect an accelerated pension benefit payment.

5. A member subject to a mandatory distribution pursuant to section 401(a)(9) of the Internal Revenue Code (26 CFR 1) is ineligible to elect an accelerated pension benefit payment at least 30 days prior to the date the mandatory distribution must be paid. The election form of such a member must be received by SERS at least 30 days prior to the date the mandatory distribution must be paid.

6. A member who is indebted to SERS because of an overpayment is ineligible to elect the accelerated pension benefit payment under Section 14‑147.5 of the Code. That member may qualify for an accelerated pension benefit payment upon repaying the debt in full.

7. An election for an accelerated pension benefit payment under Section 14-147.5 of the Code that is submitted by a member that received disability benefits and has a pending claim for either Social Security disability benefits or benefits payable under the Workers' Compensation Act [820 ILCS 305] or Workers' Occupational Diseases Act [820 ILCS 310], shall not be processed until a determination has been made on that claim.

8. A member who cashed or deposited the payment of a proportional annuity from another participating system prior to December 1, 2018, when creditable service or earnings credit established under Article 14 of the Code was used to calculate a proportional annuity or to qualify the member for a proportional annuity, is ineligible to elect an accelerated pension benefit payment.

9. A member who cashed or deposited the payment of a proportional annuity from another participating system prior to December 1, 2018, when creditable service or earnings credit established under another participating system was used to calculate the proportional annuity payable by SERS established under Article 14 of the Code or to qualify the member for the proportional annuity payable by SERS established under Article 14 of the Code is ineligible to elect an accelerated pension benefit payment.

c) The present value of pension benefits calculation, as determined by Section 14‑147.5(b) of the Code, shall not include any earnings credits under another participating system.

d) For a member who elects the accelerated pension benefit payment prescribed under Section 14‑147.5 of the Code, the effective date of that accelerated pension benefit payment shall not be before April 1, 2019. Furthermore, the effective date of the payment shall not be before the first of the month immediately following the date in which a valid application is received by SERS.

e) The effective date for accelerated pension benefit payment prescribed under Section 14‑147.6 of the Code:

1. shall not be before December 1, 2018; and

2. shall not be before the effective date of the member's retirement annuity.

f) The accelerated pension benefit payment shall not be transferred to the member's eligible account prior to the effective date of the member's retirement annuity.

g) A valid application for an accelerated pension benefit must be received by SERS before June 1, 2026 in order to qualify a member for an accelerated pension benefit.

h) The election to receive an accelerated pension benefit payment under Section 14‑147.6 of the Code becomes irrevocable on either the date the member cashes or deposits the first retirement annuity payment, or the date on which the accelerated pension benefit payment is vouchered, whichever occurs earlier.

i) The election to receive an accelerated pension benefit payment under Section 14‑147.5 of the Code becomes irrevocable on the date the accelerated pension benefit payment is vouchered.

j) Accelerated pension benefit payments shall be paid solely from the amounts transferred to SERS from the State Pension Obligation Acceleration Bond Fund. Under no circumstance will other SERS assets be used to pay accelerated pension benefit payments. All elections for an accelerated pension benefit payment that will not be paid from amounts transferred to SERS from the State Pension Obligation Acceleration Bond Fund shall be null and void.

k) For cases in which a member is charged with a felony related to, arising out of, or in connection with his or her service as an employee and elects an accelerated pension benefit payment, the adjudication process related to the charges must be completed before the accelerated pension benefit payment is vouchered. If the member is convicted and sentenced of a felony related to, arising out of, or in connection with his or her service as an employee, the payment shall not be vouchered.

l) A member who elects the accelerated pension benefit payment under Section 14‑147.5 of the Code is ineligible to receive a refund under Section 14‑130(c) of the Code.

m) A member with post-tax contributions on file with SERS, and who elects the accelerated pension benefit payment under Section 14‑147.5 of the Code, may not elect to transfer the payment into the pre-tax plan offered under the State Employees Deferred Compensation Plan.

n) On or after the date that a member's accelerated pension benefit payment is vouchered, that member is ineligible to establish creditable service associated with employment before the date that the accelerated pension benefit payment is vouchered.

o) If a member who elected the Early Retirement Incentive under Section 14-108.3 of the Code elects the accelerated pension benefit payment under Section 14‑147.5 of the Code, then the calculation of that payment shall exclude the creditable service and age enhancement components of the Early Retirement Incentive program unless the member has paid the necessary costs under Section 14-108.3(c) prior to the election of the accelerated pension benefit payment.

p) If a member has irrevocably elected to receive an Accelerated Pension Benefit Payment and if the member's spouse dies after the date of that election but before the System has paid the Accelerated Pension Benefit Payment, then the amount to be paid as an Accelerated Pension Benefit Payment shall not be recalculated, reduced, or otherwise adjusted on account of the death of the member's spouse.

q) An election of the accelerated pension benefit payment under Section 14-147.6 of the Code shall be invalidated when a member fails to document their eligible account prior to one month of the start date of the automatic annual increases that would have otherwise been payable.

r) An accelerated pension benefit payment shall not be adjusted for a member who reenters service and subsequently retires.

s) Definitions

"Accelerated Pension Benefit Payment" means an accelerated pension benefit payment under Sections 14‑147.5 and 14‑147.6 of the Code.

"Accrued Sufficient Service Credit to be Eligible to Receive a Retirement Annuity Under this Article" means, for the purposes of Section 14‑147.5(a)(2) of the Code, that a member must have established sufficient creditable service to qualify for a retirement annuity under Article 14 of the Code. Service credit on file with another participating system at the time of the member's election for an accelerated pension benefit payment under Section 14‑147.5 shall be excluded for those purposes.

"Code" means the Illinois Pension Code [40 ILCS 5].

"Creditable Service" means service defined as "creditable service" under Section 14‑103.15 of the Code.

"Eligible Account" means a "tax qualified retirement plan or account" required by Sections 14‑147.5(e) and 14‑147.6(d) of the Code.

"Level Income Option" means a benefit payment option prescribed by Section 14‑112 of the Code.

"Participating System" means a retirement system defined as a "participating system" by Section 20‑108 of the Code.

"Proportional Annuity" means a retirement annuity paid in accordance with Section 20‑121 of the Code.

"Reversionary Annuity" means a reversionary annuity authorized by Section 14‑113 of the Code.

"Social Security Offset Removal" means the 3.825% reduction to a member's retirement annuity established by Sections 14‑119(d) and 14‑121(g) of the Code.

"State Employees Deferred Compensation Plan" means the plan described by Section 24‑104 of the Code.

"State Pension Obligation Acceleration Bond Fund" means the bond fund created by Section 7.7(d) of the General Obligation Bond Act [30 ILCS 330].

"Vouchered" means that the voucher has been signed and dated, even though the warrant has not been issued by the Office of the State Comptroller.

History

• Source: Amended at 50 Ill. Reg. 7700, effective May 20, 2026

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.399 Minimum Total Survivors' Annuity Benefit Payments to Multiple Eligible Survivors of a Tier 1 Member

a) If the minimum total survivor's annuity benefit prescribed under Section 14-121(i) of the Code is payable on behalf of a deceased Tier 1 member, and an eligible spouse and eligible children survive, then the total survivor's annuity benefit shall be divided in the following manner:

1. If an eligible spouse and one eligible child survives, then the eligible spouse's portion shall total 50% of the total survivor's annuity benefit and the eligible child's portion shall total 50% of the total survivor's annuity benefit.

2. If an eligible spouse and two eligible children survive, then the eligible spouse's portion shall total 37.5% of the total survivor's annuity benefit and each eligible child's portion shall total 31.25% of the total survivor's annuity benefit.

3. If an eligible spouse and three eligible children survive, then the eligible spouse's portion shall total 30% of the total survivor's annuity benefit and each eligible child's portion shall total 23.33% of the total survivor's annuity benefit.

4. If an eligible spouse and four eligible children survive, then the eligible spouse's portion shall total 25% of the total survivor’s annuity benefit and each eligible child's portion shall total 18.75% of the total survivor's annuity benefit.

5. If an eligible spouse and five eligible children survive, then the eligible spouse's portion shall total 21.43% of the total survivor's annuity benefit and each eligible child's portion shall total 15.71% of the total survivor's annuity benefit.

6. If an eligible spouse and more than five eligible children survive:

A) each child's portion as a percentage of the total survivor's annuity benefit shall be determined by dividing the numerator as determined by subsection (a)(6)(A)(i) by the denominator as determined by subsection (a)(6)(A)(ii).

i) The numerator equals the number of eligible children multiplied by 20, plus 10, and that amount is divided by the number of eligible children.

ii) The denominator equals the number of eligible children, multiplied by 20, plus 40.

B) the eligible spouse's portion of the total survivor's annuity benefit shall equal, as a percentage, 100% less the total survivor's annuity benefit percentage payable to the eligible children as provided under subsection (a)(6)(A).

b) In accordance with Section 14-121 of the Code, the survivor's annuity benefit of a minor child under the care of an eligible surviving spouse shall be payable to the surviving spouse until the minor child turns age 18.

c) For purposes of this Section, "Tier 1 member" means a member who first became a member or a participant before January 1, 2011 under any reciprocal retirement system or pension fund established under the Code, other than a retirement system or pension fund established under Article 2, 3, 4, 5, 6, or 18 of the Code. (Section 14-103.41 of the Code)

History

• Source: Added at 49 Ill. Reg. 2543, effective February 20, 2025

80 Ill. Adm. Code 1540.400 Multiple Survivors of a Tier 2 Member

a) If 2 or more persons are eligible to receive survivor's annuities, as provided under either Section 1-160(f) or 1-161(i) of the Code, based on the same deceased Tier 2 member, then the calculation of the survivors' annuities shall be based on the total amount of the survivors' annuity divided by the number of persons eligible to receive the benefit.

b) For purposes of this Section, "Tier 2 Member" means a member of the System who is subject to the provisions of Sections 1-160 and 1-161 of the Illinois Pension Code.

History

• Source: Added at 44 Ill. Reg. 534, effective December 27, 2019

80 Ill. Adm. Code 1540.401 Implementation of Section 14-110(a-5) of the Code

a) The term, "files for the retirement benefit with the System" as used in Section 14-110(a-5) of the Code means all of the following events necessary to validate the member's eligibility for the retirement annuity and to process the estimated payment provided in Section 14-110(a-5) of the Code have occurred, which includes:

1. The member's completed retirement application has been received;

2. A copy of the member's birth certificate has been received;

3. The member's completed tax withholding form has been received;

4. The member's completed State Group Insurance Plan election form has been received;

5. The member's completed direct deposit agreement, or their written authorization to issue payments by paper check form has been received;

6. If the member is married, a copy of the member's marriage certificate and a copy of their spouse's birth certificate form have been received;

7. If the member is widowed and single, a copy of the member's deceased spouse's death certificate or obituary form has been received;

8. If the member is divorced and single, a copy of the divorce decree has been received;

9. If the member or dependent is eligible for Medicare, a copy of the Medicare card has been received;

10. The member's final payment for compensation for personal services has been recorded with the System;

11. No contribution arrearages or unpaid service credit purchase balances associated with the member's account exist;

12. The member's irrevocable election to receive an estimated payment has been received;

13. The member's completed election as required under Section 14-147.6(b) of the Code form has been received; and

14. The supplemental order required under Section 1540.350 h) 4) A) of this Part if a QILDRO has been entered regarding the member's retirement benefits and they have elected the accelerated retirement benefit payment under Section 14-147.6(b) of the Code; and

15. A completed Employer Statement in which the member's employer certified the member's last day of service and their last rate of compensation form has been received.

b) The term, "best estimate" as used in Section 14-110(a-5) of the Code utilizes the monthly rate of compensation received by the person on the last day of their eligible creditable service as the final average compensation component of the retirement annuity calculation.

History

• Source: Amended at 50 Ill. Reg. 7700, effective May 20, 2026

80 Ill. Adm. Code 1540.405 Tier 2 Member Final Average Compensation

a) For purposes of calculating the final average compensation of a retirement annuity of a Tier 2 member, the average compensation for the last 12 months shall not exceed the average compensation of the final 48 month period by more than 25%. (See Section 14-103.12(a) of the Illinois Pension Code (Code) [40 ILCS 5].)

b) For purposes of this Section, "Tier 2 Member" means a member of the System who is subject to the provisions of Section 1-160 of the Code.

History

• Source: Amended at 50 Ill. Reg. 353, effective December 26, 2025

Chapter I State Employees' Retirement System of Illinois

Part 1540 The Administration and Operation of the State Employees' Retirement System of Illinois

80 Ill. Adm. Code 1540.406 Retirement Eligibility Criteria for Tier 2 Members Who Are Vested with Police Powers

a) A Tier 2 member qualifies for a retirement annuity payable at age 55 provided that the member has attained at least 20 years of eligible creditable service for service as any of the following: a State policeman, investigator for the Secretary of State, conservation police officer, investigator for the Department of Revenue or the Illinois Gaming Board, investigator for the Office of the Attorney General, Commerce Commission police officer, or arson investigator, as defined in subsection (b) and subsection (c) of Section 14-110 of the Illinois Pension Code [40 ILCS 5].

b) For purposes of this Section, "Tier 2 Member" means a member of the System who is subject to the provisions of Section 1-160 of the Illinois Pension Code.

History

• Source: Added at 48 Ill. Reg. 13838, effective August 27, 2024

80 Ill. Adm. Code 1540.410 Final Average Compensation for Certain Alternative Retirement Annuity Recipients

For purposes of retirement and survivor annuities, in the case of a member who first became a member of the System prior to January 1, 1998 and who is eligible to receive an alternative retirement annuity under Section 14-110 of the Code on or after that date, "final average compensation" means final average compensation as defined by Section 14-103.12(a), (c) or (d) of the Code, whichever is greater.

History

• Source: Added at 45 Ill. Reg. 3023, effective February 26, 2021

80 Ill. Adm. Code 1540.415 Prohibited Transactions

The payment of any type of refund or any type of accelerated pension benefit payment provided under Article 14 of the Pension Code shall not be transferred to a Roth IRA or any other type of account in which a person can receive distributions on a tax-free basis.

History

• Source: Added at 46 Ill. Reg. 14779, effective August 22, 2022

80 Ill. Adm. Code 1540.APPENDIX A Grievance Form

Grievance

Discrimination Based on Disability

It is the policy of the State Employees' Retirement System to provide assistance in filling out this form. If assistance is needed, please ask:

State Employees' Retirement System, ADA Coordinator

2101 S. Veterans Parkway, P. O. Box 19255

Springfield IL 62704

217-785-7444, 217-785-7218 (TDD)

Name:

Address:

City, State and Zip Code:

Telephone No.:

Program, Service or Activity to which Access was Denied or in which Alleged Discrimination

Occurred:

Date of Alleged Discrimination:

Nature of Alleged Discrimination:

(Attach additional sheets, if necessary, and copies of any documents received or submitted to the System that pertain to the program, activity or service referred to in this grievance. If the grievance is based on a denial of requested reasonable modification, please fill out the back of this form.)

I certify that I am qualified or otherwise eligible to participate in the program, service or activity and the above statements are true to the best of my knowledge and belief.

Signature

Date

Please give to the ADA Coordinator at the address listed above.

History

• Source: Added at 34 Ill. Reg. 8313, effective June 10, 2010

80 Ill. Adm. Code 1540.TABLE A Optional Forms of Benefits - Basis of Computation

AGE

A

B

1

0.000342

0.000171

2

0.000342

0.000171

3

0.000342

0.000171

4

0.000342

0.000171

5

0.000342

0.000171

6

0.000342

0.000140

7

0.000318

0.000118

8

0.000302

0.000104

9

0.000294

0.000097

10

0.000292

0.000096

11

0.000293

0.000104

12

0.000298

0.000113

13

0.000304

0.000121

14

0.000310

0.000131

15

0.000317

0.000140

16

0.000325

0.000149

17

0.000333

0.000159

18

0.000343

0.000168

19

0.000353

0.000179

20

0.000365

0.000189

21

0.000377

0.000201

22

0.000392

0.000212

23

0.000408

0.000225

24

0.000424

0.000239

25

0.000444

0.000253

26

0.000464

0.000268

27

0.000488

0.000284

28

0.000513

0.000302

29

0.000542

0.000320

30

0.000572

0.000342

31

0.000607

0.000364

32

0.000645

0.000388

33

0.000687

0.000414

34

0.000734

0.000443

35

0.000785

0.000476

36

0.000860

0.000502

37

0.000907

0.000536

38

0.000966

0.000573

39

0.001039

0.000617

40

0.001128

0.000665

41

0.001238

0.000716

AGE

A

B

42

0.001370

0.000775

43

0.001527

0.000842

44

0.001715

0.000919

45

0.001932

0.001010

46

0.002183

0.001117

47

0.002471

0.001237

48

0.002790

0.001366

49

0.003138

0.001505

50

0.003513

0.001647

51

0.003909

0.001793

52

0.004324

0.001949

53

0.004755

0.002120

54

0.005200

0.002315

55

0.005660

0.002541

56

0.006131

0.002803

57

0.006618

0.003103

58

0.007139

0.003443

59

0.007719

0.003821

60

0.008384

0.004241

61

0.009158

0.004703

62

0.010064

0.005210

63

0.011133

0.005769

64

0.012391

0.006386

65

0.013868

0.007064

66

0.015592

0.007817

67

0.017579

0.008681

68

0.019804

0.009702

69

0.022229

0.010922

70

0.024817

0.012385

71

0.027530

0.014128

72

0.030354

0.016160

73

0.033370

0.018481

74

0.036680

0.021092

75

0.040388

0.023992

76

0.044597

0.027185

77

0.049388

0.030672

78

0.054758

0.034459

79

0.060678

0.038549

80

0.067125

0.042945

81

0.074070

0.047655

82

0.081484

0.052691

83

0.089320

0.058071

84

0.097525

0.063807

85

0.106047

0.069918

AGE

A

B

86

0.114836

0.076570

87

0.124170

0.083870

88

0.133870

0.091935

89

0.144073

0.101354

90

0.154859

0.111750

91

0.166307

0.123076

92

0.178214

0.135630

93

0.190460

0.149577

94

0.203007

0.165103

95

0.217904

0.182419

96

0.234086

0.201757

97

0.248436

0.222044

98

0.263954

0.243899

99

0.280803

0.268185

100

0.299154

0.295187

101

0.319185

0.325225

102

0.341086

0.358897

103

0.365052

0.395843

104

0.393102

0.438360

105

0.427255

0.487816

106

0.469531

0.545886

107

0.521945

0.614309

108

0.586518

0.694885

109

0.665268

0.789474

110

1.000000

1.000000

History

• Source: Amended at 23 Ill. Reg. 3824, effective March 9, 1999

Part 1570 The Administration and Operation of the State Employees' Retirement System of Illinois – Social Security Unit

80 Ill. Adm. Code 1570.5 Introduction

a) The following rules are designed to carry out the provisions of Title 11, Section 218 of the Federal Social Security Act (42 USC. 418) and federal regulations adopted pursuant thereto.

b) In accordance with the provisions of the Illinois Revised Statutes, ch. 108½, Art. 21, Section 128 of the Social Security Enabling Act of the State of Illinois which authorizes the State Agency to "make and publish such rules and regulations, not inconsistent with the provisions of this Article, as it finds necessary or appropriate to the efficient administration of the functions with which it is charged", the State Agency does hereby resolve, establish and promulgate and declare effective the following revised rules to implement the provisions of said Act.

80 Ill. Adm. Code 1570.10 Expenses Incurred Establishing Social Security Coverage

The Social Security Unit, referred to hereafter as the "State Agency" does not assume obligation for the cost of any legal services, actuarial studies, professional consultation fees or administrative costs incurred by a political subdivision or a public retirement system coverage group related to entering into a social security coverage agreement.

80 Ill. Adm. Code 1570.20 Resolution of Legal Question Coincident to Adoption of Social Security Coverage

If, in the preliminary stages of the establishment of social security coverage for a political subdivision or a public retirement system group, there shall arise legal questions requiring clarification, the State Agency shall be guided by the legal determinations of the Attorney General of the State of Illinois in questions involving State's statutes and by the Office of the General Counsel of the Social Security Administration in matters involving interpretation of the Social Security Act. The governing body of the political subdivision or the Board of Trustees of a public retirement system is not relieved of the responsibility to obtain legal advice from their own counsel. Legal opinions and advice of independent counsel shall be furnished to the State Agency upon request.

80 Ill. Adm. Code 1570.30 Employer's Tax Liability, When Does It Begin

Coverage does not begin until an entity's agreement has been approved by the Social Security Administration. During the period between adoption of the Social Security agreement by the entity's governing body and federal approval, the employer has no legal authorization to make social security deductions from the employee's wages under the coverage agreement. However, the employer, with consent of the employees, may make deductions and hold them in an escrow account pending receipt of the Notice of Approval from the State Agency. If an employee resigns during the interim period, and before the date on which federal approval is given, the employee shall be refunded the deductions withheld from his wages for social security purposes. In the event a question arises as to whether final wages of an employee are subject to being included upon initial wage reports, the State Agency shall determine whether tax liability upon said wages has occurred.

History

• Source: Amended at 8 Ill. Reg. 15903, effective August 16, 1984

80 Ill. Adm. Code 1570.40 Employer's Identifying Information

a) There shall be one employer's identification number issued for each political entity under coverage. The designated reporting official shall file one consolidated report of wages for all departments within the entity for retroactive coverage under a new coverage agreement for periods prior to January 1, 1987. Functional units of administration which are integral parts of the entity, even though maintaining separate divisional payrolls, shall not report wages separately to the State Agency unless such functional units have been authorized for reporting purposes by the State Agency.

b) The employer identification number and mailing address shall not be changed or altered upon the preprinted wage report. If a change of address or appointment of a new reporting official has occurred, the State Agency shall be notified immediately in writing. If, through mailing error one entity receives another entity's report forms, it shall be the responsibility of the reporting official to immediately contact the State Agency.

History

• Source: Amended at 13 Ill. Reg. 1577, effective January 23, 1989

80 Ill. Adm. Code 1570.50 Employees' Social Security Account Number

At the beginning of an employment relationship, the reporting official shall request to see the employees' social security card and enter into the payroll records of the entity, the employees' full name and social security number exactly as it appears upon the employees' social security card. Every employee whose position is covered under the entity's social security coverage agreement, must have a social security number. If an employee does not have a number, the reporting official shall direct him to the nearest Social Security Office to apply for a number and return the receipt issued by the Social Security Administration to the local reporting official. If an employee has not been issued a social security number by the time the next wage report is due, a duplicate of the receipt issued by the Social Security Office to the new employee must be attached to the wage report. If an employee has changed his name, the employee should be directed to the nearest Social Security Office to obtain a new social security card showing his new name.

History

• Source: Amended at 5 Ill. Reg. 7237, effective July 1, 1981

80 Ill. Adm. Code 1570.60 Employer's Responsibility to Withhold Social Security Contributions (repealed)

History

• Source: Repealed at 13 Ill. Reg. 1577, effective January 23, 1989

80 Ill. Adm. Code 1570.70 Due Dates for Social Security Contributions Payments and Wage Reports

a) Retroactive Payments of Social Security Contributions Under a New Coverage Agreement.

1. Each entity which enters into a new coverage agreement shall prepare on prescribed forms, a report of covered wages paid to all covered employees for each period and shall remit to the State Agency the related amount of Social Security Contributions due thereon for periods prior to January 1, 1987, if any, as determined by the effective date of coverage specified by the entity in the coverage agreement. The State Agency will notify the entity of its payment and reporting responsibility to the Internal Revenue Service (IRS) for retroactive periods beginning January 1, 1987.

2. The entity should refer to Internal Revenue Service Publications (such as Circular E, "Employer's Tax Guide") for instructions for subsequent payments and reports. The entity's wage reporting and contribution liability begins as of the effective date specified in the coverage agreement and continues until such time as the entity is dissolved or ceased to maintain a legal existance due to dissolution, annexation, or consolidation with another political entity.

b) Penalties for Failure to Meet Prescribed Due Dates.

Upon notification to the State Agency by the Social Security Administration of reports and deductions due, the State Agency shall notify the entity within ten (10) business days of receipt of such notice. Failure to pay contributions by the designated due date will result in the failure by the State Agency to deposit contributions by the Federal due dates. Federal interest penalties assessed the State for such delinquent contributions will be subsequently charged to the entity. Such interest charges will be due and payable upon receipt of the notice of assessment from the State Agency.

History

• Source: Amended at 13 Ill. Reg. 1577, effective January 23, 1989

80 Ill. Adm. Code 1570.80 Adjustment of Wage Reports

The primary responsibility to report an employee's wages rests upon the employer. This responsibility requires that the employer shall take immediate action to correct errors in reported wages as soon as such errors are discovered. For periods prior to January 1, 1987, local officials shall comply with the following as soon as reporting errors are discovered.

a) All adjustments shall be filed on forms prescribed by the State Agency.

b) Whenever a reporting error is discovered, either by the State Agency or upon receipt of notice from the entity, the State Agency shall forward adjustment forms to the entity and shall set a due date by which the entity must return the completed adjustment form with payment of additional contributions, if required. Any federal interest penalties that arise because of the entity's failure to comply with the due dates set by the State Agency shall be assessed directly against the entity.

c) An adjustment decreasing the amount of wages previously reported must be accompanied by an explanation of the error to justify removal of the erroneous wage credits from the employee's earnings records by the Social Security Administration. The State Agency shall refuse to process a decrease adjustment if the entity has failed to include an adequate explanation.

d) If a reporting error is discovered at the federal level, the employing entity must comply with all State and Federal requirements to resolve the discrepancy. The employing entity will be responsible to report and pay any contributions and interests determined payable by the Social Security Administration.

e) If a refund of contributions reflects both employee and employer contributions, it shall be the employer's responsibility to make appropriate refunds to all employees involved.

History

• Source: Amended at 13 Ill. Reg. 1577, effective January 23, 1989

80 Ill. Adm. Code 1570.90 Annual Statements to Employees, Form W-2 Wage and Tax Statement

a) Not later than January 31, or not later than 30 days after the date of the last payment of wages is made to an individual whose employment has been terminated each employing entity is required to furnish to each employee a Form W-2, Wage and Tax Statement for the applicable calendar year. Covered entities shall obtain supplies of Form W-2 from the Internal Revenue Service (IRS) district office servicing their local area, or from a private vendor who prints such forms upon order in accordance with IRS specifications.

b) Compliance with the regulations issued to employers by the Internal Revenue Service regarding Form W-2, applicable to the particular calendar year, shall constitute compliance with this rule.

c) Each entity that has adopted social security coverage through the State Agency is required to insert upon the W-2 Form in the appropriate block as specified by IRS instructions, the entity's social security account identification number referred to in Section 1570.40.

d) Covered entities shall not file with the State Agency copies of W-2 Forms issued to their employees; however, the employer's copy of the W-2 Forms shall be made available to the State Agency upon request, to confirm annual totals of wages paid to employees for purposes of social security credit under the entity's coverage agreement for periods prior to January 1, 1987.

History

• Source: Amended at 13 Ill. Reg. 1577, effective January 23, 1989

80 Ill. Adm. Code 1570.100 Recovery of Administrative Expenses of the Social Security Unit

a) General Conditions for Recovery of Administrative Expenses

1. Each entity electing participation in the Social Security insurance program shall reimburse the State Agency for the benefit of the State Treasury a pro rated share of the State Agency's total operational expenses.

2. For purposes of recovering the operational expenses incurred by the State of Illinois in administering the federal social security program, the State Agency shall allocate the amounts to be assessed according to the two classifications of participating entities, Absolute Coverage Group and Retirement System Coverage Group.

3. The administrative charge to be assessed upon the two classifications of participating entities shall be based upon the established costs of operating the State's Social Security program for the fiscal year ending June 30 as determined by the official accounts and records of the State Employees' Retirement System, Social Security Unit.

4. The pro rated share of operating expenses shall be based on the allocation of time spent in administering coverage for the two classifications of participating entities.

b) Absolute Coverage Group

1. For the first year of participation (or fraction thereof) and annually thereafter, each absolute coverage group shall be assessed a yearly charge of $40 for maintenance of the coverage contract between the State Agency and the Social Security Administration. Entities in an inactive status for a full calendar year shall not be assessed a contract maintenance charge for that year.

2. In addition to the annual contract maintenance charge, each entity under an absolute coverage group agreement shall be assessed a pro rata share of the remainder of the State Agency's annual operating costs after amounts allocated to each retirement system coverage group and the amounts recovered under the contract maintenance charge have been subtracted from the total. The pro rata share shall be expressed in terms of the ratio which each entity's total annual social security contribution payment bears in relation to the total social security contributions paid into the State Agency for the calendar year 1986.

c) Annual Statement.

Except for the State Employees' Retirement System, the administrative charge shall be included upon an annual statement forwarded to each participating entity in the month of December and shall become payable on or before April 5 of the following year.

d) Penalty.

There shall be added to each such assessment remaining unpaid more than 30 days after date of Notice of Delinquency has been given a penalty of 5% of the amount of the assessment or a penalty of $10, whichever is greater.

History

• Source: Amended at 13 Ill. Reg. 1577, effective January 23, 1989

80 Ill. Adm. Code 1570.110 Termination of Coverage for Reason of Entity's Financial Condition (repealed)

History

• Source: Repealed at 13 Ill. Reg. 1577, effective January 23, 1989

80 Ill. Adm. Code 1570.120 Privacy and Confidentiality of Information Contained in Records of the State Agency

a) A statement of the wages or other information reported under an individual's social security number shall be considered confidential and subject to release only upon written request from the account number holder or his legal representative. All other information maintained by the Social Security Unit shall be considered public information open to inspection upon request during normal business hours.

b) The Social Security Unit may release any information in its files reported under an individual's social security number to a federal or state agency or department without the authorization of the individual if the information is for the purpose of conducting an investigation or prosecution. The request must be submitted in writing and must state the reason for the request. The request must be directed to the Executive Secretary of the System for his approval or denial. The Executive Secretary will approve the request if he determines it is a bonafide request from such agency.

History

• Source: Added at 4 Ill. Reg. 21, p. 68, effective July 1, 1980

80 Ill. Adm. Code 1570.130 Sick Pay Plans (repealed)

History

• Source: Repealed at 7 Ill. Reg. 8822, effective July 15, 1983

80 Ill. Adm. Code 1570.140 Amendments

This Part may be changed or amended at any regular or special meeting of the Board of Trustees of the State Employees' Retirement System by a majority vote of the membership of the Board.

80 Ill. Adm. Code 1570.150 Noncorporate Public Entity - Special Reserve Fund (repealed)

History

• Source: Repealed at 13 Ill. Reg. 1577, effective January 23, 1989

80 Ill. Adm. Code 1570.160 Audit for Failure to Pay Contributions - Reimbursement of Expenses

If the State Agency audits an entity due to failure or refusal by the entity to pay contributions and submit wage reports on a timely basis for periods prior to January 1, 1987, the entity shall reimburse the State Agency for the necessary expenses incurred by the State Agency to conduct the audit. Such expenses are the necessary travel expenses actually incurred by the State Agency in traveling to the office of the entity or any other location away from the office of the State Agency.

History

• Source: Amended at 13 Ill. Reg. 1577, effective January 23, 1989

Chapter II State Universities Retirement System

Part 1600 Universities Retirement

80 Ill. Adm. Code 1600.100 Definitions

Certain terms used frequently throughout this Part are defined in this Section. Unless the context requires a different meaning, other terms used in this Part shall be defined and interpreted in accordance with Article 15 of the Illinois Pension Code [40 ILCS 5/Art. 15]. The definition of a term under a specific Section or Subpart shall supersede, for the purposes of that Section or Subpart, this Section.

"Annuitant" − A person receiving a retirement, reversionary, survivors or beneficiary annuity or disability retirement annuity from the System. [40 ILCS 5/15-119]

"Annuity Payment Period" – The annuity payment period shall begin on the date specified by the participant or the recipient of a disability retirement annuity submitting a written application. For a participant, the date on which the annuity payment period begins shall not be prior to termination of employment or more than one year before the application is received by the board; however, if the participant is not an employee of an employer participating in this System or in a participating system as defined in Article 20 of the Code on April 1 of the calendar year next following the calendar year in which the participant attains the age specified under Section 401(a)(9) of the Internal Revenue Code of 1986, as amended, the annuity payment period shall begin on that date regardless of whether an application has been filed. For a recipient of a disability retirement annuity, the date on which the annuity payment period begins shall not be prior to the discontinuation of the disability retirement annuity under Section 15-153.2 of the Code. [40 ILCS 5/15-135(b)] For purposes of this definition, the "termination of employment" shall be immediately prior to midnight on the last day the person is an employee; and the "discontinuation of the disability retirement annuity" shall be the day following the last day the disability retirement annuity is payable.

"Board" − The Board of Trustees of the State Universities Retirement System as constituted under Section 15-159 of the Code.

"Chairperson" – The chairperson of the Board.

"Claims Panel" − The quasi-adjudicative body constituted under the Board's bylaws that hears all administrative contested matters as fiduciaries pursuant to Section 1600.500.

"Code" or "Pension Code" − The Illinois Pension Code [40 ILCS 5].

"Effective Rate of Interest" − The interest rate for all or any part of a fiscal year that is determined by the Board based on factors including the System's past and expected investment experience; historical and expected fluctuations in the market value of investments; the desirability of minimizing volatility in the effective rate of interest from year to year; and the provision of reserves for anticipated losses upon sales, redemptions, or other disposition of investments and for variations in interest experience. [40 ILCS 5/15-125(2)] See Section 15-125(2) of the Code for the effective rate of interest set by the State Comptroller for purposes of Rule 2 of Section 15-136(a) of the Code (i.e., the Money Purchase Formula).

"Employee" − A person defined as an "employee" under Section 15-107 of the Code.

"Employer" − An entity defined as an "employer" under Section 15-106 of the Code.

"Executive Director" − The chief administrative officer of SURS, appointed by the Board.

"FOIA" − Freedom of Information Act [5 ILCS 140].

"General Counsel" − In-house legal counsel for SURS.

"IRS" − Internal Revenue Service of the U.S. Department of the Treasury.

"IRC" − Internal Revenue Code of 1986, as amended (26 U.S.C. 1 et seq.).

"Member" − A SURS participant or annuitant.

"Participant" − A person participating in SURS under Section 15-134 of the Code.

"Participating Employee" − A participant who at the time is an employee under Section 15-107 of the Code.

"Prescribed Rate of Interest" − The rate of interest to be used in actuarial valuation and in development of actuarial tables. The prescribed rate of interest is determined by the Board on the basis of the probable average effective rate of interest on a long term basis. [40 ILCS 5/15-125(1)]

"Principal Office of SURS" − State Universities Retirement System, 1901 Fox Drive, Champaign IL 61820.

"SURS" or "System" − State Universities Retirement System created by Article 15 of the Code [40 ILCS 5/Art. 15].

"Tier 1 Member" – A SURS participant or annuitant defined under Section 15-108.1 of the Code.

"Tier 2 Member" – A SURS participant or annuitant defined under Section 15-108.2 of the Code.

"USERRA" – Uniformed Services Employment and Reemployment Rights Act of 1994 (38 U.S.C. 4301 et seq.).

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.110 Freedom of Information Act

a) Purpose. This Section establishes policies and procedures specific to SURS concerning requests for information made under FOIA.

b) Freedom of Information Officer. The Freedom of Information Officer is the staff member at SURS responsible for responding to all requests for information on behalf of SURS as the "public body" under FOIA and is also responsible for maintaining all records required to be kept under FOIA and this Section. The Freedom of Information Officer shall be the SURS General Counsel or a designee of the SURS Executive Director. Denials issued by the Freedom of Information Officer shall inform the requester of the right of review by the Public Access Counselor under Section 9.5 of FOIA or by a court under Section 11 of FOIA.

c) Time and Place for Requests or Inspection. Records subject to FOIA shall be made available for inspection and copying at SURS principal office (see Section 1600.100) on weekdays between the hours of 8:00 a.m. and 4:30 p.m., excluding days during which the office is closed to the public. Written requests shall be directed to the Freedom of Information Officer or a designee in the SURS Legal Department by mail that is addressed to the SURS principal office by facsimile at (217)378-9801, or by email to FOIA_Officers@surs.org. Oral requests for inspection or copying may be made in person or by phone at 217-378-8800.

d) Fees. Subject to a waiver or reduction of the fee if warranted under Section 6 of FOIA, fees may be imposed on the requester to recover costs of document production or reproduction according to the following schedule:

1. Photostatic copying of paper documents:

A) Black and white copies shall be charged after the first 50 pages at $0.05 per page;

B) Color copies shall be charged at $0.13 per page.

2. Printing of electronic documents or microfilmed/microfiched documents shall be charged at $0.05 per page.

3. Physical storage on electronic, tape or other media, shipping and facsimile transmission costs shall be charged to the extent those costs are incurred. Electronic transmission via e-mail shall be provided at no charge.

e) Exemptions. Consistent with Section 7 of FOIA, the following public records shall be exempt from inspection and copying: personal information that includes any personally identifying or identifiable information other than names or benefit amounts, including, but not necessarily limited to, Social Security numbers and addresses of participants and annuitants, and names and Social Security numbers and addresses of beneficiaries.

History

• Source: Amended at 43 Ill. Reg. 8562, effective July 26, 2019

80 Ill. Adm. Code 1600.120 Open Meetings Act

a) Introduction

1. The Illinois Open Meetings Act [5 ILCS 120] sets forth the public policy of the State of Illinois that public bodies exist to aid in the conduct of the people's business and that the people have a right to be informed as to the conduct of their business. It is also the public policy of the State that its citizens be given advance notice of and the right to attend all meetings at which any business of a public body is discussed or acted upon in any way.

2. It is the intent of the Open Meetings Act:

A) to ensure that the actions of public bodies be taken openly and that their deliberations be conducted openly;

B) to protect the citizen's right to know; and

C) that provisions for exceptions to the open meeting requirements be strictly construed against closed meetings. [5 ILCS 120/1]

3. By means of this Section, SURS has established procedures to conduct its business in accordance with the Open Meetings Act.

b) Definition

"Meeting" − Any gathering, whether in person or by video or audio conference, telephone call, electronic means (such as, without limitation, electronic mail, electronic chat, and instant messaging), or other means of contemporaneous interactive communication, of a majority of a quorum of the Board held for the purpose of discussing SURS business. [5 ILCS 120/1.02] A quorum for a Board of Trustees meeting shall be six members of the Board. A quorum for a Board committee is the least number more than one-half of the members of the committee. A quorum of the Board or of a Board committee must be physically present at the location of an open meeting of the Board or the committee, respectively. If, however, an open meeting of the Board or a Board committee is held simultaneously at one of its offices and one or more other locations in a public building, which may include other of its offices, through an interactive video conference and public notice is provided as required under the Open Meetings Act for all locations, then members physically present in those locations all count towards determining a quorum. "Public building", as used in this Section, means any building or portion of a building owned or leased by any public body. The requirement that a quorum be physically present at the location of an open meeting shall not apply, however, to Board committees that do not have authority to make binding recommendations or determinations or to take any other substantive action.

c) Attendance by a Means Other Than Physical Presence

1. If a quorum of the members of the Board or a Board committee is physically present as required by subsection (b), a majority of those physically present, or at least three physically present members of a committee consisting of five members, may allow a member of that body to attend the meeting by other means(video or audio conference) if the member is prevented from physically attending because of:

A) personal illness or disability;

B) employment purposes or the business of the public body;

C) a family or other emergency;

D) unexpected childcare obligations; or

E) any other reason allowed by Section 7 of the Open Meetings Act. [5 ILCS 120/7(a)]

2. If a member wishes to attend a meeting by other means, the member must notify the recording secretary of the Board or the Board committee before the meeting unless advance notice is impractical. [5 ILCS 120/7(b)]

3. A majority of the Board or a committee may allow a member to attend a meeting by other means only in accordance with and to the extent allowed by this subsection (c). [5 ILCS 120/7(c)]

4. Except as provided in this subsection (c)(4), the limitations of this subsection (c) shall not apply to closed meetings of the Board or the Executive Committee or to open or closed meetings of any other subsidiary body, including, without limitation, any committee other than the Executive Committee, that does not have authority to make binding recommendations or determinations or to take any other substantive action. If the limitations of this subsection (c) do not apply, any or all members of the Board or a subsidiary body may attend a meeting by audio or video conference. An open meeting attended by audio or video conference will be broadcast at the properly noticed location of the meeting. Neither advance notice nor permission for such means of attendance is required. No minimum number of members need be physically present at the noticed location of the meeting. [5 ILCS 120/7(d)]

d) Time and Place of Open Meetings

1. All open meetings shall be held at specified times and places which are convenient and open to the public.

2. No open meeting shall be held on a legal holiday unless the regular meeting day falls on that holiday. [5 ILCS 120/2.01]

e) Public Notice; Agenda; Schedule

1. Posting. Public notice shall be given by posting a copy of the notice at the principal office of SURS. [5 ILCS 120/2.02(a)] Copies of the posted notice shall also be given to any news medium that has filed with the Executive Director an annual request for notice of meetings. [5 ILCS 120/2.02(b)]

2. News Medium Request. Any news medium may file with the Executive Director of SURS an annual request for public notice of all meetings of the Board of Trustees of SURS. The Executive Director shall maintain an updated list of all news media that have filed annual requests and shall be responsible for seeing that the news media receive the notices mandated by the Open Meetings Act and this Section.

3. Regular Meetings. Public notice shall be given of the schedule of regular meetings at the beginning of each fiscal year, stating the regular dates, times, and places of each meeting.

A) Agenda of Regular Meetings. An agenda for each regular meeting shall be posted in accordance with subsection (e)(1) at least 48 hours in advance of the holding of the meeting. However, this requirement shall not preclude the consideration of items not specifically set forth in the agenda. [5 ILCS 120/2.02(a)]

B) Schedule of Regular Meetings. At the beginning of each fiscal year, the Executive Director of SURS shall prepare and make available a schedule of all its regular meetings for that fiscal year, listing the times and places of meetings.

C) Change in Regular Meeting Date. If a change is made in a regular meeting date, at least 10 days' notice of the change shall be given by publication in the official State newspaper. Notice of the change shall also be posted at the principal office of SURS. Notice of the change shall also be given to any news medium that has filed with the Executive Director an annual request for notice of meetings. [5 ILCS 120/2.03]

4. Special Meetings. Public notice of any special meeting shall be given at least 48 hours before the meeting.

A) Agenda of Special Meetings. An agenda of a special meeting shall also be included with the public notice of the meeting. However, the validity of any action taken by the Board that is germane to a subject on the agenda shall not be affected by other errors or omissions in the agenda. [5 ILCS 120/2.02(a)]

B) News Medium Notice. Any news medium that has filed an annual request for notice shall be given the same notice of any special meeting in the same manner as is given to members of the Board, provided that the news medium has given the Executive Director an address or telephone number within Illinois at which notice may be given. [5 ILCS 120/2.02(b)]

5. Rescheduled or Reconvened Meetings. Public notice of any rescheduled or reconvened meeting shall be given at least 48 hours before the meeting.

A) Exception to Notice Requirement. No public notice is required to be given of any reconvened meeting when the meeting was open to the public and either:

i) the meeting is to be reconvened within 24 hours; or

ii) an announcement of the time and place of the reconvened meeting is made at the original meeting and there is no change in the agenda. [5 ILCS 120/2.02(a)]

B) Agenda of Rescheduled or Reconvened Meeting. An agenda of a rescheduled or reconvened meeting shall also be included with the public notice of the meeting. However, the validity of any action taken by the Board that is germane to a subject on the agenda shall not be affected by other errors or omissions in the agenda. [5 ILCS 120/2.02(a)]

C) News Medium Notice. Any news medium that has filed an annual request for notice shall be given the same notice of any rescheduled or reconvened meeting in the same manner as is given to members of the Board, provided that the news medium has given the Executive Director an address or telephone number within Illinois at which notice may be given. [5 ILCS 120/2.02(b)]

6. Emergency Meeting. Notice of an emergency meeting shall be given as soon as is practicable. In any event, prior to an emergency meeting being held, notice shall be given to any news medium that has filed an annual request for notice. [5 ILCS 120/2.02(a)] Any news medium that has filed an annual request for notice shall be given the same notice of any emergency meeting in the same manner as is given to members of the Board, provided that the news medium has given the Executive Director an address or telephone number within Illinois at which notice may be given. [5 ILCS 120/2.02(b)]

f) Recording Meeting

1. Any person may record by tape, film or other means the proceedings at any open meeting, subject to the provisions of this subsection (f).

2. If any witness at any meeting required to be open under the Open Meetings Act refuses to testify on the grounds that he or she may not be compelled to testify if any portion of his or her testimony is to be broadcast or televised or if motion pictures are to be taken, then the authority holding the meeting shall prohibit any recording during the testimony of the witness. Nothing in this subsection (f) shall be construed to extend the right to refuse to testify at any meeting not subject to the provisions of Section 8-701 of the Code of Civil Procedure. [5 ILCS 120/2.05]

3. "Recording Device" shall mean any device that records and stores, transcribes, transmits or broadcasts still images, moving images and/or sounds, regardless of format or medium, including, but not limited to, still cameras, video cameras, camcorders, computing devices (regardless of size), mobile phones, personal data assistants, voice recorders or any other similar device and any accessories or equipment used in conjunction with the device that are used to record an open meeting.

4. A recording device shall be operated in a manner that does not disrupt or interfere with the deliberative process and the public's ability to observe or listen to the proceedings. The Board, Board committee, or SURS staff may limit the number of recording devices being operated in the meeting room if the number of devices being operated in the aggregate causes or may cause disruption or interference.

5. All mounted recording devices must be set up prior to the commencement of the meeting and may not be moved or removed until the proceeding has concluded, unless otherwise permitted by the Board, Board committee, or SURS staff. If a recording device requires additional equipment that needs placement in the meeting room, such as power cords, standing lights and microphones, those items may only be placed and operated in designated areas assigned by the Board, Board committee or SURS staff, provided the areas are not limited to a location from which the recording device is not reasonably capable of making a recording. Arrangements shall be made with SURS staff at least 48 hours prior to the meeting to ensure the availability of space for recording devices and equipment.

6. Recording devices are not permitted to be placed or operated in any emergency exit pathways or aisles, including entrances and exits.

7. No recording device operated by a member of the public may be used to record a closed meeting.

g) Closed Meetings

1. Subject. The Board or a Board committee may hold closed meetings to consider any subject permitted under Section 2(c) of the Open Meetings Act, including the following subjects:

A) The appointment, employment, compensation, discipline, performance, or dismissal of specific employees of SURS, including hearing testimony on a complaint lodged against an employee to determine its validity [5 ILCS 120/2(c)(1)];

B) Collective negotiating matters between SURS and its employees or their representatives, or deliberations concerning salary schedules for one or more classes of employees [5 ILCS 120/2(c)(2)];

C) Evidence or testimony presented in open hearing, or in closed hearing when specifically authorized by law, to a quasi-adjudicative body, provided that the body prepares and makes available for public inspection a written decision setting forth its determinative reasoning [5 ILCS 120/2(c)(4)];

D) The purchase or lease of real property for the use of SURS [5 ILCS 120/2(c)(5)];

E) The setting of a price for sale or lease of real property owned by SURS [5 ILCS 120/2(c)(6)];

F) The sale or purchase of securities, investments, or investment contracts [5 ILCS 120/2(c)(7)];

G) Emergency security procedures and the use of personnel and equipment to respond to actual danger to the safety of employees, staff, or public property, provided that a description of the actual danger shall be made a part of the motion to close the meeting [5 ILCS 120/2(c)(8)];

H) Litigation, when an action against, affecting or on behalf of SURS has been filed and is pending before a court or administrative tribunal, or when the Board or a Board committee finds that an action is probable or imminent, in which case the basis for the finding shall be recorded and entered into the minutes of the closed meeting [5 ILCS 120/2(c)(11)];

I) Self evaluation, practices and procedures or professional ethics, when meeting with a representative of a statewide association of which SURS is a member [5 ILCS 120/2(c)(16)];

J) The classification and discussion of matters classified as confidential or continued confidential by the State Employees Suggestion Award Board (see 20 ILCS 405/67.28) [5 ILCS 120/2(c)(20)]; and

K) Discussion of minutes of closed meetings, whether for purposes of approval by the Board or Board committee of the minutes, or for purposes of semiannual review of the minutes [5 ILCS 120/2(c)(21)].

2. Procedure

A) Vote. Upon the majority vote of a quorum present of the Board or Board committee at an open meeting, the Board may hold a meeting closed to the public or may close a portion of a meeting to the public. The motion to close a meeting, or a portion of the meeting, shall state a citation to the specific exemption set forth in Section 2 of the Open Meetings Act. The vote of each member shall be taken by roll call vote, shall be publicly disclosed, and shall be recorded and entered into the minutes of the meeting.

B) Subject. Only topics specified in the vote to close may be considered during the closed meeting.

C) Series of Meetings. A single vote may be taken with respect to a series of meetings, a portion or portions of which are proposed to be closed to the public, provided each meeting in the series involves the same particular matters and is scheduled to be held within no more than 3 months after the vote. [5 ILCS 120/2a]

h) Minutes of Meetings

1. Open Meetings

A) Content. The Board or Board committee shall keep written minutes of all open meetings. The minutes shall include:

i) the date, time and place of the meeting;

ii) the members of the Board recorded as either present or absent, and whether the members were physically present or present by means of video or audio conference; and

iii) a summary of discussion on all matters proposed, deliberated, or decided, and a record of any votes taken.

B) Public Inspection. The minutes of any open meeting shall be available for public inspection within seven days after the approval of the minutes by the Board or Board committee.

2. Closed Meetings

A) Content. The Board or Board committee shall keep written minutes of all closed meetings. The minutes shall include:

i) the date, time and place of the meeting;

ii) the members of the Board recorded as either present or absent; and

iii) a summary of discussion on all matters proposed, deliberated, or decided, and a record of any votes taken.

B) Public Inspection. The minutes of any closed meeting shall be available for public inspection only after the Board determines that it is no longer necessary to protect the public interest or the privacy of an individual by keeping the minutes confidential.

C) Semiannual Review. The Board shall semiannually review minutes of all closed meetings. At closed meetings, a determination shall be made, and reported in an open session, that either:

i) the need for confidentiality still exists as to all or a part of those minutes; or

ii) the minutes or portions of the minutes no longer require confidential treatment and are available for public inspection. [5 ILCS 120/2.06]

i) Address by Members of the Public

1. Notice. A person who wishes to address the Board or a Board committee shall provide written notice of the intent to make an address at least 24 hours prior to the scheduled commencement of the meeting of the Board or Board committee. The notice shall provide the identity of the speaker and the topic of the address, and shall specify the Board committee or Board meeting at which the address will be made. A copy of any written materials that the person wishes to distribute to the Board or Board committee members during the address must be attached to the notice.

2. Time Allotment. The person may address the Board or Board committee concerning any matter that does not concern a resolution of final action on the agenda for no longer than five minutes at the end of the meeting of the Board or Board committee specified in the notice, unless otherwise permitted by the Board or Board committee. If the person wishes to address the Board or Board committee concerning a resolution of final action on the agenda, then the person may address the Board or Board committee for no longer than five minutes after the scheduled presentations on the resolution have concluded.

History

• Source: Amended at 50 Ill. Reg. 2186, effective January 28, 2026

Chapter II State Universities Retirement System

Part 1600 Universities Retirement

80 Ill. Adm. Code 1600.130 Procurement

a) Introduction. It is the policy of SURS to obtain goods and services in the most economical manner in order to guarantee the efficient utilization of SURS resources. Resources of SURS shall be committed only with proper approval, as detailed in this Section.

b) Purchase Orders. Employees requesting goods or services that cost more than $500 and that are not part of a formal written contract shall complete a SURS purchase order form and receive written approval from the person designated by the Executive Director as the Procurement Officer prior to placing the order. Purchases of less than $500 do not require a purchase order, but must be within the authority of the employee to purchase.

c) Contract Policy. It is the policy of SURS to standardize the form and content of its contracts with public and private bodies in order to ensure compliance with applicable State law, to ensure fairness to all parties, and to maximize uniformity of language.

1. Standard Addendum. In order to simplify the contracting process, SURS has developed a standard contract addendum that includes certifications considered advisable or required by State law. The standard addendum shall be completed and attached to (or incorporated within) all contracts and purchase orders entered into by SURS, but shall not be required for purchase orders of $25,000 or less. Any variation from the terms of the standard addendum shall be approved by SURS' General Counsel. The standard addendum may be revised by the General Counsel from time to time.

2. Written Contracts

A) Execution Requirements. All expenditures in excess of $25,000 that are not otherwise covered by any exemption stated in this Section shall require a written contract reviewed and approved by legal counsel to SURS. Contracts in any amount shall be executed by the Executive Director or his or her designee, unless executed by the President of the Board. No goods or services may be acquired, nor work commenced (unless the vendor specifically assumes the risk of non-payment in the event no contract is entered into), prior to the execution of a contract as provided in this Section. A copy of each contract shall be retained by the Chief Financial Officer.

B) Signature Requirements

i) Except as provided in subsection (c)(2)(B)(ii), contracts in excess of $250,000 require the signatures of the Executive Director, the Chief Financial Officer and the General Counsel.

ii) In addition to the requirements of subsection (c)(2)(B)(i), all contracts with persons who are fiduciaries with respect to any investments of SURS shall also be signed by the President of the Board, or his or her designee, except that the Executive Director's signature is sufficient with respect to investment management agreements or other contracts with Board-approved investment service providers and contract amendments with existing Board-approved investment service providers. The Executive Director shall provide a report of such execution, with a description of any contract or amendment executed, to the Investment Committee of the Board at the next regularly scheduled meeting.

d) Documentation and Bidding – Expenditures in Excess of $50,000

1. Employees shall seek to obtain the best value for SURS. Efforts to obtain the best value for SURS shall be documented where possible and retained by SURS. Expenditures in excess of$50,000 require bids from at least three different sources, unless otherwise provided in this Section. Sole source procurements, or other procurements with fewer than three bids, for expenditures in excess of $50,000 shall be justified and documented. If two or more identical bids are received, if an attempt to bribe an employee is made, or other irregularities are discovered by a SURS employee, the General Counsel and the Internal Auditor shall be notified.

2. All procurements in excess of $50,000, unless otherwise provided in this Section, shall be advertised in the official State newspaper, in the Illinois Procurement Bulletin, in SURS procurement bulletins, in appropriate media, or through electronic means such as the Internet. Notice shall be published on at least 3 separate dates with a minimum of 14 days between the first and the last publication date.

3. All procurements for goods and services in excess of $50,000, unless otherwise provided in this Section, shall be awarded by competitive proposals. Each request for proposal shall set forth a description of the items or services being procured, the material contractual terms and conditions, and the criteria for evaluating proposals. Awards made pursuant to competitive selection procedures shall be awarded to the responsible offeror whose proposal is determined to be most advantageous to SURS. SURS may directly negotiate with any offeror as to the terms of a proposal. Competitive proposals may be used to procure, but are not limited to, professional and artistic services, including legal, medical and related services, investment management and consulting, electronic data processing equipment, software and services, and telecommunications equipment, software and services.

4. The following procurements do not require advertising or the use of competitive proposals:

A) Individual contracts for goods, services or construction not exceeding $50,000;

B) Emergency procurements, such as when there exists a threat to public health or safety, or when immediate expenditure is necessary in order to protect against loss of or damage to SURS property or interests, or to prevent or minimize disruption in SURS services, or when necessary to prepare for anticipated litigation, enforcement actions, or investigations, or to protect the integrity or confidentiality of SURS records. A written determination must be made that an emergency exists; and

C) Utilities and other sole-source items.

e) Purchasing

1. Employees are allowed to make purchases provided that the goods or services are budgeted for, and a purchase order (for purchases in excess of $500) is completed and has written approval in advance of placing the order, or a formal contract (for purchases in excess of $25,000) is executed, and the provisions of this Section are complied with. Employees other than those designated by the Executive Director are not allowed to make purchases of office supplies, computer equipment, or software.

2. SURS shall not pay Illinois sales tax. Employees must direct the vendor to exclude Illinois sales tax from invoices. Employees should also ask if discounted State rates are available for purchases.

3. Invoices should be approved for payment within 30 days after the receipt of the invoice. Approval should not be given for goods and services that do not conform to SURS' requirements. The vendor shall be promptly notified in writing if SURS does not approve an invoice for payment and shall be advised of the reason for the denial. If approval is made after 30 days, a full explanation should be attached to the invoice.

4. Advance payment for goods and services is discouraged. If advance payment is required, the employee shall complete a certification as specified in Section 9.05 of the State Finance Act [30 ILCS 105/9.05]. In the event that a voucher is submitted for advance payment, the voucher shall state on its face that the goods or services are being procured pursuant to a formal written contract the terms of which require advance payment. If it is not possible to execute a written contract, the voucher shall so state. The certification is not required for payment of conference fees, purchase of travel tickets, purchase of periodicals, and required deposits of less than $500. The certification shall be in the following format:

"I certify that the goods or services specified on this contract or purchase order were for the use of this agency and that the expenditure for those goods or services was authorized and lawfully incurred; that the goods or services meet all the required standards set forth in the purchase order or contract to which this certification relates; and that the amount shown on this voucher is correct and is approved for payment."

Insert following sentence in certification if applicable:

"It is not possible to execute a formal written contract."

Date

Signature

History

• Source: Amended at 38 Ill. Reg. 17457, effective July 30, 2014

80 Ill. Adm. Code 1600.140 Compliance with the Internal Revenue Code

a) Purpose. This Section is intended to implement qualification requirements under IRC section 401(a) as applicable to governmental plans within the meaning of IRC section 414(d). The System is intended to be a qualified governmental plan under the meaning of those IRC provisions.

b) Exclusive Benefit Rule and Nonreversion of Trust Assets. Prior to the satisfaction of all liabilities to participants or their beneficiaries, no part of the corpus or income of the System shall be used for, or diverted to, purposes other than for the exclusive benefit of the System's participants or their beneficiaries. No part of the System's assets may revert to the State of Illinois or any employer except in the case of a good faith mistake of fact as permitted by IRS Revenue Ruling 91-4, 1991-1 C.B. 57.

c) Nonforfeitability. Upon termination of the System or upon complete discontinuance of contributions to the System, the rights of each participant to benefits accrued to the date of the termination or discontinuance are nonforfeitable.

d) USERRA. The provisions of Code Section 1-118 (concerning veterans' rights) shall be effective with respect to the System beginning December 12, 1994.

e) Required Minimum Distributions. The provisions of Code Section 1-116.1 (concerning minimum required distributions) shall be effective with respect to the System beginning January 1, 1987. The System shall pay all benefits in accordance with a reasonable good faith interpretation of the requirements of IRC section 401(a)(9).

f) Federal Contribution and Benefit Limitations. Pursuant to Code Section 1-116, the System shall comply with the applicable contribution and benefit limitations imposed by IRC section 415 for limitation years beginning on or after January 1, 1976.

g) Mortality Tables and Interest Rates. The mortality tables and interest rates adopted by the Board of Trustees of the System from time to time in accordance with Code Sections 15-124 and 15-125 shall apply to the System as though those provisions were fully set forth in Article 15 of the Code. This subsection (g) applies beginning July 1, 1963.

h) Direct Transfer of Eligible Rollover Distributions. For distributions made on or after January 1, 1993, the System shall implement Code Section 1-106(b) (concerning direct rollovers) in accordance with IRC section 401(a)(31), as follows:

1. If a distributee becomes entitled to an eligible rollover distribution, the distributee may elect to have the distribution, or any portion of the distribution, paid directly to an eligible retirement plan specified by the distributee.

2. The election made pursuant to this Section shall be in accordance with the terms and conditions established by the Board.

3. Upon exercise of the election by a distributee pursuant to this subsection (h), the distribution from the System of the amount designated by the distributee shall be made in the form of a direct transfer to the specified eligible retirement plan.

4. For purpose of this subsection (h), "distributee" means a member, a surviving spouse, or a former spouse under a domestic relations order that is treated as a qualified domestic relations order to the extent provided in IRC section 414(p)(11). For plan years beginning on or after January 1, 2010, a distributee further includes a nonspouse beneficiary who is a designated beneficiary as defined by IRC section 401(a)(9)(E). However, a nonspouse beneficiary may only make a direct rollover to an individual retirement account or individual retirement annuity established for the purpose of receiving the distribution, and the account or annuity shall be treated as an "inherited" individual retirement account or annuity.

5. Eligible Rollover Distribution

A) For purposes of this subsection (h), "eligible rollover distribution" means a distribution from the retirement fund that constitutes an eligible rollover distribution within the meaning of IRC section 401(a)(31)(D), i.e., any distribution of all or any portion of the balance to the credit of the distributee, except that an eligible rollover distribution does not include:

i) any distribution that is one of a series of substantially equal periodic payments (not less frequently than annually) made:

• for the life (or life expectancy) of the distributee or the joint lives (or joint life expectancies) of the distributee and the distributee's designated beneficiary; or

• for a specified period of 10 years or more;

ii) any distribution to the extent the distribution is required under IRC section 401(a)(9);

iii) the portion of any distribution that is not includible in gross income; or

iv) any distribution that is reasonably expected to total less than $200 during the year.

B) Effective January 1, 2002, a portion of a distribution shall not fail to be an eligible distribution merely because a portion consists of after-tax contributions that are not includible in gross income. However, that portion may be transferred only:

i) to an individual retirement account or annuity described in IRC section 408(a) or (b) or to a qualified defined contribution plan described in IRC section 401(a) that agrees to separately account for amounts so transferred (and earnings on those amounts), including separately accounting for the portion of the distribution that is includible in gross income and the portion of the distribution that is not so includible;

ii) on or after January 1, 2007, to a qualified defined benefit plan described in IRC section 401(a) or to an annuity contract described in IRC section 403(b) that agrees to separately account for amounts transferred (and earnings on those amounts), including separately accounting for the portion of the distribution that is includible in gross income and the portion of the distribution that is not includible; or

iii) on or after January 1, 2008, to a Roth IRA described in IRC section 408A.

6. For purposes of this subsection (h), "eligible retirement plan" means a plan that constitutes an eligible retirement plan within the meaning of IRC section 401(a)(31)(E), the terms of which permit the acceptance of rollover distribution and is limited to the following:

A) an individual retirement account described in IRC section 408(a);

B) an individual retirement annuity described in IRC section 408(b);

C) an annuity plan described in IRC section 403(a);

D) a qualified trust described in IRC section 401(a);

E) effective January 1, 2002, an annuity contract described in IRC section 403(b);

F) effective January 1, 2002, an eligible deferred compensation plan described in IRC section 457(b) that is maintained by an eligible employer described in IRC section 457(e)(1)(A) that agrees to separately account for amounts transferred into that plan from the System;

G) effective January 1, 2008, a Roth IRA described in IRC section 408A; and

H) effective December 19, 2015, a SIMPLE IRA described in IRC section 408(p)(1), provided that the rollover contribution is made after the 2-year period described in IRC section 72(t)(6).

i) Qualified Illinois Domestic Relations Orders. If benefits are payable pursuant to a QILDRO that satisfies the requirements of "domestic relations order" as defined in IRC section 414(p), then the applicable requirements of IRC section 414(p) shall be followed by the System.

History

• Source: Amended at 41 Ill. Reg. 11606, effective September 1, 2017

80 Ill. Adm. Code 1600.145 Compliance with Final 415 Treasury Regulations

a) Subject to Section 1600.140(f), the limitations of this Section in compliance with IRC section 415 and the Final Treasury Regulations under IRC section 415 (26 CFR 1.415(a)-1 through (j)-1, T.D. 9319, April 5, 2007) shall apply in limitation years beginning on or after January 1, 2008, except as otherwise provided in this subsection (a).

1. The IRC section 415(b) limit with respect to any member who, at any time has been a participant in any other defined benefit plan (defined in IRC section 414(j)) maintained by the member's same employer in the System shall apply as if the total benefits payable under all such defined benefit plans in which the member has been a participant were payable from one plan.

2. The IRC section 415(c) limit with respect to any member who, at any time, has been a participant of any other defined contribution plan, as defined in IRC section 414(i), that was maintained by the member's same employer in the System shall apply as if the total annual additions under all such defined contribution plans in which the member has been a participant were payable to one plan.

3. For purposes of this Section, the "limitation year" shall be the calendar year, and "plan" shall be any one or more of the SURS retirement plans, as the context requires.

b) Basic IRC Section 415(b) Limitation

1. Before January 1, 1995, a member may not receive an annual benefit that exceeds the limits specified in IRC section 415(b), subject to the applicable adjustments in that section. On and after January 1, 1995, a member may not receive an annual benefit that exceeds the dollar amount specified in IRC section 415(b)(1)(A), subject to the applicable adjustments in IRC section 415(b), and subject to any additional limits that may be specified in the Code. In no event shall a member's benefit payable under the System in any limitation year be greater than the limit applicable at the annuity starting date, as increased in subsequent years pursuant to IRC section 415(d) and 26 CFR 1.415(d)-1.

2. For purposes of IRC section 415(b), the "annual benefit" means a benefit payable annually in the form of a straight life annuity (with no ancillary benefits) without regard to the benefit attributable to after-tax employee contributions (except pursuant to IRC section 415(n)) and to rollover contributions (as defined in IRC section 415(b)(2)(A)). The "benefit attributable" shall be determined in accordance with 26 CFR 1.415(b)-1(b).

A) Mandatory Employee Contributions. In the case of mandatory employee contributions, as defined in IRC section 411(c)(2)(C) and 26 CFR 1.411(c)-1(c)(4) (or contributions that would be mandatory employee contributions if section 411 applied to the plan), the annual benefit attributable to those contributions is determined by applying the factors applicable to mandatory employee contributions, as described in IRC section 411(c)(2)(B) and (C) and Treasury Regulations under section 411 to those contributions to determine the amount of a straight life annuity commencing at the annuity starting date, regardless of whether the requirements of sections 411 and 417 apply to that plan. For purposes of applying those factors to a plan that is not subject to the requirements of section 411, the applicable effective date of IRC section 411(a)(2) (which is used under 26 CFR 1.411(c)‑1(c)(3) to determine the beginning date from which statutorily specified interest must be credited to mandatory employee contributions) must be determined as if IRC section 411 applied to the plan, and in determining the annual benefit that is actuarially equivalent to these accumulated contributions, the plan must determine the interest rate that would have been required under IRC section 417(e)(3) as if IRC 417 applied to the plan.

B) Voluntary Employee Contributions. If voluntary employee contributions are made to the plan (to the extent not made pursuant to IRC section 415(n)), the portion of the plan to which voluntary employee contributions are made is treated as a defined contribution plan pursuant to IRC section 414(k) and, accordingly, is a defined contribution plan pursuant to 26 CFR 1.415(c)‑1(a)(2)(i). Accordingly, the portion of a plan to which voluntary employee contributions are made is not taken into account in determining the annual benefit.

C) Rollover Contributions. The annual benefit attributable to rollover contributions from an eligible retirement plan, as defined in IRC section 402(c)(8)(B), is determined in the same manner as the annual benefit attributable to mandatory employee contributions. Thus, in the case of rollover contributions from a defined contribution plan to a defined benefit plan to provide an annuity distribution, the annual benefit attributable to those rollover contributions for purposes of IRC section 415(b) is determined by applying the rules of IRC section 411(c) as described in subsection (b)(2)(A) of this Section, regardless of the assumptions used to compute the annuity distribution under the plan and regardless of whether the plan is subject to the requirements of IRC sections 411 and 417. Accordingly, in such a case, if the plan uses more favorable factors than those specified in IRC section 411(c) to determine the amount of annuity payments arising from rollover contributions, the annual benefit under the plan would reflect the excess of those annuity payments over the amounts that would be payable using the factors specified in IRC section 411(c).

c) Adjustments to Basic IRC Section 415(b) Limitation for Form of Benefit

1. If the benefit under the System is other than the form specified in subsection (b)(2), the benefit shall be adjusted so that it is the equivalent of the annual benefit, using factors prescribed in 26 CFR 1.415(b).

2. If the form of benefit, without regard to automatic annual increases, is not a straight life annuity or a qualified joint and survivor annuity, then subsection (c)(1) is applied by either reducing the IRC section 415(b) limit applicable at the annuity starting date or adjusting the form of benefit to an actuarially equivalent amount (determined using the assumptions specified in 26 CFR 1.415(b)-1(c)(2)(ii)) that takes into account the additional benefits under the form of benefit as follows:

A) For a benefit paid in a form to which IRC section 417(e)(3) does not apply (such as a monthly benefit), the actuarially equivalent straight life annuity benefit that is the greater of:

i) The annual amount of the straight life annuity (if any) payable to the member under the System commencing at the same annuity starting date as the form of benefit to the member; or

ii) The annual amount of the straight life annuity commencing at the same annuity starting date that has the same actuarial present value as the form of benefit payable to the member, computed using a 5% interest assumption (or the applicable statutory interest assumption) and:

• for limitation years prior to January 1, 2009, the applicable mortality tables described in 26 CFR 1.417(e)‑1(d)(2) (Revenue Ruling 2001-62, or any subsequent Revenue Ruling modifying the applicable provisions of that Revenue Ruling; and

• for limitation years after December 31, 2008, the applicable mortality tables described in IRC section 417(e)(3)(B) (Notice 2008-85, or any subsequent IRS guidance implementing IRC section 417(e)(3)(B)).

B) For a benefit paid in a form to which IRC section 417(e)(3) applies (such as a lump sum benefit), the actuarially equivalent straight life annuity benefit that is the greatest of:

i) The annual amount of the straight life annuity commencing at the annuity starting date that has the same actuarial present value as the particular form of benefit payable, computed using the interest rate and mortality table, or tabular factor, adopted by the Board under Section 1600.140(g) for actuarial experience;

ii) The annual amount of the straight life annuity commencing at the annuity starting date that has the same actuarial present value as the particular form of benefit payable, computed using a 5.5% interest assumption (or the applicable statutory interest assumption) and:

• for limitation years prior to January 1, 2009, the applicable mortality tables described in 26 CFR 1.417(e)‑1(d)(2) (Revenue Ruling 2001-62, or any subsequent Revenue Ruling modifying the applicable provisions of that Revenue Ruling); and

• for limitation years after December 31, 2008, the applicable mortality tables described in IRC section 417(e)(3)(B) (Notice 2008-85, or any subsequent IRS guidance implementing IRC section 417(e)(3)(B)); or

iii) The annual amount of the straight life annuity commencing at the annuity starting date that has the same actuarial present value as the particular form of benefit payable (computed using the applicable interest rate for the distribution under 26 CFR 1.417(e)-1(d)(3), using the rate in effect for the third month prior to the beginning of the plan year with a one-year stabilization period) and:

• for limitation years prior to January 1, 2009, the applicable mortality tables described in 26 CFR 1.417(e)‑1(d)(2) (Revenue Ruling 2001-62, or any subsequent that Revenue Ruling modifying the applicable provisions of that Revenue Ruling); and

• for limitation years after December 31, 2008, the applicable mortality tables described in IRC section 417(e)(3)(B) (Notice 2008-85, or any subsequent IRS guidance implementing IRC section 417(e)(3)(B)), divided by 1.05.

C) The System's actuary may adjust the IRC section 415(b) limit at the annuity starting date in accordance with subsection (c)(2)(A) and (B).

d) Benefits for Which No Adjustment of IRC section 415(b) Limit Is Required. For purposes of this Section, the following benefits shall not be taken into account in applying these limits:

1. Any ancillary benefit that is not directly related to retirement income benefits;

2. That portion of any joint and survivor annuity that constitutes a qualified joint and survivor annuity;

3. Any other benefit not required under IRC section 415(b)(2) and 26 CFR 1.415(b) to be taken into account for purposes of the limitation of IRC section 415(b)(1).

e) Other Adjustments in IRC Section 415(b) Limitation

1. In the event the member's retirement benefits become payable before age 62, the limit prescribed by this Section shall be reduced in accordance with 26 CFR 1.415(b), pursuant to the provisions of IRC section 415(b), so that the limit (as reduced) equals an annual straight life benefit (when the retirement annuity begins) that is equivalent to a $160,000 (as adjusted) annual benefit beginning at age 62.

2. In the event the member's benefit is based on at least 15 years of service as a full-time employee of any police department or fire department that is organized and operated by the state or political subdivision maintaining the defined benefit plan to provide police protection, firefighting services, or emergency medical services for any area within the jurisdiction of the state or political subdivision, or 15 years of service as a member of the Armed Forces of the United States, or is based on 15 years of combined service, the adjustments provided for in subsection1 (e)(1) shall not apply.

3. The reductions provided for in subsection (e)(1) shall not apply to System benefits received as a pension, annuity or similar allowance as a result of the member becoming disabled by reason of personal injuries or sickness, or to amounts received by beneficiaries, survivors or the estate of the member as a result of the death of the member.

f) Less than 10 Years of Participation or Service Adjustment for IRC Section 415(b) Limitations. The maximum retirement benefits payable to any member who has completed less than 10 years of participation shall be the amount determined under subsection (b), as adjusted under subsection (c) and/or (e), multiplied by a fraction, the numerator of which is the number of the member's years of participation and the denominator of which is 10. The limit under subsection (g) concerning the $10,000 limit shall be similarly reduced for any member who has accrued less than 10 years of service, except the fraction shall be determined with respect to years of service instead of years of participation. The reduction provided by this subsection cannot reduce the maximum benefit below 10% of the limit determined without regard to this subsection. The reductions provided for in this subsection shall not be applicable to income received as a pension, annuity or similar allowance as a result of the member becoming disabled by reason of personal injuries or sickness, or to amounts received by beneficiaries, survivors or the estate of the member as a result of the death of the member.

g) $10,000 Limit. Notwithstanding the other provisions of this Section, the retirement benefit payable with respect to a member shall be deemed not to exceed the IRC section 415(b) limit if the benefits payable, with respect to a member under this System and under all other qualified defined benefit pension plans of the member's employer, do not exceed $10,000 for the applicable limitation year, and for any prior limitation year, and the employer has not, at any time, maintained a qualified defined contribution plan in which the member participated.

h) Effect of COLA without a Lump Sum Component on IRC Section 415(b) Testing. Effective on and after January 1, 2008, for purposes of applying the limits under IRC section 415(b) (the "limit") to a member with no lump sum benefit, the following will apply:

1. A member's applicable limit will be applied to the member's annual benefit in the member's first limitation year without regard to any automatic annual increases under the System;

2. To the extent that the member's annual benefit equals or exceeds the limit, the member will no longer be eligible for automatic annual increases from the System until such time as the benefit, plus the accumulated increases, is less than the limit; and

3. Thereafter, in any subsequent limitation year, a member's annual benefit, including any automatic annual increases under the System, shall be tested under the then applicable benefit limit, including any adjustment to the IRC section 415(b)(1)(A) dollar limit under IRC section 415(d) and 26 CFR 1.415(b).

i) Effect of COLA with a Lump Sum Component on IRC Section 415(b) Testing. On and after January 1, 2008, with respect to a member who receives a portion of the member's annual benefit in a lump sum, a member's applicable limit will be applied, taking into consideration cost-of-living increases as required by IRC section 415(b) and 26 CFR 1.415(b).

j) IRC Section 415(c) Limit. After-tax member contributions or other annual additions with respect to a member may not exceed the lesser of $40,000 (as adjusted pursuant to IRC section 415(d)) or 100% of the member's compensation.

1. Annual additions are defined to mean the sum (for any year) of employer contributions to a defined contribution plan, member contributions, and forfeitures credited to a member's individual account. Member contributions are determined without regard to rollover contributions and to picked-up employee contributions that are paid to a defined benefit plan.

2. For purposes of applying the IRC Section 415(c) limits only and for no other purpose, the definition of compensation, when applicable, will be compensation actually paid or made available during a limitation year, except as noted in IRC Section 415(c) and as permitted by 26 CFR 1.415(c)-2; however, member contributions picked up under IRC section 414(h) shall not be treated as compensation.

3. Unless another definition of compensation that is permitted by 26 CFR 1.415(c)-2 is specified by the plan, compensation will be defined as wages within the meaning of IRC section 3401(a) and all other payments of compensation to an employee by an employer for which the employer is required to furnish the employee a written statement under IRC sections 6041(d), 6051(a)(3) and 6052 and will be determined without regard to any rules under IRC section 3401(a) that limit the remuneration included in wages based on the nature or location of the employment or the services performed (such as the exception for agricultural labor in IRC section 3401(a)(2)).

A) However, for limitation years beginning on and after January 1, 1998, compensation will also include amounts that would otherwise be included in compensation but for an election under IRC section 125(a), 402(e)(3), 402(h)(1)(B), 402(k) or 457(b). For limitation years beginning on and after January 1, 2001, compensation will also include any elective amounts that are not includible in the gross income of the employee by reason of IRC section 132(f)(4).

B) For limitation years beginning on and after January 1, 2008, compensation for the limitation year will also include compensation paid by the later of 2½ months after an employee's severance from employment or the end of the limitation year that includes the date of the employee's severance from employment if:

i) the payment is regular compensation for services during the employee's regular working hours, or compensation for services outside the employee's regular working hours (such as overtime or shift differential), commissions, bonuses or other similar payments, and, absent a severance from employment, the payments would have been paid to the employee while the employee continued in employment with the employer; or

ii) the payment is for unused accrued bona fide sick, vacation or other leave that the employee would have been able to use if employment had continued.

C) Back pay, within the meaning of 26 CFR 1.415(c)-2(g)(8), shall be treated as compensation for the limitation year to which the back pay relates to the extent the back pay represents wages and compensation that would otherwise be included under this subsection (j)(3).

k) Service Purchases under IRC Section 415(n)

1. Effective for permissive service credit contributions made in limitation years beginning after December 31, 1997, if a member makes one or more contributions to purchase permissive service credit under the System, the requirements of IRC section 415(n) will be treated as met only if:

A) The requirements of IRC section 415(b) are met, determined by treating the accrued benefit derived from all such contributions as an annual benefit for purposes of IRC section 415(b); or

B) The requirements of IRC section 415(c) are met, determined by treating all such contributions as annual additions for purposes of IRC section 415(c).

2. For purposes of applying this Section, the System will not fail to meet the reduced limit under IRC section 415(b)(2)(C) solely by reason of this subsection (k)(2) and will not fail to meet the percentage limitation under IRC section 415(c)(1)(B) solely by reason of this Section.

3. Permissive Service Credit

A) For purposes of this Section, the term "permissive service credit" means service credit:

i) recognized by the System for purposes of calculating a member's benefit under the System;

ii) that the member has not received under the System; and

iii) that the member may receive only by making a voluntary additional contribution, in an amount determined under the System, that does not exceed the amount necessary to fund the benefit attributable to the service credit.

B) Effective for permissive service credit contributions made in limitation years beginning after December 31, 1997, "permissive service credit" may include service credit for periods for which there is no performance of service and, notwithstanding subsection (k)(3)(A)(ii), may include service credited in order to provide an increased benefit for service credit a member is receiving under the System.

4. The System will fail to meet the requirements of this Section if:

A) more than 5 years of nonqualified service credit are taken into account for purposes of this subsection (k)(4)(A); or

B) any nonqualified service credit is taken into account under this subsection (k)(4)(B) before the member has at least 5 years of participation under the System.

5. For purposes of subsection (k)(4), effective for permissive service credit contributions made in limitation years beginning after December 31, 1997, the term "nonqualified service credit" means permissive service credit other than that allowed with respect to:

A) service (including parental, medical, sabbatical and similar leave) as an employee of the Government of the United States, any state or political subdivision thereof, or any agency or instrumentality of any of the foregoing (other than military service or service for credit obtained as a result of a repayment described in IRC section 415(k)(3));

B) service (including parental, medical, sabbatical and similar leave) as an employee (other than as an employee described in subsection (k)(5)(A) of an education organization described in IRC section 170(b)(1)(A)(ii) that is a public, private or sectarian school that provides elementary or secondary education (through grade 12), or a comparable level of education, as determined under the applicable law of the jurisdiction in which the service was performed;

C) service as an employee of an association of employees who are described in subsection (k)(5)(A); or

D) military service (other than qualified military service under IRC section 414(u)) recognized by the System.

6. In the case of service described in subsection (k)(5)(A) through (C), that service will be nonqualified service if recognition of that service would cause a member to receive a retirement benefit for the same service under more than one plan.

7. In the case of a trustee-to-trustee transfer after December 31, 2001, to which IRC section 403(b)(13)(A) or IRC section 457(e)(17)(A) applies (without regard to whether the transfer is made between plans maintained by the same employer):

A) the limitations of subsection (k)(4) will not apply in determining whether the transfer is for the purchase of permissive service credit; and

B) the distribution rules applicable under federal law to the System will apply to amounts transferred and any benefits attributable to those amounts.

8. For an eligible member, the limitation of IRC section 415(c)(1) shall not be applied to reduce the amount of permissive service credit that may be purchased to an amount less than the amount allowed to be purchased under the terms of the System in effect on August 5, 1997. For purposes of this subsection (k)(8), an eligible member is an individual who first became a member in the System before January 1, 1998.

9. Notwithstanding any other provision of law to the contrary, the System may modify a request by a member to make a contribution for the purchase of service credit if the amount of the contribution would exceed the limits provided in IRC section 415 by using the following methods:

A) If the law requires a lump sum payment for the purchase of service credit, the System may establish a periodic payment plan for the member to avoid a contribution in excess of the limits under IRC section 415(c) or 415(n).

B) If payment pursuant to this subsection (k)(9) will not avoid a contribution in excess of the limits imposed by IRC section 415(c) or 415(n), a pension fund may either reduce the member's contribution to an amount within the limits of those IRC sections or refuse the member's contribution.

l) Repayments of Refunds. Any repayment of contributions (including interest thereon) to the System with respect to an amount previously refunded upon a forfeiture of service credit under the System, or another governmental plan maintained by an employer, shall not be taken into account for purposes of IRC section 415, in accordance with IRC section 415(k)(3).

m) Reduction of Benefits Priority. Reduction of benefits and/or contributions to all plans under the Illinois Pension Code that cover the same member, when required, shall be accomplished by first reducing the member's benefit under any defined benefit plans in which the member participated, with the reduction to be made first with respect to the plan in which the member most recently accrued benefits and thereafter in the priority determined by the plan and the plan administrator of the other plans and, next, by reducing or allocating excess forfeitures for defined contribution plans in which the member participated, with the reduction to be made first with respect to the plan in which the member most recently accrued benefits and thereafter in the priority established by the plan and the plan administrator for the other plans provided; however, that necessary reductions may be made in a different manner and priority pursuant to the agreement of the plan and the plan administrator of all other plans covering the member.

History

• Source: Added at 39 Ill. Reg. 8317, effective June 1, 2015

80 Ill. Adm. Code 1600.150 Group Trust Provisions

a) Creation and Purpose. A Group Trust is hereby created effective April 1, 1998, pursuant to Section 15-177 of the Illinois Pension Code [40 ILCS 5]. The purpose of the Group Trust is to hold and jointly invest the assets of the SURS defined benefit plan, the Retirement Savings Plan (formerly the "Self-Managed Plan"), and the disability benefit program for Retirement Savings Plan participants provided under Section 15-103.3 of the Code (collectively "Participating Trusts"), and make appropriate payments pursuant to directions from the respective trusts. The Board shall be the trustee of the Group Trust.

b) Tax Status. The Group Trust is intended to qualify as a group trust under IRC Sections 401(a) and 501(a), and Revenue Ruling 81-100, as modified by Revenue Rulings 2004-67, 2011-1 and 2014-24, and all provisions of this Section must be so construed. The Group Trust is established within the System and the Board shall generally assert that no taxes may be assessed on any income or interest of the Group Trust.

c) Exclusive Benefit. Notwithstanding anything in this Section to the contrary, no part of the Group Trust that equitably belongs to a Participating Trust, other than that portion required for reasonable fees, taxes and trust expenses applicable to the Participating Trust, may be used or diverted for any purpose other than the exclusive benefit of the Participating Trust's participants or their beneficiaries who are entitled to benefits under the Participating Trust.

d) Nonassignment. No Participating Trust may assign or transfer any part of its equity or interest in the Group Trust, except in accordance with this Section.

e) Authority of the Board. The Board's determination as to whether any investment is within the class or classes of property in which the Group Trust may be invested will be conclusive; provided, however, that all such decisions must be made in accordance with the then current investment policy adopted by the Board and consistent with any requirements under Article 1 of the Pension Code. The Board is solely and exclusively responsible for, and has exclusive authority and discretion for, the management and control of the Group Trust. Subject to the provisions of the preceding sentence, the Board may, at its reasonable expense, retain the services of such investment or other advisers and consultants as it may deem desirable to assist it in carrying out its responsibilities under this Section.

f) Trust Accounting. The Group Trust will be invested and administered as a common investment fund. The equitable interest of each Participating Trust shall be accounted for separately in dollar amounts or proportional interest. Consistent with the selected accounting method, the Board shall maintain books and records that value the interest of each Participating Trust at least monthly.

g) Admission to Participation. Participation in the Group Trust is limited to the qualified trusts administered by the Board under the SURS defined benefit plan, the Retirement Savings Plan, the disability benefit program for Retirement Savings plan participants provided under Section 15-103.3 of the Code; pension, profit-sharing and stock bonus trusts or custodial accounts qualifying under IRC section 501(a); individual retirement accounts that are exempt under IRC section 408(e); eligible governmental plan trusts or custodial accounts under IRC section 457(b) that are exempt under IRC section 457(g); custodial accounts under IRC section 403(b)(7); retirement income accounts under IRC section 403(b)(9); and IRC section 401(a)(24) governmental plans. Each Participating Trust must adopt the terms of this Section by reference in its enabling statute, rules or plan document, as the case may be, and transfer all or any part of its assets to the Group Trust. This Section shall serve as the adopting instrument under which the SURS defined benefit plan and the disability benefit program for Retirement Savings Plan participants provided under Section 15-103.3 of the Code shall participate in the Group Trust.

h) Qualified Status of Participating Trusts. Each Participating Trust must satisfy the qualification requirements as a qualified governmental pension plan under IRC sections 401(a) and 414(d) or a trust, a custodial account, or similar entity that is tax exempt under IRC section 408(e) or IRC section 501(a) (or is treated as tax exempt under IRC section 501(a)). A Participating Trust that is an IRC section 401(a)(24) governmental plan is treated as meeting this requirement if it is not subject to federal income taxation. A Participating Trust shall be deemed to satisfy this subsection (h) if it has a current determination letter issued by the Internal Revenue Service.

i) Contributions. The Board shall accept transfers of assets only from the Participating Trusts and the plan sponsors of those Participating Trusts and not from any other person except as permitted by law. However, the Board shall also accept cash payments, rollovers, or plan-to-plan transfers for a purchase of service credit by a participant of a Participating Trust in accordance with the terms of the plan. The Board may accept assets in its sole discretion. The value of any non-cash asset shall be transferred on the basis of fair market value on the date of contribution and consistent with the terms of this Section.

j) Termination of Participating Trust. The Board may terminate the participation of a Participating Trust in the Group Trust by amending this Section and, in the case of the Retirement Savings Plan, amending the plan document. In the event of termination of the participation of a Participating Trust, the Board shall distribute to the terminating Participating Trust its share of the Group Trust in cash, assets or otherwise determined by the Board.

k) Termination of Group Trust. The Board may terminate the Group Trust at any time by amending this Section. In the event of the termination of the Group Trust, the Board shall distribute to each Participating Trust its share of the Group Trust in cash, assets or otherwise as determined by the Trustee.

l) Valuation of Assets upon Distribution. In all cases, at no time prior to the satisfaction of all liabilities with respect to participants and their beneficiaries under any Participating Trust shall that part of the corpus or income of the Group Trust that equitably belongs to that Participating Trust be used for, or diverted to, purposes other than for the exclusive benefit of the participants and their beneficiaries.

m) Allocation and Apportionment of Trust Expenses. The Board may pay reasonable trust expenses from the Group Trust if these amounts would have been chargeable to the Participating Trusts if incurred in their separate administration. For each year, the Board shall determine and allocate to each Participating Trust the reasonable and quantifiable trust expenses from the previous fiscal year that the Board recorded as directly attributable to the Participating Trust. Investment manager fees, custodian fees, and other investment-related fees will be allocated based on the same proportion as the allocation of net assets to each Participating Trust as of the last valuation date. All other remaining expenses shall be allocated based on the same proportion as the number of total participants of a Participating Trust on the first day of the plan year is to the number of total participants of all Participating Trusts on the first day of the plan year.

n) Duty of Board. For all purposes under this Section, the Board shall discharge its duties under this Section with the care, skill, prudence and diligence under the circumstances then prevailing that a prudent person acting in a like capacity and familiar with such matters would use in the conduct of an enterprise of a like character and with like aims.

History

• Source: Amended at 47 Ill. Reg. 14005, effective September 14, 2023

80 Ill. Adm. Code 1600.160 Information Submission Deadlines, Penalties, and Suspensions

Purpose. This Section implements Section 15-168 of the Code, which authorizes the System to require such information as shall be necessary for the proper operation of the system from any participant or beneficiary or annuitant or from any current or former employer of a participant or annuitant. Such information may include, but is not limited to, employment contracts. [40 ILCS 5/15-168].

a) Necessary Information. Information deemed necessary for the proper operation of the System shall include the following categories of information. Any information requested under this Section shall be treated as "submitted" only if the information is complete and accurate.

1. Information necessary to calculate, pay, or finalize any benefit claim;

2. Information necessary to prepare a benefit estimate;

3. Information necessary to clarify or correct information previously received;

4. Payroll reversal information or other accounting data concerning employee earnings and contributions; or

5. Employment history documents, such as certification and termination reports, and other reports concerning employment status.

b) Employer Submission Deadlines and Penalties.

1. A "request" for necessary information is any solicitation of information or data to be provided in electronic format, letter, e-mail, fax, or other written correspondence. Each item of information or data shall constitute a separate request for information, even if multiple items are solicited on the same form or document.

2. An employer in receipt of a System request for necessary information shall submit the requested information to the System within 90 calendar days after the date of the initial request.

3. Penalty Determination. The System may decide to assess penalties at any time after the 91st calendar day following the date of the initial request. The determination of whether to assess penalties shall be made on a case-by-case basis and shall be based on the following considerations:

A) whether the delay in submitting the information is due to factors that are beyond the employer's control;

B) whether the employer has exhibited repeated patterns of noncompliance within the past three years; and

C) whether the employer has been properly notified of the need for the requested information according to this Section.

4. Notice of Penalties. If the System determines that penalties are to be assessed, it shall issue a notice to the employer stating that penalties shall accrue if the necessary information is not submitted within a 30-day grace period starting from the date of the notice. The notice shall describe the nature of the necessary information that has been requested. If the employer submits the necessary information within the 30-day grace period, then no penalties shall be assessed.

5. Penalty Billing. If the employer fails to submit the requested information within the 30-day grace period, then the System shall assess penalties at the rate of $250 per calendar day counting from the 91st day after the initial request date until the information is submitted, with a maximum penalty of $25,000 per delinquent request. Upon the employer's submission of the necessary information or the accrual of $25,000 in penalties per delinquent request, whichever occurs earlier, the System shall issue the final penalty bill to the employer. The final bill shall contain a calculation of the penalty assessment and notify the employer of its rights to appeal the assessment within 35 days after the billing date pursuant to Section 1600.510.

6. Payment of Penalty. The employer shall pay the assessed penalties stated in the final bill within one year after the date of the bill. All payments must be received within one calendar year after receipt of the information by the System or one calendar year of reaching the maximum penalty of $25,000, whichever occurs earlier. If the employer fails to make complete payment within the applicable timeframe, then the System may, after giving notice to the employer, certify the delinquent amount to the State Comptroller, and the Comptroller shall thereupon deduct the certified delinquent amount from State funds payable to the employer and pay them instead to the System. [40 ILCS 5/15-168(b)]. If the employer is a community college district, then the System may also recover any delinquency in assessed penalties that have not been paid for more than 120 days after the one-year deadline by certifying the amount to the county treasurer of the county in which the employer is located pursuant to Section 15-155.1(b) of the Code.

c) Participant, Annuitant, and Beneficiary Submission Deadlines and Benefit Suspensions.

1. If a participant, beneficiary, or annuitant fails to provide any information that is necessary for the calculation, payment, or finalization of any benefit under Article 15 within 90 calendar days of the date of the System's request under Section 15-168(a) of the Code, then the System may immediately cease processing the benefit and may not pay any additional benefit payment to the participant, beneficiary, or annuitant until the requested information is provided. [40 ILCS 5/15-168(c)].

2. The System's determination of whether to suspend benefit processing or the payment of additional benefits due to the participant, annuitant, or beneficiary's failure to submit necessary information shall be based on the following factors:

A) whether the delay in submitting the information is due to factors that are beyond the participant, annuitant, or beneficiary's control;

B) whether the participant, annuitant, or beneficiary has exhibited repeated patterns of noncompliance concerning other information requests; and

C) whether the participant, annuitant, or beneficiary has been properly notified of the need for the requested information according to this Section, such as by mail sent to the individual's last known address on file with the System, by e-mail sent to the individual's last known e-mail address on file, by secure message sent to the individual's account on the SURS member website, by telephone call, or by a combination of such notification methods.

3. Notice of Suspension. If the System determines that benefit processing or benefit payments are to be suspended, it shall issue a notice of suspension to the participant, annuitant, or beneficiary who failed to submit the necessary information that provides details about the nature of the information that is requested and a 30-day grace period within which information must be submitted to avoid such suspension.

4. Upon the participant, annuitant, or beneficiary's complete and accurate submission of the necessary information, the System shall resume benefit processing and pay any suspended benefit payments without interest.

History

• Source: Added at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.200 Definition of "employee" for Surs Participation

Purpose and Application. As mandated by Section 15-107(k) of the Code, this Section provides rules for determining whether an individual is an "employee," as defined under Section 15-107 of the Code, who is eligible to participate in a SURS retirement program. This Section shall be effective for employment beginning on or after January 1, 2023. Certifications of employee status for employment that began prior to January 1, 2023, shall be determined under a reasonable and good faith interpretation of Section 15-107 of the Code.

a) General Definition. "Employee" means any member of the educational, administrative, secretarial, clerical, mechanical, labor or other staff of an employer who satisfies either the "permanent and continuous standard" under subsection (a)(1) or the "minimum continuous duration standard" under subsection (a)(2) and meets the "payroll standard" under subsection (a)(3). [40 ILCS 5/15-107(a)]

1. Permanent and Continuous Standard. An individual satisfies this subsection (a)(1) if:

A) as of the date of commencement of employment, the position is permanent, that is, it is intended to continue indefinitely in the absence of further action by the employer in the normal course of business or is anticipated for automatic reappointment upon expiration of the appointment term; and

B) the position is continuous as described in subsection (a)(4).

2. Minimum Continuous Duration Standard.

A) An individual satisfies the conditions of this subsection (a)(2) if:

i) as of the date of commencement of employment, the position requires services that are expected to be rendered over a fixed duration of at least 4 months (or 16 weeks) or one academic term, whichever is less, measured from the employment commencement date; and

ii) the position is continuous as described in subsection (a)(4).

B) For purposes of subsection (a)(2)(A), "academic term" means a portion of the academic year during which the employer holds classes that is no shorter than 3 months (or 12 weeks) in duration. If an employer is not an educational institution that holds classes, then the academic term shall be 4 months (or 16 weeks) for purposes of subsection (a)(2)(A). If services commence during a period that is not an academic term (such as a summer session) and, pursuant to a contractual commitment, are expected to extend into the following academic term, the period prior to the academic term is also counted for purposes of meeting this standard.

C) Notwithstanding subsection (a)(2)(B), services related to accelerated courses that are taught during a portion of the academic term but carry the same contact hour and credit hour loads as the unaccelerated course taught over the full academic term shall be deemed to be rendered over an academic term.

3. Payroll Standard. An individual satisfies this subsection (a)(3) if the person:

A) receives payment for personal services:

i) on a warrant issued pursuant to a payroll voucher certified by an employer and drawn by the State Comptroller upon the State Treasurer; or

ii) by an employer upon trust, federal or other funds; or

B) is on a leave of absence without pay.

4. Continuous Employment. To be continuous, a position must not be irregular, intermittent or temporary. A position must meet all the applicable requirements below to be continuous, depending on whether it is a faculty position or a non-faculty staff position:

A) Continuous Faculty Position. "Faculty" for purposes of this subsection (a)(4)(A) means an individual who has an academic appointment at an educational institution (e.g., professor, associate professor, assistant professor, adjunct faculty or professor, professor of practice, instructor, lecturer).

i) The faculty position must customarily require services to be rendered on a regularly scheduled basis that the employer deems necessary to fulfill the educational objectives of the appointment.

ii) The faculty position shall be deemed to be irregular or intermittent if the appointment requires less than 10% of a full-time faculty load for the semester. The full-time faculty load shall be defined by employer policy that is consistent with the definition of a "full-time employee" under 26 U.S.C. 4980H and regulations thereunder promulgated by the IRS.

iii) The faculty position is not temporary. A position is temporary if the individual is hired by the employer to help meet a short-term demand (e.g., completing a project of specified short-term duration, teaching a temporary course, teaching only during summer sessions, filling a position temporarily vacated by an employee who is sick or on a leave of absence, if funding for the position is temporary and renewal of that funding is not customarily sought from year to year).

B) Continuous Non-Faculty Staff Positions. "Non-faculty staff" for purposes of this subsection (a)(4)(B) means an individual who does not have an academic appointment at an educational institution (e.g., academic professionals, research scientists, technicians, clerical staff, mechanical staff, information technology staff, housekeeping/janitorial staff).

i) The non-faculty staff position customarily requires services to be rendered on at least a 10% of full-time equivalent basis as defined by employer policy that is consistent with the definition of "full-time employee" under 26 U.S.C. 4980H and regulations thereunder promulgated by the IRS.

ii) The non-faculty staff position is not temporary. A position is temporary if the individual is hired by the employer to help meet a short-term demand (e.g., completing a project of specified short-term duration, filling a position temporarily vacated by an employee who is sick or on a leave of absence, if funding for the position is temporary and renewal for that funding is not customarily sought from year to year).

iii) The non-faculty staff position has expectations of work with a particular pattern or duration. Specifically:

• the services in the position are not rendered solely on an "on-call" or "as-needed" basis (e.g., on-call shuttle drivers, extra-help employees, tutors, and driving instructors); and

• the position does not fall within the scope of a "seasonal worker," which means a worker who performs labor or services on a seasonal basis or retail workers employed exclusively during holiday seasons as defined under 26 CFR 54.4980H-1(a)(39) or 29 CFR 500.20(s)(1).

b) Specific Exclusions.

1. Notwithstanding the foregoing and as permitted under Sections 15-107(a)(1)-(7) of the Code, an individual is not an employee under this Section if the individual:

A) is a student enrolled in and regularly attending classes in a college or university which is an employer, and is employed on a temporary basis at less than full time;

B) is currently receiving a retirement annuity or a disability retirement annuity under Section 15-153.2 of the Code from this System;

C) is on a military leave of absence;

D) is eligible to participate in the Federal Civil Service Retirement System and is currently making contributions to that system based upon earnings paid by an employer;

E) is on leave of absence without pay for more than 60 days immediately following termination of disability benefits under Article 15 of the Code;

F) is hired after June 30, 1979 as a public service employment program participant under the Federal Comprehensive Employment and Training Act and receives earnings in whole or in part from funds provided under that Act; or

G) is employed on or after July 1, 1991 to perform services that are excluded by subdivision (a)(7)(f) or (a)(19) of Section 210 of the federal Social Security Act from the definition of employment given in that Section (42 U.S.C. 410). [40 ILCS 5/15-107(a)]

2. In accordance with Section 15-107(a)(7) of the Code, an individual who is employed on or after July 1, 1991, to perform services that are excluded by subdivision (a)(7)(F) or (a)(19) (concerning non-immigrant visa holders) of Section 210 of the Social Security Act from the definition of employment given in that Section (42 U.S.C. 410) shall not be an employee under Section 15-107. However, an individual who was excluded from employee status due to Section 210(a)(19) of the Social Security Act may become an employee under this Section effective as of the date the individual becomes a Lawful Permanent Resident, meets the Substantial Presence Test under 26 CFR 301.7701(b)-1(c), or otherwise becomes a U.S. person for federal income tax purposes. [40 ILCS 5/15-107(a)]

c) Certification of Employee Status. An employer shall certify any individual who meets the applicable eligibility conditions set forth under this Section as an employee within the meaning of Section 15-107 by submitting a Report of Status to SURS. An employer shall determine whether an individual is an employee under this Section, or remains an employee under this Section, upon the occurrence and re-occurrence of any of the following events:

1. initial hire;

2. transfer to a different position that is substantially different in character or duration (e.g., from a faculty to a non-faculty staff position); or

3. rehire after termination from employment.

d) Concurrent Employment. If an individual is concurrently employed in more than one position with the same employer, and at least one position qualifies for employee status under Section 15-107 of the Code as interpreted under this Section, then the other position or positions shall also be deemed as qualifying for employee status during the duration of the qualifying employment.

e) Reservation of Rights. SURS reserves the right to determine whether an individual is an employee within the meaning of Section 15-107 of the Code and this Section, including whether a position is irregular, intermittent, or temporary under subsection (a)(4).

f) Appeals. An individual who is adversely affected by a determination made under this Section may file an appeal under Section 1600.500. An employer that is adversely affected by a determination made under this Section may file an appeal under Section 1600.510. If an individual and an employer both bring appeals concerning the same determination of employee status, then SURS may consolidate the matters to be heard before the Claims Panel under Section 1600.500.

History

• Source: Added at 46 Ill. Reg. 1883, effective January 18, 2022

80 Ill. Adm. Code 1600.202 Return to Employment

Purpose. This Section defines terms used in Section 15-139 of the Code [40 ILCS 5/15-139] concerning annuitants who return to employment.

a) "Annuitant", for purposes of Section 15-139 of the Code, means a person who is receiving a retirement annuity or who has received a lump-sum retirement benefit from SURS, or, if the retirement annuity payment or payments have not yet been paid due to SURS processing, a person whose retirement annuity payment period has commenced. However:

1. a person who has received a lump-sum retirement benefit is not an annuitant for purposes of Section 15-139(b) of the Code; and

2. a person who is receiving or who has received retirement benefits under the Self-Managed Plan is not an annuitant.

b) "Compensation", for purposes of Section 15-139(b) of the Code, means any remuneration paid by an employer that is reportable by the employer as "wages, tips, or other compensation" on Internal Revenue Service Form W-2, unless the remuneration is received for serving as a member of the Illinois Educational Labor Relations Board.

c) "Employment", for purposes of Section 15-139(a) of the Code, means a relationship with any employer that would qualify the annuitant as an employee under common law, except for service as a member of the Illinois Educational Labor Relations Board.

d) "Highest Annual Earnings"

1. for purposes of Section 15-139(b) of the Code, means the greater of the following:

A) The highest aggregate earnings (as defined under Section 15-111 of the Code) paid in any 12 calendar month period, including and immediately preceding the month of termination, or any prior 12 calendar month period ending with the same calendar month. The 12 calendar month period shall begin on the first day of a month and end on the last day of a month, even if earnings were paid for only a portion of the month. For example, if an annuitant's final termination from employment occurred on May 15, 2014, the relevant period would begin on June 1 and end on May 31.

B) The highest aggregate earnings (as defined under Section 15-111 of the Code) paid in any academic year (as defined under Section 15-126.1 of the Code) prior to retirement.

2. In the case of an annuitant receiving reciprocal benefits under Article 20 of the Code, "highest annual earnings" shall include earnings credits accrued with any participating system, as defined by Section 20-108 of the Code. The highest annual earnings shall not include any remuneration that is assumed as earnings for any purpose under Article 15 of the Code.

e) "Reemployed", for purposes of Section 15-139(c) of the Code, means the annuitant has established a relationship with any employer that would otherwise qualify the annuitant as an employee under Section 15-107 of the Code, not withstanding Section 15-107(a)(2) of the Code; except, the employment must be on a permanent and continuous basis or in a position in which the annuitant is expected to serve for at least 9 months.

f) It shall be the duty of the employer and employee to notify SURS in a timely manner of any employment that could result in the cancellation or reduction of the retirement annuity under Section 15-139 of the Code.

History

• Source: Amended at 40 Ill. Reg. 8437, effective June 3, 2016

80 Ill. Adm. Code 1600.203 Independent Contractors

Any individual claiming to be an independent contractor exempt from participation in SURS as an employee under Section 15-107 of the Code or from the provision governing annuitants who return to employment or receive compensation from any employer as set forth in Sections 15-139, 15-139.1 and 15-139.5 of the Code must file Form SS-8 (Determination of Employee Work Status for Purposes of Federal Employment Taxes and Income Tax Withholding) with the IRS seeking confirmation of independent contractor status. An IRS Form SS-8 independent contractor determination must be filed with SURS before an individual can be considered to be exempt from SURS participation as an employee or reemployed employee. The individual shall file with SURS a copy of the IRS formal determination or information letter received in response to the Form SS-8, which may then be used in further consideration of the individual's independent contractor status.

History

• Source: Amended at 40 Ill. Reg. 8437, effective June 3, 2016

80 Ill. Adm. Code 1600.205 Earnings Subject to Withholding and Crediting

a) Purpose. This Section provides guidance on which payments for compensation constitute "earnings" under Sections 15-111 and 15-111.5 of the Code. Section 15-157 of the Code requires every participating employee to make contributions of 8% of his or her pay to fund the benefits payable under SURS. This contribution is deducted from the participating employee's pay on a pre-tax basis and remitted to SURS via payroll deduction. The contributions are made as a percentage of the participating employee's "earnings".

b) Definition. "Earnings", defined under Section 15-111 of the Code, is an amount paid for personal services equal to the sum of the basic compensation plus extra compensation for summer teaching, overtime and other extra service, subject to the following:

1. For periods for which an employee receives service credit under Section 15-113.1(c) or 15-113.2 of the Code, earnings are equal to the basic compensation on which contributions are paid by the employee during such periods.

2. Earnings shall include the basic compensation on which employee contributions required under Section 15-157 of the Code are paid by the employee for periods of furlough as provided under Section 15-113.11 of the Code.

3. Earnings shall include the amount of a voluntary pay reduction taken in lieu of furlough on which employee contributions required under Section 15-157 of the Code are paid by the employee as provided under Section 15-113.12 of the Code.

4. Compensation for employment which is irregular, intermittent and temporary shall not be considered earnings, unless the participant is also receiving earnings from the employer as an employee under Section 15-107 of the Code. [40 ILCS 5/15-111(a)]

c) Tier 2 Member Earnings Limitation

1. For a Tier 2 member, the annual earnings shall not exceed $106,800; however, that amount shall annually thereafter be increased by the lesser of:

A) 3% of that amount, including all previous adjustments; or

B) one-half the annual unadjusted percentage increase (but not less than zero) in the Consumer Price Index-U (CPI-U) for the 12 months ending with the September preceding each November 1, including all previous adjustments.

2. For the purposes of this Section, CPI-U means the index published by the Bureau of Labor Statistics of the United States Department of Labor that measures the average change in prices of goods and services purchased by all urban consumers, United States city average, all items, 1982-84 = 100. The new amount resulting from each annual adjustment shall be determined by the Public Pension Division of the Department of Insurance and made available to the boards of the retirement systems and pension funds by November 1 of each year. [40 ILCS 5/15-111(b)]

d) Determination of the Purpose of the Payment

1. If the payment is for services rendered, then the payment is earnings.

2. If the payment is for a reason other than services rendered, it is not earnings.

3. Other Payments

The following list does not limit SURS' authority to determine whether any payment of compensation constitutes earnings on a case-by-case basis.

A) Bonuses; Awards

i) Bonuses received by an employee that are related to services rendered for a specific period of time, not to exceed one academic year, shall be included in earnings subject to SURS withholding.

ii) Awards, such as longevity of service awards or outstanding employee awards, that are not associated with a particular time period are not subject to SURS withholding.

iii) Earnings and basic compensation for an employee who first becomes a participant on or after January 1, 2017 shall not include bonuses.

B) Severance Payments, Salary/Contract Continuation Payments, Retirement Payments or Incentives. Payments made to facilitate termination of employment or to induce someone to retire, or not to retire, are not for services rendered, but are made in conjunction with an employee's termination of employment or retirement and are not earnings. These payments are also not includable in the final rate of earnings under Section 15-112.

C) Group Fringe Benefits. Group fringe benefits provided by the employer are not earnings. However, employer paid premiums on employer-provided group term life insurance in excess of $50,000 are earnings.

D) Housing Allowance. A housing allowance, whether in the form of a direct salary payment or as a residence in which the employee resides, is earnings. Earnings and basic compensation for an employee who first becomes a participant on or after January 1, 2017 shall not include housing allowances.

E) Automobile Allowance. An automobile allowance in the form of a direct salary payment is earnings. However, neither business use nor personal use of an employer-provided automobile is earnings. Earnings and basic compensation for an employee who first becomes a participant on or after January 1, 2017 shall not include vehicle allowances.

F) Non-Qualified Moving Expenses. Non-qualified moving expenses (see 26 USC 217) are not earnings as they are not furnished in lieu of salary.

G) Unused Sick Leave Paid at Termination of Employment. These payments are not earnings, except for collectively bargained payments made in accordance with Section 15-112 of the Code.

H) Overtime. Overtime is earnings.

I) Miscellaneous Other Benefits. Fringe benefits that are provided in lieu of salary are earnings. Items that are not provided in lieu of salary (such as reimbursement for out-of-pocket travel expenses, relocation expenses, etc.) are not earnings. Items such as country club dues, tuition waivers, tickets to athletic and performing arts events for family members of employees, and other items that are reported as taxable income on the employee's Form W-2 are not earnings, unless those items are a negotiated fringe benefit in lieu of salary. Earnings and basic compensation for an employee who first becomes a participant on or after January 1, 2017 shall not include social club dues or athletic club dues.

J) Military Differential Wage Payments and Salary Continuation Benefits. For payments made on or after January 1, 2009, differential wage payments, as defined under section 414(u)(12) of the IRC (26 USC 414(u)(12)), and payments to an individual who does not currently perform services for an employer by reason of qualified military service, as defined under section 414(u)(1) of the IRC (26 USC 414(u)(1)), to the extent those payments do not exceed the amounts the individual would have received if the individual had continued to perform services for the employer rather than entering qualified military service, shall be earnings and shall be compensation paid or made available during the limitation year for purposes of applying the limitations under section 415 of the IRC.

K) Retroactive Pay Settlements, Court Settlements or Judgments, or Grievance Arbitration Settlements or Awards. The cash amount for back pay or retroactive pay under a settlement agreement, award or order issued by a court or arbitral body for a disputed termination of employment, suspension or demotion shall be earnings if the agreement, award or order:

i) Excludes from back pay any non-wage or non-salary items, such as health insurance reimbursements, payments for medical costs, interest awards, attorneys' fees, or damage awards;

ii) Specifies the months to which the back pay is allocated and the amount is based on the basic compensation (or a portion thereof) the employee would have otherwise received during those months; and

iii) The back pay amounts are paid to the employee within one year after the issuance of the agreement, award or order.

L) Payment for Unused Vacation Days. Pursuant to Section 15-112(h)(4)(iii) of the Code, payments for unused vacation of up to 56 work days paid upon termination of employment are earnings. Payments for unused vacation days that are paid during employment are not earnings.

M) Payments made under the Public Employee Disability Act [5 ILCS 345] are not earnings.

e) Earning History. Certain earnings may be excludable from the "final rate of earnings" determined under Section 15-112 of the Code. Earnings are always attributable to the period when earned, not when paid. SURS reserves the right to reallocate reported earnings to the period when earned, when this is necessary to accurately reflect the employee's earning history.

History

• Source: Amended at 44 Ill. Reg. 17714, effective October 22, 2020

Chapter II State Universities Retirement System

Part 1600 Universities Retirement

80 Ill. Adm. Code 1600.210 Crediting Interest on Participant Contributions and Other Reserves

a) On the first of each month, participant contributions and all other reserves, except the reserves for undistributed interest and gains and losses on investments, shall be credited with interest at the effective rate in accordance with subsections (b) and (c) of this Section.

b) The balance in the account at the end of the preceding fiscal year shall be credited with one-twelfth of one year of interest at the effective rate.

c) A participant accepting a refund shall be entitled to interest to the first day of the month in which the refund is paid.

d) The prescribed rate of interest shall be compounded annually, and the rate shall be determined periodically by the Board based upon the probable average effective rate of interest on a long-term basis.

History

• Source: Amended at 32 Ill. Reg. 16515, effective September 25, 2008

80 Ill. Adm. Code 1600.220 Election to Make Contributions Covering Leave of Absence at Less Than 50% Pay

a) A participant may elect to pay contributions covering leaves of absence at less than 50% pay, except military leave and periods of disability leave in excess of 60 days, if the participant pays the contributions required by the Code in accordance with this Section upon the participant's basic compensation on the date the leave begins. In order to pay contributions covering such leaves of absence, the participant must:

1. return to employment covered by SURS at the expiration of the leave, or within 30 days after the termination of a disability that occurs during the leave, and continues this employment at a percentage of time equal to or greater than the percentage of time immediately preceding the leave of absence for at least 8 consecutive months or a period equal to the period of the leave, whichever is less; or

2. be precluded from meeting the foregoing conditions because of disability or death.

b) Immediate Payment

1. The election must be filed by the later of 30 days after the beginning date of the leave or, in the event of late notification of the leave by the employer, 30 days after the date the participant is sent the election form.

2. Payment of contributions must be received by 30 days after the last day of the month for which the contributions are payable. In the event of late notification of the payment schedule by SURS, the participant must catch up the past due contribution within 30 days after the date he or she is sent the payment schedule and the remainder of the contributions must be received within the required 30 days.

c) Subsequent Payment

If a participant fails to comply with the conditions set forth in subsection (b), he or she may purchase service and earnings credit for the leave by paying the contributions and interest on the contributions at the effective rate from the academic year-end in which the leave occurred. Payments under this subsection may not be made earlier than the date on which the participant fulfills the return from leave requirements found in Section 15-113.2 of the Code.

d) No payment may be made for service covering leaves of absence after the date the participant dies or begins receiving a retirement annuity or disability retirement allowance.

e) If a participant purchases service credit covering a leave of absence but fails to meet the conditions set forth in the preceding subsections of this Section, the payment made shall be refunded without interest.

f) Not more than 3 years of service credit for leaves of absence in any period of 10 years may be purchased.

g) This Section is not applicable to a participant who is on special leave of absence for service with a teacher organization.

History

• Source: Amended at 32 Ill. Reg. 16515, effective September 25, 2008

80 Ill. Adm. Code 1600.230 Election to Pay Contributions Based Upon Employment That Preceded Certification as a Participant

a) A participant who meets the conditions of the Code may elect to pay contributions plus interest on the contribution at the rate established by the Code covering any period of employment:

1. after August 31, 1941, at one-half time or more for an employer covered by SURS, which preceded the date that he or she became a participant; and

2. any period of full-time employment with the United States government, the government of a state, a political subdivision of a state, or an agency or instrumentality of any of the foregoing, that preceded the date that he or she became a participant.

b) The participant may purchase, during the fiscal year in which employment terminates or in which retirement annuity begins, additional service credit for not less than ¼ year of the employment described in subsection (a). If the participant elects to purchase credit described in subsection (a) prior to the fiscal year in which employment terminates, he or she must purchase at least one year of additional service credit, unless the total service credit he or she is entitled to purchase on the basis of this employment is less than one year. No payment may be accepted for this service after the beginning of the annuity payment period described in Section 15-135(b) of the Code.

History

• Source: Amended at 32 Ill. Reg. 16515, effective September 25, 2008

80 Ill. Adm. Code 1600.240 Election to Make Contributions Covering Periods of Military Leave Protected Under Userra

a) Under Section 15-157(d) of the Code, and subject to conditions and limitations as may be specified in this Section, a participant may make other additional contributions of such percentage of earnings or amounts as the participant shall elect in a written notice received by the Board. Under Section 1-118 of the Code, SURS shall comply with the requirements imposed on it by the federal Uniformed Services Employment and Reemployment Rights Act (USERRA) (38 USC 4301 et seq.).

b) "Military leave", as used in this Section, means periods during which a participating employee is placed on leave by an employer for active duty in the uniformed services of the United States while a participating employee under SURS and:

1. returns to employment covered by SURS within the time periods and in the manner required under 20 CFR 1002.115 , or within 30 days after the termination of a disability that occurs during the leave; or

2. is precluded from meeting the conditions set forth in subsection (b)(1) because of disability or death.

c) The participating employee may elect to make contributions to SURS for any period of military leave or portion of the military leave designated by the participating employee. The contributions must be made at the rates provided in Section 15-157(a) through (c) of the Code based upon the participant's rate of pay as determined under 20 CFR 1002.267.

d) The participating employee may make contributions while on military leave. No contributions may be made for military leave under this Section after the earliest of the following:

1. the beginning of the annuity payment period;

2. the date of receipt of a disability retirement allowance;

3. the date of the participant's death;

4. the date of separation from the post-military leave employment with the employer; or

5. the expiration of a period beginning with the date of reemployment that is no longer than three times the period of military service, but not to exceed 5 years.

e) If the participant makes a contribution under this Section, but is later found to have failed to meet the conditions set forth in this Section, the contribution made shall be refunded without interest.

f) Military Service Prior to July 12, 2005. If a participating employee fulfilled the applicable requirements of USERRA and subsection (b) prior to July 12, 2005, then he or she will be deemed to have returned to employment on July 12, 2005 for purposes of subsection (d)(4).

g) Award of Service Credit. Service credit shall be granted as required under USERRA for military leave periods purchased under this Section.

h) Self-Managed Plan Participants. Participating employees covered under the Self-Managed Plan may make contributions for qualifying periods of military leave for periods described under subsection (b) at rates provided under Sections 15-158.2(h) and 15-157 of the Code based upon the participating employee's rate of pay as determined under 20 CFR 1002.267 (2008, no subsequent dates or editions). The employer contributions shall be credited to the participant's account on a pro-rated basis relative to the amount of participant contributions paid and at the rate specified under Section 15-158.2(h) of the Code. The employer contributions shall be credited to the participant's account within the timeframes required under 20 CFR 1002.262 (2008, no subsequent dates or editions) following each contribution payment made under this Section.

History

• Source: Amended at 32 Ill. Reg. 16515, effective September 25, 2008

80 Ill. Adm. Code 1600.241 Survivor Benefits for Members Who Die While on Military Leave Protected Under Userra

For deaths occurring on or after January 1, 2007, in the case of a participant who dies while performing "qualified military service", as defined in section 414(u) of the IRC, any survivor or beneficiary of the participant is entitled to any additional benefits (other than benefit accruals relating to the period of qualified military service) provided under SURS had the participant resumed employee status and then terminated employment on account of death.

History

• Source: Added at 36 Ill. Reg. 3938, effective February 22, 2012

80 Ill. Adm. Code 1600.250 Sick Leave Accrual Schedule

a) Under Section 15-113.4 of the Code, SURS grants service credit for unused sick leave.

b) A participant who retires within 60 days immediately following his or her termination with an employer covered under SURS or other system subject to the Retirement Systems Reciprocal Act [40 ILCS 5/20] is entitled to credit for service for that portion of unused and unpaid sick leave earned in the course of employment.

c) The employer must certify the number of unused and unpaid sick days consistent with subsection (e) on the member's termination report provided to SURS, or other form acceptable to SURS.

d) Service credit is granted for unused and unpaid sick leave verified by the employer in accordance with the following schedule:

1. 0-29 full calendar days and 0-19 full work days = no service credit

2. 30-90 full calendar days and 20-59 full work days = 0.25 years of service credit

3. 91-180 full calendar days and 60-119 full work days = 0.50 years of service credit

4. 181-270 full calendar days and 120-179 full work days = 0.75 years of service credit

5. 271 or more full calendar days and 180 or more full work days = 1 year of service credit

e) Only uncompensated, unused sick leave earned in accordance with an employer's sick leave accrual policy generally applicable to employees or a class of employees will be taken into account in calculating service credit under this Section. Any sick leave granted by an employer to facilitate the hiring, retirement, termination, or other special circumstances of a participant will not be taken into account in calculating service credit for retirement. Other unused benefits, such as vacation days or personal leave days, even if converted into sick leave under an employer's sick leave policy or contract, shall not be counted as unused sick leave under this Section.

f) If a participant transfers from one employer to another, the unused sick leave credited by the previous employer will be considered in determining service to be credited under this Section, even if the participant terminated prior to August 23, 1989 (the effective date of P.A. 86-272), so long as the subsequent employer did not credit the participant with that sick leave from the previous employer.

History

• Source: Amended at 38 Ill. Reg. 16375, effective July 17, 2014

80 Ill. Adm. Code 1600.260 Part-Time/Concurrent Service Adjustment

This Section will clarify how the percentage of time employed for each year of employment is determined for the service adjustment under Section 15-134.1(b) of the Code. This percentage cannot exceed 100%. The service adjustment under Section 15-134.1(b) of the Code shall not apply to a member who is a participant on or after September 1, 2024.

a) Determine the average monthly percent time worked.

1. Establish the monthly full-time equivalent (FTE) earnings for each employer by dividing the monthly earnings from that employer by the percent time the participant worked for that employer for that month.

2. Total the participant's earnings from all employers for that month and divide by the highest full-time equivalent.

3. This results in the average monthly percent time worked.

4. Example:

Actual Monthly

Monthly %

Employer

Earnings

Time Worked

Monthly FTE

Employer #1

$200

20%

$1,000

Employer #2

$375

30%

$1,250 (highest)

Employer #3

$420

40%

$1,050

Total Actual

$995

Average monthly percent time worked = 79.6% ($995 divided by $1,250)

b) Determine the percentage of time employed for each relevant year of employment.

1. Total the average monthly percent time worked for each month in the academic year for which the participant had earnings.

2. Divide this number by the total number of months during the academic year for which the participant had earnings.

3. This calculation results in the percentage of time employed for each year of employment.

4. Example:

Average monthly % time worked

Earnings in:

79.6

September

67.5

October

54.3

November

78.5

December

35.2

February

38.9

March

44.5

April

37.5

May

Total 436.0

8 months of earnings

Percentage of time employed for the year of employment is 54.5% (436.0 divided by 8).

c) Calculate Annuity

1. In calculating a retirement annuity, if the participant's "percentage of time employed for each year of employment is 50% or less for 3 or more years after September 1, 1959, service is granted for employment in excess of 3 years", in the proportion that the percentage of time employed for each year of employment bears to the average annual percentage of time employed during the period on which the final rate of earnings is based. An example calculation for this subsection (c) is:

Year

Unadjusted Service

Percentage of Time Employed

Adjusted Service

1

1.00

25%

1.00

2

1.00

25%

1.00

3

1.00

30%

1.00

4

1.00

30%/57.50%

0.5217

5

1.00

45%/57.50%

0.7826

6

1.00

50%/57.50%

0.8696

7

1.00

55%

1.00

8

1.00

60%

1.00

9

1.00

65%

1.00

9.00

8.1739

2. In this example, the final rate of earnings are based on years 6 through 9. The average annual percentage of time employed during the period on which the final rate of earnings is based is 57.5%. This is the sum of years 6 through 9 percentages divided by 4.

3. Years 1 through 6 have percentages of 50% or less and must be tested for adjustment. The participant receives 3 of these years without adjustment. To maximize the service that is used in the calculation of the retirement annuity, those years with the smallest percentages will be applied to the 3 years the participant receives without adjustment. In this example, that is years 1 through 3. Therefore, only years 4 through 6 require adjustment. To determine the adjusted service, divide the "percentage of time employed" by the "average annual percentage of time employed during the period on which the final rate of earnings is based", then multiply by the unadjusted service. If year 4's unadjusted service had been 0.50 year, the adjusted service would have been 30%/57.5% x 0.50 = .2609.

d) The service credit adjustment in subsection (c) is not made in determining the participant's eligibility for a retirement annuity, disability benefits, additional death benefits, or survivors' insurance.

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.270 Employer Contributions for Benefit Increases Resulting from Earnings Increases Exceeding 6%

Purpose. This Section implements Section 15-155(g), (h), (i), (j) and (k) of the Code. This Section shall not apply to benefits from other retirement systems or pension funds payable under the Retirement Systems Reciprocal Act (Article 20 of the Code).

a) Calculation of the Employer Cost. This calculation is made when a monthly benefit is calculated from the participant's final rate of earnings (FRE). The "present value of the increase in benefits" described in Section 15-155(g), called the "Employer Cost", will be calculated as follows:

1. The earnings, as defined in Section 15-111 of the Code, for every academic year in the FRE period, as defined in Section 15-112 of the Code, are adjusted on a full-time equivalent basis.

A) 48 Month FREs and Partial Academic Years. When the final rate of earnings for a participant is the average annual earnings during the 48 consecutive calendar month period ending with the last day of final termination of employment, any partial academic year at the beginning of the final rate of earnings period will be disregarded.

B) Full-Time Equivalent (FTE) Basis

i) SURS will adjust earnings from an employer in a manner consistent with the percent time employed reported by the employer.

ii) The FTE earnings of an academic year shall equal the total earnings in the academic year divided by the average percent time of employment.

C) Earnings credited during periods of service purchased under Sections 15-113.1 through 15-113.7 of the Code shall be determined on a FTE basis.

D) For the purpose of Section 15-155(g), earnings do not include payments made under a collective bargaining agreement for unused sick leave or payments made for unused vacation.

E) For purposes of Section 15-155(g), earnings shall include earnings, to the extent not established by a participant under Section 15-113.11 or 15-113.12, that would have been paid to the participant had the participant not taken periods of voluntary or involuntary furlough occurring on or after July 1, 2015 and on or before June 30, 2017, or periods of voluntary pay reduction in lieu of furlough occurring on or after July 1, 2015 and on or before June 30, 2017. These earnings shall be reported by the employer in the format specified by the System for this purpose.

F) For purposes of Section 15-155(g), earnings shall exclude any earnings increase paid in an academic year beginning on or after July 1, 2020 resulting from overload work performed in an academic year subsequent to an academic year in which the employer was unable to offer or allow to be conducted overload work due to an emergency declaration limiting such activities. [40 ILCS 5/15-155(h-5)]

2. The FTE earnings of each academic year in the FRE period are limited to 106% of the previous academic year's FTE earnings to yield the "Capped FTE Earnings" of each academic year.

3. The Capped FTE Earnings of each academic year are multiplied by their respective average percent times of employment to yield the "Capped Earnings" for each academic year. The Capped Earnings shall be used to determine the "Capped FRE".

4. The "Benefit Increase" shall equal the difference between the FRE and the Capped FRE, multiplied by the number of years of service, and further multiplied by 2.2%.

5. The Employer Cost equals the actuarial present value of the Benefit Increase. This actuarial present value calculation will be made by using actuarial tables provided by SURS' actuary from time to time. The actuarial table used will correspond with the type of monthly benefit that is provided to the participant. A single-life annuity table will be used when a traditional benefit package participant has no eligible survivor at the time of retirement. If the participant had employment with more than one employer during the final rate of earnings period, the Employer Cost is calculated for each employer using only the earnings with that employer. However, no Employer Cost will be assessed among multiple, concurrent employers if the increase in total earnings for the concurrent academic year in the FRE period does not exceed 6% over the total earnings of the previous academic year.

b) Employer Billing

1. Billing. Whenever it determines that a payment is or may be required under Section 15-155(g) of the Code, SURS will calculate the amount of the payment and bill the employer for the amount. The bill will specify the calculations used to determine the amount due.

2. Request for Recalculation. If the employer disputes the amount of the bill, it may, within 30 days after receipt of the bill, apply to SURS in writing for a recalculation. The application must specify the grounds of the dispute and, if the employer asserts the calculation is subject to Section 15-155(h) or (i) of the Code, must include an affidavit setting forth and attesting to all facts within the employer's knowledge that are pertinent to the applicability of Section 15-155(h) or (i) of the Code. Upon receiving a timely application for recalculation, SURS will review the application and, if appropriate, recalculate the amount due.

3. Payment. The employer contributions required under Section 15-155(g) of the Code may be paid in the form of a lump sum within 90 days after the receipt of the bill. If the employer contributions are not paid within 90 days after receipt of the bill, then interest will be charged at a rate equal to SURS' prescribed rate of interest compounded annually from the 91st day after the receipt of the bill. Payments must be concluded within 3 years after the employer's receipt of the bill. [40 ILCS 5/15-155(g)]

4. Appeals of the Recalculation. The employer may appeal a recalculation pursuant to Section 1600.510.

c) Exclusions for Earnings Increases Paid on or after June 1, 2005, but before July 1, 2011, under Section 15-155(h) of the Code

1. Grandfathering. When assessing payment for any amount due under Section 15-155(g) of the Code, SURS will exclude earnings increases paid to participants required under contracts or collective bargaining agreements entered into, amended, or renewed before June 1, 2005. [40 ILCS 5/15-155(h)] These contracts are "grandfathered". For the purposes of Section 15-155(h) of the Code:

A) A contract or collective bargaining agreement is "entered into, amended or renewed" on the earliest of the following:

i) the date the governing body of the employer voted to accept the contract or collective bargaining agreement;

ii) the date the contract or collective bargaining agreement was executed in final form by the parties; or

iii) the date the parties to the contract or collective bargaining agreement reached a tentative agreement regarding the terms of the contract or collective bargaining agreement, provided that the tentative agreement is subsequently approved by the governing body of the employer on or after June 1, 2005, without any changes to the terms that have the effects described under subsection (c)(1)(B)(i) or (ii).

B) A contract or collective bargaining agreement will not exclude earnings increases paid under the contract or agreement if the contract or agreement is amended or renegotiated after June 1, 2005 to have the effect of:

i) increasing the earnings usable for the FRE (except when the increase is the result of a salary reopener provision that was part of the contract or collective bargaining agreement prior to June 1, 2005); or

ii) extending the expiration date of the contract (in which case the earnings will be excluded only through the original expiration date of the contract).

C) Miscellaneous

i) A contract exception made by an employer for an individual shall disqualify that individual's earnings increases from grandfathering but shall not invalidate the grandfathering for any other persons.

ii) A memorandum of understanding between the employer and the collective bargaining unit to increase the credit hours available shall not invalidate the contract, but any earnings increases because of the increased credit hours shall not be excluded from the calculation under subsection (a), unless Section 15-155(h) or (i) of the Code applies.

iii) When a member has given notice to the employer of intent to retire pursuant to the terms of a grandfathered contract or collective bargaining agreement, earnings provided under the contract or collective bargaining agreement shall be excluded so long as the earnings are provided to the member within four years after the expiration date of the contract or collective bargaining agreement.

iv) Notwithstanding the other provisions of this subsection (c)(1), earnings paid under a grandfathered contract on or after July 1, 2011 shall not be excluded from earnings under subsection (a).

2. Earnings 10 Years Prior to Retirement Eligibility. When assessing payment for any amount due under Section 15-155(g) of the Code, SURS will exclude earnings increases paid to a participant at a time when the participant is 10 or more years from retirement eligibility under Section 15-135 of the Code. [40 ILCS 5/15-155(h)] Earnings increases paid in academic years preceding and including the academic year during which the participant was 10 years from attaining earliest retirement eligibility shall be excluded.

3. Overloads and Overtime

A) Earnings increases resulting from overload work, including a contract for summer teaching, or overtime when the employer has certified to SURS, and SURS has approved the certification, that:

i) in the case of overloads:

• the overload work is for the sole purpose of academic instruction in excess of the standard number of instruction hours for a full-time employee occurring during the academic year that the overload is paid; and

• the earnings increases are equal to or less than the rate of pay for academic instruction computed using the participant's current salary rate and work schedule; and

ii) in the case of overtime, the overtime was necessary for the educational mission. [40 ILCS 5/15-155(h)]

B) The certification shall be in the form adopted by SURS and be signed by a duly authorized representative of the employer. The certification must be accompanied by supporting documentation as required by the form.

C) The standard number of instruction hours for a full-time employee shall be consistent with employer policy in force for the academic year in which the overload earnings were earned.

4. Promotions

A) When assessing payment for any amount due under Section 15-155(g) of the Code, SURS will exclude earnings increases resulting from:

i) a promotion for which the employee moves from one classification to a higher classification under the State Universities Civil Service System;

ii) a promotion in academic rank for a tenured or tenure-track faculty position; or

iii) a promotion that the Illinois Community College Board has recommended in accordance with Section 15-155(k) of the Code.

B) The earnings increases referenced in subsection (c)(4)(A) shall be excluded only if the promotion is to a position that has existed and been filled by a member for no less than one complete academic year and the earnings increase as a result of the promotion is an increase that results in an amount no greater than the average salary paid for other similar positions. [40 ILCS 5/15-155(h)]

C) The employer shall certify that the promotion is to a position that has existed and been filled by a member for no less than one complete academic year and the earnings increase as a result of the promotion is an increase that results in an amount no greater than the average salary paid for other similar positions. The certification shall be in the form adopted by SURS and be signed by a duly authorized representative of the employer. The certification must be accompanied by supporting documentation as required by the form.

D) The phrase "an amount no greater than the average salary paid for other similar positions" shall mean the midpoint of the salary range for the position or similar positions as most recently approved by the Merit Board of the State Universities Civil Service System or the current average salary paid for tenured or tenure-track faculty positions in the same department, as the case may be.

d) Exclusions for earnings increases described in Section 15-155(h) of the Code paid on or after July 1, 2011, but before July 1, 2014, under a contract or collective bargaining agreement entered into, amended, or renewed on or after June 1, 2005, but before July 1, 2011, under Section 15-155(i) of the Code. For the purpose of Section 15-155(i) of the Code, a contract or collective bargaining agreement is "entered into, amended or renewed" on the earliest of the following:

1. the date the governing body of the employer voted to accept the contract or collective bargaining agreement;

2. the date the contract or collective bargaining agreement was executed in final form by the parties; or

3. the date the parties to the contract or collective bargaining agreement reached a tentative agreement regarding the terms of the contract or collective bargaining agreement, provided that the tentative agreement is subsequently approved by the governing body of the employer on or after July 1, 2011 without any changes to the terms that have the effect of extending the expiration date.

e) The exclusions under subsections (c) and (d) shall not apply to earnings increases paid after June 30, 2014.

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.271 Employer Contributions for Earnings in Excess of the Governor's Salary

a) Purpose and Applicability. This Section implements Section 15-155(j-5) of the Code. Section 15-155(j-5) and this Section shall not apply to any participant's earnings to the extent the employer pays the employer normal cost for those earnings. For purposes of Section 15-155(j-5), the terms stated in subsections (b) through (i) shall have the meanings ascribed in this Section.

b) State Fiscal Year. The "State fiscal year" shall mean the 12-month period beginning July 1.

c) Governor's Salary. The "amount of the salary set by law for the Governor that is in effect on July 1 of that fiscal year" shall be the salary for the Governor set by law by the General Assembly as of July 1 of the State fiscal year or, in its absence, the most recent salary for the Governor set by law by the General Assembly.

d) Earnings Exclusions. Earnings do not include payments made under a collective bargaining agreement for unused sick leave or payments made for unused vacation.

e) Excess Earnings. The "amount of earnings in excess of the amount of the salary set for the Governor" (excess earnings) shall be equal to the difference between the earnings and the Governor's salary as defined in subsection (c).

f) Employer Normal Cost. The "employer normal cost" shall mean the employer normal cost described in Section 15-155, expressed as a total percentage of payroll, approved by the Board for the State fiscal year. This amount shall be computed by the System on the basis of the actuarial assumptions and tables used in the most recent actuarial valuation of the System that is available at the time of the computation. [40 ILCS 5/15-155(j-5)]

g) Employer Contribution Amount. The employer contribution amount shall be equal to the excess earnings under subsection (e) multiplied by the employer normal cost percentage under subsection (f).

h) Multiple or Concurrent Employers. In the event that an employee has been employed by two or more employers during a State fiscal year, earnings shall be measured and the employer contribution amount shall be calculated on an employer-by-employer basis.

i) Employer Billing

1. Billing. Whenever it determines that a payment is or may be required under Section 15-155(j-5) of the Code, the System shall calculate the amount of the payment and bill the employer for that amount. The bill shall specify the calculation used to determine the amount due. [40 ILCS 5/15-155(j-5)] No bills shall be issued for de minimis employer contribution amounts that are $25 or less. The System shall issue the bill during the September immediately following the end of the State fiscal year to which the bill relates.

2. Request for Recalculation. If the employer disputes the amount of the bill, it may, within 30 days after issuance of the bill, apply to the System in writing for a recalculation. The application must specify in detail the grounds of the dispute. Upon receiving a timely application for recalculation, the System shall review the application and, if appropriate, recalculate the amount due. An employer shall be deemed to have been in receipt of the bill on the date the bill is issued.

3. Payment. The employer contributions required under this subsection (i) may be paid in the form of a lump sum within 90 days after issuance of the bill. If the employer contributions are not paid within 90 days after issuance of the bill, then interest will be charged at a rate equal to the System's annual actuarially assumed rate of return on investment compounded annually from the 91st day after receipt of the bill. All payments must be received within 3 years after the issuance of the bill. [40 ILCS 5/15-155(j-5)]

4. Comptroller Intercept. If the employer fails to make complete payment, including applicable interest, within 3 years, then the System may, after giving notice to the employer, certify the delinquent amount to the State Comptroller, and the Comptroller shall deduct the certified delinquent amount from State funds payable to the employer and pay them instead to the System. [40 ILCS 5/15-155(j-5)] In the case of an employer that is a community college district, Section 15-155.1(b) of the Code shall also apply to delinquent amounts including interest after the 3-year period.

5. Appeals of the Recalculation. The employer may appeal a recalculation pursuant to Section 1600.510.

History

• Source: Amended at 43 Ill. Reg. 8562, effective July 26, 2019

80 Ill. Adm. Code 1600.275 Employer Contributions for Employing Affected Annuitants

a) Purpose and Applicability

1. This Section implements Section 15-139.5 of the Code concerning employer reporting and contribution requirements for employing or reemploying annuitants and affected annuitants, effective for academic years beginning on or after August 1, 2013.

2. Effective November 19, 2013, this Section shall not apply to an annuitant if the employer of that annuitant provides documentation to SURS that:

A) the annuitant is employed in a status appointment position, as that term is defined in 80 Ill. Adm. Code 250.80; and

B) due to obligations contained under the State Universities Civil Service Act [110 ILCS 70], the employer does not have the ability to limit the earnings or duration of employment for the annuitant while employed in the status appointment position. [40 ILCS 5/15-139.5(j)]

b) Definitions. For purposes of Section 15-139.5 of the Code and this Section, the following terms shall have the meanings ascribed in this subsection (b).

1. "Academic Year" means the 12-month period beginning on September 1. [40 ILCS 5/15-139.5(a)]

2. "Affected Annuitant"

A) Means an annuitant on the first day of the academic year following the academic year in which the annuitant first met the following conditions:

i) While receiving a retirement annuity under Article 15 of the Code, the annuitant was employed on or after August 1, 2013 by one or more employers under that Article and received or became entitled to receive during an academic year compensation for that employment in excess of 40% of his or her highest annual earnings prior to retirement; except that compensation paid from federal, corporate, foundation, or trust funds or grants of State funds that identify the principal investigator by name is excluded.

ii) For the academic year containing June 1, 2015 and academic years thereafter, the annuitant received an annualized retirement annuity under Article 15 of at least $10,000. [40 ILCS 5/15-139.5(b)] The annualized retirement annuity of at least $10,000 shall be a gross monthly retirement annuity of at least $833.33 per month.

B) A person who becomes an affected annuitant remains an affected annuitant, except for:

i) any period during which the person returns to active service and does not receive a retirement annuity from SURS; or

ii) any period on or after December 8, 2017 during which an annuitant received an annualized retirement annuity under Article 15 of the Code that is less than $10,000. [40 ILCS 5/15-139.5(b)]

3. "Annuitant" means a person who is receiving a retirement annuity or, if the retirement annuity payment or payments have not yet been paid due to SURS processing, a person whose retirement annuity payment period has commenced. A person is not an annuitant if he or she:

A) has received a lump-sum retirement benefit under the Portable Benefit Package; or

B) is receiving or has received retirement benefits under the Self-Managed Plan.

4. "Catastrophic Incident" means an occurrence of widespread or severe damage or loss of property resulting from any manmade or natural cause, including, but not limited to, fire (including arson), flood, earthquake, wind, storm, explosion or extended periods of severe inclement weather.

5. "Compensation" means any remuneration paid by an employer that is reportable to the Internal Revenue Service by the employer as "wages, tips, or other compensation" on IRS Form W-2.

6. "Critical Operations" means teaching services, medical services, student welfare services, and any other services that are critical to the mission of the employer. [40 ILCS 5/15-139.5(i)]

7. "Disaster" means an event that results in the Governor declaring that a disaster exists pursuant to Section 7 of the Illinois Emergency Management Agency Act [20 ILCS 3305/7] or an event that results in a municipality to declare that a state of emergency exists pursuant to 65 ILCS 5/11-1-6.

8. "Employed or Reemployed" means the employer and annuitant have entered into an employer-employee relationship under common law and the annuitant is not an independent contractor. For the purposes of this Section, an annuitant whose employment by an employer extends over more than one academic year shall be deemed to be reemployed by that employer in each of those academic years.[40 ILCS 5/15-139.5(a)]

9. "Highest Annual Earnings" shall have the meaning ascribed in Section 1600.202(d).

10. "Retirement Annuity" means an annuity payable under Section 15-136, 15-136.1, 15-136.3 or 15-136.4 of the Code, excluding any survivor annuitant portion of a joint and survivor annuity.

c) Initial Notification for Employed Annuitants. Within 60 days after the date of employing or reemploying an annuitant, the employer shall submit notification to the System of the following items:

1. A summary of the contract of employment or specify the rate of compensation and the anticipated length of employment of that annuitant [40 ILCS 5/15-139.5(a)]. If an employer enters into a new contract with an annuitant during the same academic year of employment or reemployment, the employer shall submit a new summary or rate of compensation and anticipated length of employment within 60 days after the effective date of the contract. The employer shall provide a copy of the contract upon SURS' request.

2. A certification of whether the annuitant will be compensated from

federal, corporate, foundation, or trust funds or grants of State funds that identify the principal investigator by name [40 ILCS 5/15-139.5(a)].

3. Critical Operations

A) A certification of whether the annuitant has become an affected annuitant and:

i) if the annuitant is an affected annuitant, whether the annuitant was employed in order to continue critical operations in the event of either an employee's unforeseen illness, accident, or death or a catastrophic incident or disaster; or [40 ILCS 5/15-139.5(i)]

ii) if the annuitant is an affected annuitant, whether the employer has certified the annuitant as a participating employee under Section 15-139(c) of the Code.

B) If the employment is for critical operations, the notice in this subsection (c) shall be submitted within 5 business days after employing or reemploying the annuitant.

d) Annual Certification of Employed Annuitants. For each employed annuitant, an employer shall submit to SURS the following information no later than 30 days following the conclusion of the academic year:

1. The amount of compensation paid to the annuitant for employment in the academic year; and

2. The amount of compensation that comes from federal, corporate, foundation, or trust funds or grants of State funds that identify the principal investigator by name that has been paid to the annuitant in the academic year. [40 ILCS 5/15-139.5(a)]

e) Affected Annuitants

1. It is the obligation of the employer to determine whether an annuitant is an affected annuitant before employing the annuitant. For that purpose, the employer may require the annuitant to disclose and document his or her relevant prior employment and earnings history. Failure of the employer to make this determination correctly and in a timely manner or to include this determination with the notification required under subsection (d) does not excuse the employer from making the contribution required under subsection (g).

2. SURS may assist the employer in determining whether a person is an affected annuitant. SURS will inform the employer if it discovers that the employer's determination is inconsistent with the employment and earnings information in the System's records. [40 ILCS 5/15-139.5(c)]

f) Annuitant and Employer Information Requests. Upon written request, SURS will provide an annuitant or employer with the following information concerning the annuitant:

1. The annuitant's status as an annuitant or participating employee;

2. Whether an employer has determined and reported to SURS that the annuitant is an affected annuitant;

3. The annuitant's highest annual earnings;

4. The compensation paid for the annuitant's post-retirement employment in each academic year as reported by employers;

5. Whether any of the annuitant's post-retirement employment or compensation has been certified to SURS as being paid from federal, corporate, foundation, or trust funds or grants of State funds that identify the principal investigator by name. [40 ILCS 5/15-139.5(d)]

g) Payment of Employer Contributions

1. Certification of Contribution. If an employer employs or reemploys an affected annuitant in an academic year, and no exception applies, the System shall notify the employer and certify the amount of the contribution, which shall be equal to 12 times the amount of the gross monthly retirement annuity payable to the annuitant for the month in which the first paid day of employment in that academic year occurs, after any reduction in that annuity that may be imposed under Section 15-139(b) of the Code.

2. Multiple Employers. If an affected annuitant is employed by more than one employer in an academic year, the employer contribution required under this Section shall be divided among those employers in proportion to their respective portions of the total compensation paid to the affected annuitant for that employment during that academic year.

3. Double Contribution Penalty

A) If SURS determines that an employer, without reasonable justification, has failed to make the determination of affected annuitant status correctly and in a timely manner, or has failed to notify SURS or to correctly document or certify to SURS any of the information required by this Section, and that failure results in a delayed determination by SURS that a contribution is payable under this Section, then the amount of that employer's contribution otherwise determined under this Section shall be doubled.

B) SURS will deem a failure to correctly determine the annuitant's status to be justified if the employer establishes to SURS' satisfaction that the employer, after due diligence, made an erroneous determination that the annuitant was not an affected annuitant due to reasonable reliance on false or misleading information provided by the annuitant or another employer, or an error in the annuitant's official employment or earnings records. [40 ILCS 5/15-139.5(e)]

4. Payment Deadline and Interest. The employer may pay the required contribution without interest at any time within one year after receipt of the certification. If the employer fails to pay within that year, then interest shall be charged at a rate equal to SURS' prescribed rate of interest, compounded annually from the 366th day after receipt of the certification from SURS. Payment must be concluded within 2 years after receipt of the certification by the employer. If the employer fails to make complete payment, including applicable interest, within 2 years, then SURS may, after giving notice to the employer, certify the delinquent amount to the State Comptroller, and the Comptroller shall thereupon deduct the certified delinquent amount from State funds payable to the employer and pay them instead to SURS. [40 ILCS 5/15-139.5(f)] The delinquent amount shall be certified to the Comptroller if the employer does not pay the delinquent amount within 90 days after the date on which SURS sent the notice of the delinquency to the employer.

5. Reparticipating Annuitants. If an employer is required to make a contribution to SURS as a result of employing an affected annuitant and the annuitant later elects to forgo his or her annuity in that same academic year pursuant to Section 15-139(c) of the Code, then the required contribution by the employer shall be waived, and if the contribution has already been paid, it shall be refunded to the employer without interest. [40 ILCS 5/15-139.5(g)]

6. Employment for Critical Operations. Notwithstanding any other provision of this Section to the contrary, if an employer employs an affected annuitant in order to continue critical operations in the event of either an employee's unforeseen illness, accident, or death or a catastrophic incident or disaster, then, for one and only one academic year, the employer is not required to pay the contribution set forth in Section 15-139.5 of the Code for that annuitant. [40 ILCS 5/15-139.5(i)]

7. Appeals. The employer may appeal a certification of the contribution amount pursuant to Section 1600.510.

History

• Source: Amended at 44 Ill. Reg. 17714, effective October 22, 2020

80 Ill. Adm. Code 1600.300 Effective Beneficiary Designations

Purpose. Under Section 15-120 of the Code, "beneficiary" is defined as a person or persons designated by the participant or annuitant in the last written designation on file with the Board or, if no person so designated survives or if no designation is on file, the estate of the participant or annuitant.

a) Definitions

1. "Last written designation", for the purposes of Section 15-120 of the Code and this Section, shall mean the last valid beneficiary designation on file with SURS up to and including the date of death of the participant or annuitant.

2. "On file", for the purposes of Section 15-120 of the Code and this Section, shall mean a beneficiary designation that has been received and date stamped by SURS.

3. "Member", for the purposes of this Section, shall mean a participant or annuitant.

4. "Agent", for the purposes of this Section, shall mean a participant's or annuitant's agent expressly authorized to change beneficiaries pursuant to an effective power of attorney or guardianship.

b) Original Signature and Supporting Documentation. A beneficiary designation shall be deemed valid only if the beneficiary designation received contains a valid original or electronic signature of the member or an agent. An electronic signature is valid under this Section only if executed through an electronic signing process approved by SURS. No electronic signature is valid if a notarized signature is required under the Code or this Part. A copy of the power of attorney or a certified copy of the guardianship order expressly authorizing the change of beneficiaries must accompany a beneficiary designation executed by an agent. No beneficiary designation that designates the attorney-in-fact or a guardian as the beneficiary shall be deemed valid unless the terms of the power of attorney or guardianship order, respectively, authorizes the attorney-in-fact or guardian to make gifts of the member's property to himself or herself.

c) Disputed Designations. If a dispute arises in the interpretation of the last written designation or, in the opinion of SURS, the designation is ambiguous, then the contesting beneficiaries shall seek a court determination as to the designation's interpretation. If no beneficiary brings a court action within a reasonable time, depending on factors including, but not limited to, delays in obtaining paperwork and the extent to which the parties have attempted to resolve the dispute, SURS may seek a court determination.

History

• Source: Amended at 44 Ill. Reg. 17714, effective October 22, 2020

80 Ill. Adm. Code 1600.305 Full-Time Student Survivors Insurance Beneficiaries

a) For purposes of 40 ILCS 5/15-145(c), a full-time student shall be one who is enrolled in a course of study in an accredited educational institution (other than a program of study by correspondence), and who is carrying a full-time workload as determined by the educational institution during the regular school year for the course of study the student is pursuing. A student who is concurrently enrolled at more than one accredited educational institution during the same timeframe shall be deemed to be carrying a "full-time workload" if the combined course load equals a full-time workload as defined by either of the accredited educational institutions attended.

b) Accredited educational institutions include schools, colleges, universities and post-secondary vocational institutions whose courses of study are approved by appropriate state or federal educational accreditation authorities.

c) A regular school year is the 8 to 9 months that includes two semester terms or three quarter terms (or their equivalent), excluding the summer term. Terms that begin after April 15 and end before September 16 are considered summer terms.

d) Survivors benefits shall be payable during the period between regular school years, such as winter breaks or summer terms, if the benefit recipient carried a full-time workload in the preceding semester and is enrolled for a full-time workload in the following semester.

e) To verify that an eligible child is a full-time student, SURS must receive a certification signed by an official of the educational institution confirming that the student is a full-time student as provided in subsection (a).

History

• Source: Amended at 44 Ill. Reg. 17714, effective October 22, 2020

80 Ill. Adm. Code 1600.310 Dependency of Beneficiaries

a) Section 15-141 of the Code grants an additional death benefit to a beneficiary who was dependent upon the participant at the time of death. For the purpose of this Section, a dependent is defined as one who bears toward the participant any one of the following relationships: spouse; son, daughter, or any other child toward whom the participant stands in loco parentis and who is under 18 years of age; or any person who, at the time of the participant's death, was receiving at least one-half support from the participant.

b) If a participant has designated two or more beneficiaries and, at the time of the participant's death, any of the beneficiaries are dependent as defined in subsection (a), the additional death benefit is payable, but only to the dependent beneficiaries.

c) If a death benefit is payable to the estate or a trust of a participant, and one or more of the beneficiaries of the estate or trust are dependent as defined in subsection (a), it will be assumed that the estate or trust is a dependent for the purpose of determining the amount of the benefit payable.

History

• Source: Amended at 32 Ill. Reg. 16515, effective September 25, 2008

80 Ill. Adm. Code 1600.320 Disability Claims Procedure (renumbered)

History

• Source: Section 1600.320 renumbered to Section 1600.550 at 38 Ill. Reg. 16375, effective July 17, 2014

80 Ill. Adm. Code 1600.330 Evidence of Age, Parentage, and Marital Status

a) Whenever evidence of age is required by the System, a birth certificate shall be required unless one cannot be acquired. If no such record can be acquired, the following documents will be accepted:

1. military records;

2. marriage record showing date of birth;

3. evidence of Social Security payments that require attainment of specific age;

4. valid passport, permanent residency card, driver's license card, or other government-issued form of identification; or

5. two or more documents showing birth dates, such as, but not limited to naturalization papers, insurance policies, school records, medical records, or religious records that certify the date of birth, such as baptismal and bris certificates.

b) Whenever evidence of parentage other than a birth certificate is required by the System under Section 1-104.2 or 15-129 of the Code, submission of at least one of the following documents shall be proof of parentage, unless one of the child's biological parents has admitted in writing, before a notary public, that someone other than the member is the parent, or the child has been adopted by a person other than the member:

1. certified copy of a court order finding the member was the natural parent of the child born out of wedlock;

2. certified copy of a settlement agreement which has been approved by a court for the support of a child born out of wedlock;

3. written acknowledgment of paternity (e.g., pleadings filed in any proceeding pending before a court, submittals to a public agency, a document signed by the putative parent) and evidence (e.g., cancelled checks or receipts from the other parent) that the member contributed to the support of the child;

4. certified copy of a court order entered pursuant to a declaratory judgment action establishing either a support obligation or visitation rights;

5. copy of the public record of marriage of the parents of child born out of wedlock who marry and the putative parent acknowledges parentage in writing (e.g., pleadings filed in any proceeding pending before a court, submittals to a public agency, a document signed by the putative parent).

c) Whenever evidence of marriage is required by the System, a copy of the public record of marriage or a copy of the religious record of the marriage shall be submitted. If no such record exists, then two or more of the following will be considered in the determination of marital status:

1. a copy of the jointly filed federal income tax return for the year preceding the death;

2. a notarized statement from the individual who performed the marriage;

3. notarized statements from at least two individuals in attendance of the marriage;

4. written certification from the Social Security Administration of acceptance of the marriage and its date; or

5. other documentation found by the System that supports the legal existence of the marriage.

d) Dissolution or invalidity of marriage shall be proven only upon the submission of a certified copy of the declaration or decree entered by a court of competent jurisdiction.

History

• Source: Added at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.400 Determination of Final Rate of Earnings Period

a) This Section establishes a mechanism for determining the period of employment that is used to calculate a participant's final rate of earnings. This Section is not intended to provide guidance on any other aspect of determining the amount of the final rate of earnings.

b) Final Rate of Earnings for Tier 1 Members

1. For all Tier 1 Members participating in the Traditional or Portable Benefit Packages, SURS will calculate the average annual earnings during the 4 consecutive academic years of service in which the participant's earnings were the highest. The academic year for a participant begins on the first day of the fall term of his or her employer and ends on the day before the first day of the next fall term. For example, if the first day of the employer's fall term is August 15, then the academic year begins on August 15 and ends: on the following August 14 if the next fall term begins August 15; August 12 if the next fall term begins August 13; or the following August 17 if the next fall term begins August 18. If the employer does not have an academic program divided into terms, the academic year begins on September 1 and ends on the following August 31. For all such Tier 1 Members, except those identified in subsection (b)(2), the final rate of earnings will be that amount calculated under this subsection (b)(1).

2. For a Tier 1 Member who is paid on an hourly basis or who receives an annual salary in installments during 12 months of each academic year, SURS will also calculate average annual earnings during the 48 consecutive calendar month period ending with the last day of final termination of employment. The final rate of earnings for a participant identified under this subsection (b)(2) will be the larger of the calculation under this subsection (b)(2) or the calculation under subsection (b)(1).

c) Final Rate of Earnings for Tier 2 Members means:

1. For a Tier 2 Member who is paid on an hourly basis or who receives an annual salary in installments during 12 months of each academic year, the average annual earnings obtained by dividing by 8 the total earnings of the employee during the 96 consecutive months in which the total earnings were the highest within the last 120 months prior to termination.

2. For any other Tier 2 Member, the average annual earnings during the 8 consecutive academic years within the 10 years prior to termination in which the employee's earnings were the highest.

3. For an employee with less than 96 consecutive months or 8 consecutive academic years of service, whichever is necessary, the average earnings during his or her entire period of service. [40 ILCS 5/15-112(b)]

d) A participant paid on an "hourly basis" is a participant who is paid per hour worked.

e) An "annual salary" is a salary paid over 12 months for work to be performed during all 12 months of the academic year. SURS will determine if a participant receives an annual salary by looking at the period for which services were performed, not the period over which salary payments were received, and, in determining annual salary, will not consider payment for summer teaching or any additional contracts for summer school, overloads, or any other extra services. For example, an academic employee who receives a contract to teach 9 or 10 months of the academic year, but who chooses to be paid over 12 months, is not receiving an annual salary. For further example, an academic employee who receives a contract to teach less than 12 months of the academic year plus a contract to teach summer school is not receiving an annual salary even though he or she may perform work for 12 months and be paid over 12 months as a result of teaching summer school.

f) In determining a participant's "earnings", the system allocates earnings to the period in which the corresponding work was performed. Earnings are not determined by when the payment is made. For example, a participant has a 9-month contract to teach from September through May and will be paid $90,000. The participant has the option of receiving payment over 9 months (September through May at $10,000 per month) or over 12 months (September through August at $7,500 per month). The payment method chosen does not change the participant's earnings. If the participant chooses to receive payment over 9 months or over 12 months, the earnings and the period to which they are allocated does not change. For further example, the same participant receives a contract to teach summer school during the following June, July and August and will be paid $15,000. The participant has earnings during each of those 3 months of $5,000. If the participant was receiving the prior 9-month contract payments during the summer, as well as $5,000 each month for the summer contract, the payments to the participant would be $12,500 during June, July and August, but the earnings would be $5,000 in each month. For further example, if the participant received a lump sum payment in October of $15,000 for the summer contract, that payment is not "earnings" in October, but is "earnings" allocated to the summer months.

g) This Section is effective beginning March 1, 2005, with respect to Tier 1 Members. However, a Tier 1 Member who, on March 1, 2005, is within his or her final rate of earnings period prior to retirement may have his or her final earnings calculated under either subsection (b)(1) or (b)(2), even if subsection (b)(2) would not otherwise be applicable to that participant. The provisions of this Section applicable to Tier 2 Members are effective beginning January 1, 2011.

History

• Source: Amended at 38 Ill. Reg. 16375, effective July 17, 2014

80 Ill. Adm. Code 1600.410 Twenty Percent Limitation on Final Rate of Earnings Increases

a) Introduction. Public Act 90-65 added to Section 15-112 of the Code a limitation on increases in earnings for the period of time covered under the calculation of final rate of earnings. This Section provides guidance and interpretation to the staff of SURS in implementing Section 15-112. The 20% limitation on increases in earnings shall consider basic compensation only to the extent actually paid in exchange for services rendered.

b) All annual increases in earnings, as defined at Section 15-111 of the Code, by a participant during the period used in determining the final rate of earnings of 20% or less shall be deemed to be includable in the calculation of the final rate of earnings. No further inquiry shall be necessary by the staff of SURS.

c) Except as otherwise provided in subsection (d), in the event that there is an annual increase in earnings by a participant during the period used in determining the final rate of earnings of greater than 20%, any increase in excess of 20% shall be disregarded in calculating the final rate of earnings.

d) Regardless of subsection (c), the following shall not be subject to the 20% increase limitation:

1. a change in the percentage of time worked by the participant (except that time worked in excess of 100% per employer shall be subject to the limitation);

2. a change from a nine-month position to a 12-month position;

3. overloads or extensions, so long as the overload for which payment is received took place during the period used for calculating the final rate of earnings; and

4. supplemental contracts, so long as verifiable additional work is performed pursuant to the supplemental contract, such as the teaching of a course additional to the customary load, or performance of duties additional to, and not in replacement of, the participant's regular duties.

e) Subsection (d)(1) shall not apply to a member who is a participant on or after September 1, 2024. [40 ILCS 5/15-134.1(b)]

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.420 Making Preliminary Estimated Payments

a) SURS shall make a Preliminary Estimated Payment (PEP) to members who qualify for a retirement annuity and file an application for that annuity. The purpose of a PEP is to provide members with some of their retirement income while their retirement claim is still being processed.

b) The amount of the PEP shall be based on the highest applicable Rule described in Section 15-136 of the Code.

c) The PEP calculation will not consider unverified current year earnings, nor unverified current year vacation payments, nor unverified additional credit for unused and unpaid sick leave, nor unverified reciprocal credits, nor early retirement option payments, nor additional service credit purchased after the application for retirement annuity has been received by SURS. Applicable taxes and insurance premiums will be deducted from the PEP.

d) Date of Payment

1. If the application for retirement annuity is received at least 90 days before the member's effective retirement date, the PEP will be paid on the first working day of the month following the effective date of the annuity. It will be paid each month until the retirement claim is finalized.

2. If the application for retirement annuity, or the decision of the member under subsection (d)(3), is received less than 90 days before the member's effective retirement date, the PEP will be paid as soon as practicable. It will be paid each month until the retirement claim is finalized.

3. If the member is entitled to the election under Section 15-135.1 of the Code, the member must first make or decline that election before a PEP can be calculated.

e) Amount of Payment. SURS shall pay a PEP amount pursuant to the following calculations applying the Rules in Section 15-136(a) of the Code:

1. If the member has reciprocal service credit, SURS will apply Rule 2.

A) If in a reciprocal case Rule 1 is estimated to be highest, SURS will pay 100% of the Rule 2 amount.

B) If in a reciprocal case Rule 2 is estimated to be highest, SURS will pay 80% of the Rule 2 amount.

2. If the member has no reciprocal credits, SURS will pay 90% of the estimated Rule 1 amount or 90% of the estimated Rule 2 amount, whichever is higher.

3. If the member makes an election under Section 15-135.1 of the Code, SURS will pay 100% of the estimated Rule 2 amount.

4. If the member qualifies under Section 15-136.3 of the Code, SURS will pay the higher of $75 per month or 100% of the estimated Rule 2 amount.

5. If the member qualifies for a retirement annuity under Rule 4, SURS will pay 90% of the Rule 4 amount.

6. If the member applies for a retirement annuity under Rule 4, but the years of service as a police officer or firefighter have not yet been verified by staff, SURS will pay 90% of the Rule 2 amount.

f) Once the retirement claim has been finalized, the member will receive a check for the difference between the PEP payments and the actual monthly benefit amount that is due to the member, retroactive to the effective date of the member's annuity, without interest. If the PEP payments result in an overpayment, SURS will recover the overpaid benefit from future benefits, without interest.

g) Pursuant to Sections 15-163 and 15-168 of the Code, if a participant or annuitant fails to provide any information that is necessary for the calculation, payment, or finalization of the retirement claim within 90 calendar days after the date of the System's request, then the System may immediately cease processing the benefit and suspend the payment of any PEPs until the requested information is provided as provided under Section 1600.160 of this Part.

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.430 Excess Benefit Arrangement

a) The Excess Benefit Arrangement of the State Universities Retirement System of Illinois (Arrangement) is adopted effective January 1, 1995. The Arrangement is established and maintained by SURS solely for the purpose of providing benefits for certain of its participants who participate in SURS and whose benefits are limited by section 415 of the Internal Revenue Code (IRC) (26 U.S.C. 415).

b) The Arrangement is adopted pursuant to the authority granted to SURS by Section 1-116 of the Code.

c) This Arrangement is a portion of a governmental plan (as that term is defined in IRC section 414(d) and section 3(32) of the Employee Retirement Income Security Act of 1974, as amended (29 U.S.C. 1002)) and is administered as a qualified governmental excess benefit arrangement pursuant to the provisions of IRC section 415(m).

d) Accordingly, SURS adopts the Arrangement pursuant to the terms and provisions set forth in this subsection (d):

1. Definitions. Wherever used in this Section, the following terms shall have the meanings set forth in this subsection (d)(1):

A) "Retirement Date" means the beginning date of the annuity payment period set forth in Section 15-135 of the Code.

B) "Arrangement" means the Excess Benefit Arrangement of the State Universities Retirement System of Illinois.

C) "Qualified Plan" means the SURS plan at Sections 15-103.1 and 15-103.2 of the Code.

D) "Qualified Plan Retirement Benefit" means the aggregate benefit payable to a participant pursuant to the Qualified Plan.

E) "Qualified Plan Surviving Spouse Benefit" means the aggregate benefit payable to the Surviving Spouse of a participant pursuant to the Qualified Plan.

F) "Supplemental Retirement Benefit" means the benefit payable to a participant pursuant to the Arrangement by reason of his or her termination of employment with any employer for any reason other than death.

G) "Surviving Spouse" means a person as defined at Section 15-127 of the Code.

H) "Supplemental Surviving Spouse Benefit" means the benefit payable to a Surviving Spouse pursuant to the Arrangement.

I) "Limitation Year" means that period for which all calculations and determinations of benefits and contribution limits will be made under IRC section 415 and the Arrangement. The Limitation Year shall be the calendar year.

2. Eligibility. A participant who is eligible to receive a Qualified Plan Retirement Benefit, the amount of which is reduced by reason of the application to the Qualified Plan of the limitations on benefits imposed by IRC section 415, as in effect on the date of commencement of the Qualified Plan Retirement Benefit, or as in effect at any time thereafter, shall be eligible to receive a Supplemental Retirement Benefit. The Surviving Spouse of such participant shall be eligible to receive a Supplemental Surviving Spouse Benefit. Participation in the Arrangement by a participant or Surviving Spouse shall be mandatory and automatic upon eligibility to receive a Supplemental Retirement Benefit or Supplemental Surviving Spouse Benefit, as applicable. Participation shall end for any portion of a Limitation Year in which the Qualified Plan Retirement Benefit or the Qualified Plan Surviving Spouse Benefit is not limited by application of IRC section 415 or if all benefit obligations under the Arrangement to the participant or Surviving Spouse have been satisfied.

3. Supplemental Retirement Benefit

A) Amount. The amount described in subsections (d)(3)(A)(i) and (ii) shall be computed annually, based upon a Limitation Year. The Supplemental Retirement Benefit payable to an eligible participant shall be a monthly amount equal to the difference between subsections (d)(3)(A)(i) and (ii).

i) The monthly amount of the Qualified Plan Retirement Benefit to which the participant would have been entitled under the Qualified Plan if the benefit were computed without giving effect to the limitations on benefits imposed by IRC section 415; LESS

ii) The monthly amount of the Qualified Plan Retirement Benefit actually payable to the participant under the Qualified Plan.

B) Form of Benefit. The Supplemental Retirement Benefit payable to a participant shall be paid in the same form under which the Qualified Plan Retirement Benefit is payable to the participant. The participant's election under the Qualified Retirement Benefit as to form (with the valid consent of the Surviving Spouse when required under the Qualified Plan) shall also be applicable to the payment of a Supplemental Retirement Benefit.

C) Commencement of Benefit. Payment of the Supplemental Retirement Benefit to a participant shall commence on the same date as payment of the Qualified Plan Retirement Benefit to the participant commences or as soon as administratively practicable thereafter. Any election under the Qualified Plan made by the participant with respect to the commencement of payment of a Qualified Plan Retirement Benefit shall also be applicable with respect to the commencement of payment of the Supplemental Retirement Benefit.

4. Supplemental Surviving Spouse Benefit

A) Amount. If a participant dies under circumstances in which a Qualified Plan Surviving Spouse Benefit is payable to his or her Surviving Spouse, and the Qualified Plan Surviving Spouse Benefit is limited by application of IRC section 415, then a Supplemental Surviving Spouse Benefit is payable to the Surviving Spouse as provided in this subsection (d)(4)(A). The Supplemental Surviving Spouse Benefit payable to a Surviving Spouse shall be a monthly amount equal to the difference between subsections (d)(4)(A)(i) and (ii).

i) The monthly amount of the Qualified Plan Surviving Spouse Benefit to which the surviving spouse would have been entitled under the Qualified Plan if that benefit were computed without giving effect to the limitations on benefits imposed by application of IRC section 415; LESS

ii) The monthly amount of the Qualified Plan Surviving Spouse Benefit actually payable to the Surviving Spouse under the Qualified Plan.

B) Form and Commencement of Benefit. A Supplemental Surviving Spouse Benefit shall commence and be payable in the same manner as the Qualified Plan Surviving Spouse Benefit is paid.

5. Administration of the Arrangement

A) Administration by SURS. SURS shall be responsible for the general operation and administration of the Arrangement and for carrying out the provisions of the Arrangement. SURS shall have the authority to interpret the Arrangement and to issue such policies with respect to the Arrangement as it deems appropriate. SURS shall have the duty and responsibility to maintain records and to make calculations and determinations of benefits under the Arrangement. SURS regulations, interpretations, determinations, and calculations shall be final and binding upon all persons and parties concerned.

B) General Powers of Administration. All provisions set forth in the Qualified Plan with respect to the administrative powers and duties of SURS, expenses of administration, and procedures for filing claims shall also be applicable with respect to the Arrangement, including, but not limited to, the provisions of Sections 15-185, 15-186.1, 15-187, 15-190, and 15-191 of the Code. SURS shall be entitled to rely conclusively upon all tables, valuations, certificates, opinions, and reports furnished by any actuary, accountant, controller, counsel, or other person employed or engaged by SURS with respect to the Arrangement.

6. Amendment or Termination

A) Amendment or Termination. SURS reserves the right to amend or terminate the Arrangement when, in the sole opinion of SURS, amendment or termination is advisable. Any amendment or termination shall be made pursuant to a resolution of the Board and shall be effective as of the date set forth in the resolution.

B) Effect of Amendment or Termination. No amendment or termination of the Arrangement shall directly or indirectly deprive any current or former participant or Surviving Spouse of all or any portion of any Supplemental Retirement Benefit or Supplemental Surviving Spouse Benefit payment that has commenced prior to the effective date of the amendment or termination or that would be payable if the participant terminated employment for any reason, including death, on that effective date.

7. General Provisions

A) Funding. A trust fund is hereby established as a valid trust under the law of the State of Illinois, as a grantor trust of which the State of Illinois is the grantor, within the meaning of subpart E, part I, subchapter J, chapter 1, subtitle A of the IRC, and will be construed accordingly. This trust fund is separate and apart from the Qualified Plan trust fund to hold contributions of the State to pay benefits under the Arrangement. No assets of the Qualified Plan trust fund shall be transferred to the Arrangement or otherwise used to pay benefits under the Arrangement, and the trust funds must be accounted for separately. All assets held in the Arrangement's trust fund, including all State contributions, all property and rights acquired or purchased with these amounts and all income attributable to such amounts, will be, and remain, the general, unpledged, unrestricted assets of the Arrangement's trust fund, and will be subject to the claims of the State's general creditors under federal and State law in the event of insolvency, to the extent of the State's undistributed contributions, if any. Nothing herein will be construed to create an irrevocable trust of any kind. Income accruing to the trust fund under the Arrangement constitutes income derived from the exercise of an essential governmental function upon which the trust fund is exempt from tax under IRC section 115, as well as IRC section 415(m)(1). The Arrangement at all times shall be entirely unfunded and no provision shall at any time be made with respect to segregating any assets of SURS, of the State of Illinois, or of any employer for payment of any benefits under the Arrangement. No participant, Surviving Spouse, or any other person shall have any preferred claim on, or any beneficial interest in, any assets of the Arrangement's trust fund, SURS, the State, or any employer by reason of the unsecured right to receive a benefit under the Arrangement. SURS will determine an amount necessary to pay the Supplemental Retirement Benefits and Supplemental Surviving Spouse Benefits for each Limitation Year. The State will make monthly contributions to the Arrangement's trust fund based upon SURS' determination. Under no circumstances will the State's contributions to the Arrangement's trust fund be credited to or commingled with contributions paid into and accumulated in the Qualified Plan. No election is provided at any time to a participant or Surviving Spouse, directly or indirectly, to defer compensation or otherwise make contributions under the Arrangement.

B) General Conditions. Except as otherwise expressly provided in this Section, all terms and conditions of the Qualified Plan applicable to a Qualified Plan Retirement Benefit or a Qualified Plan Surviving Spouse Benefit shall also be applicable to a Supplemental Retirement Benefit or a Supplemental Surviving Spouse Benefit payable under the Arrangement. Any Qualified Plan Retirement Benefit or Qualified Plan Surviving Spouse Benefit, or any other benefit payable under the Qualified Plan, shall be paid solely in accordance with the terms and conditions of the Qualified Plan and nothing in the Arrangement shall operate or be construed in any way to modify, amend or affect the terms and provisions of the Qualified Plan.

C) No Guaranty of Benefits. Nothing contained in the Arrangement shall constitute a guaranty by SURS, the State, any employer, or any other entity or person that the assets of any such entity will be sufficient to pay any benefit under the Arrangement.

D) No Enlargement of Participant Rights. No participant or Surviving Spouse shall have any right to a benefit under the Arrangement except in accordance with the terms of the Arrangement. Establishment of the Arrangement shall not be construed to give any participant the right to be retained in the service of any employer.

E) Applicable Law. The Arrangement shall be construed and administered under the laws of the State of Illinois.

History

• Source: Amended at 47 Ill. Reg. 14005, effective September 14, 2023

80 Ill. Adm. Code 1600.431 Indirect Payments to Minors and Legally Disabled Persons

Purpose. Sections 15-145(c), 15-190 and 15-191 of the Code allow SURS to make indirect payments to minors and persons under legal disability. This Section provides clarification of terms used in the statutory provisions and sets forth the procedure for handling these indirect payments.

a) Person Under Legal Disability. For purposes of Section 15-190 of the Illinois Pension Code:

1. A "person under legal disability" means a person age 18 or over who meets the definition of a "disabled person" under Section 11a-2 of the Illinois Probate Act of 1975 [755 ILCS 5/11a-2]. Any person acting or applying for benefits on behalf of the person under legal disability must provide SURS with a certified copy of a valid court order finding legal disability or an evaluation certifying legal disability signed by a licensed physician.

2. "Guardian" means a person who has been appointed the guardian over the property of the person under legal disability, or the guardian's successor. Any person acting in the capacity of guardian must provide SURS with a certified copy of the letters of appointment.

b) Minor Recipients. For purposes of Section 15-191 of the Illinois Pension Code:

1. "Minor" means an unmarried person under age 18.

2. "Guardian" means a person who has been appointed the guardian over the person or property of the minor, or the guardian's successor, by a court. Any person acting in the capacity of guardian must provide SURS with a certified copy of the letters of appointment.

History

• Source: Added at 32 Ill. Reg. 16515, effective September 25, 2008

80 Ill. Adm. Code 1600.432 Indirect Payments to Child Survivors Through the Surviving Spouse

Purpose. Section 15-145(c) of the Code authorizes SURS to pay the survivors insurance benefits of a child survivor to the surviving spouse if the child is "in care of" the surviving spouse. This Section defines the phrase "in care of". All references to "child" or "surviving child" in this Section assume that the child has fulfilled the applicable requirements under Section 15-145(c) of the Code and this Part to become eligible for survivor insurance benefits.

a) Surviving Child under Age 18

1. A surviving child under age 18 is "in care of" the surviving spouse if the child has been living with the surviving spouse for at least 30 days.

2. Except as provided in subsection (a)(3), a surviving child under age 18 who is living apart from the surviving spouse is "in care of" the surviving spouse if:

A) The child lived apart from the surviving spouse for not more than 4 months, or the current absence is not expected to last over 4 months;

B) The child is living apart from the surviving spouse because the child is attending school or because of the spouse's employment, but the surviving spouse makes contributions to the child's support that enable the spouse to claim the child as a dependent for federal income tax purposes or that provide at least 50% of the child's support; or

C) The child is living apart because of the child's physical or mental disability or because of a physical disability of the surviving spouse.

3. Notwithstanding subsection (a)(2), a surviving child who is living apart from the surviving spouse is not "in care of" a surviving spouse if:

A) The child is living with his or her other parent;

B) The child is removed from the surviving spouse's custody and control by court order;

C) The surviving spouse has given the right to have custody and control of the child to someone else; or

D) The surviving spouse has been adjudicated by a court to be under a legal disability.

b) Surviving Child Age 18 or Older

1. A surviving child between ages 18 and 22 who is a full-time student is "in care of" the surviving spouse if the surviving spouse makes contributions to the child's support that enable the spouse to claim the child as a dependent for federal income tax purposes or that provide at least 50% of the child's support.

2. A surviving child of age 18 or older who was dependent upon the participant or annuitant by reason of a physical or mental disability that began prior to the date the child attained age 18 (age 22 if a full-time student) is "in care of" the surviving spouse if:

A) The child has been living with the surviving spouse for at least 30 days; however, the child is not "in care of" the surviving spouse if:

i) The child is 18 years old or older with a mental disability, but the surviving spouse does not actively supervise the child's activities and does not make important decisions about the child's needs; or

ii) The child is 18 years old or older with a physical disability, but it is not necessary for the surviving spouse to perform personal services for the child. Personal services are services such as dressing, feeding and managing money that the child cannot do alone because of a disability.

B) The surviving spouse makes contributions to the child's support that enable the spouse to claim the child as a dependent for federal income tax purposes or that provide at least 50% of the child's support.

History

• Source: Added at 32 Ill. Reg. 16515, effective September 25, 2008

80 Ill. Adm. Code 1600.440 Voluntary Deductions from Annuity Payments

Purpose. This Section implements procedures for voluntary deductions from annuities and disability benefits as authorized under Section 4 of the State Salary and Annuity Withholding Act (SSAWA) [5 ILCS 365/4] and Section 4.5 of the Voluntary Payroll Deductions Act of 1983 (VPDA) [5 ILCS 340/4.5]. The SSAWA allows a SURS annuitant receiving an annuity or disability benefit to authorize the withholding of a portion of his or her annuity or disability benefit for purposes enumerated in Section 4(1) through (13) of the SSAWA. In furtherance of Section 4(12) of the SSAWA, the VPDA allows a SURS annuitant receiving an annuity or disability benefit under Article 15 of the Code to authorize the withholding of a portion of his or her annuity or disability benefit for contribution to a maximum of four organizations described in Section 3(b) and (c) of the VPDA. Upon written request of the annuitant, SURS may deduct from the annuity or disability benefit of the annuitant the amount specified in the voluntary deduction authorization to the entity designated by the annuitant.

a) Written Authorizations. The written request for voluntary annuity or disability benefit deductions shall be made by filling out and signing a SURS-prepared voluntary deduction authorization form, by written correspondence from the annuitant, or by a voluntary deduction authorization form prepared by an organization or entity authorized to solicit annuitants under the SSAWA and VPDA.

b) Form of Authorization. The voluntary deduction authorization form or correspondence shall contain the following to be an effective authorization for voluntary deductions:

1. one or more of the following purposes authorized under the SSAWA, including the name and address of the organization or entity to receive the deduction:

A) for purchase of United States Savings Bonds;

B) subject to restrictions under the SSAWA, for payment of premiums on: life or accident and health insurance, as defined in Section 4 of the Illinois Insurance Code [215 ILCS 5/4]; policies of automobile insurance as defined in Section 143.13 of the Illinois Insurance Code; and personal multiperil coverages commonly known as homeowner's insurance;

C) for payment to any labor organization designated by the employee;

D) for payment of dues to any association the membership of which consists of State employees and former State employees;

E) for deposit in any credit union in which State employees are within the field of membership as a result of their employment;

F) for payment to or for the benefit of an institution of higher education by an employee of that institution;

G) for payment of parking fees at the underground facility located south of the William G. Stratton State Office Building in Springfield, the parking ramp located at 401 South College Street, west of the William G. Stratton State Office Building in Springfield, or the parking facilities located on the Urbana-Champaign campus of the University of Illinois;

H) for voluntary payment to the State of Illinois of amounts then due and payable to the State;

I) for investment purchases made as a participant in College Savings Programs established pursuant to Section 30-15.8a of the School Code [105 ILCS 5/30-15.8a];

J) for voluntary payment to the Illinois Department of Revenue of amounts due or to become due under the Illinois Income Tax Act [35 ILCS 5];

K) for payment of optional contributions to a retirement system subject to the provisions of the Code;

L) for contributions to organizations found qualified by the State Comptroller under the requirements set forth in the VPDA (this purpose must be accompanied by a deduction code issued by the State Comptroller);

M) for payment of fringe benefit contributions to employee benefit trust funds; (Section 4 of the SSAWA)

2. the amount to be withheld from the annuity or disability benefit of the annuitant for each designated entity;

3. the expiration date of the authorization, if applicable;

4. the annuitant's current mailing address; and

5. the annuitant's signature.

c) Effective Date of Authorization. The voluntary deduction authorization shall be effective for annuities and disability benefits according to the following schedule. An authorization is deemed submitted when it is received and date stamped by SURS.

1. If a voluntary deduction authorization is submitted on or before the SURS monthly benefit processing date, the authorization shall be effective from the first day of the next calendar month for annuities and from the last day of the same calendar month for disability benefits.

2. If a voluntary deduction authorization is submitted after the scheduled SURS monthly benefit processing date, the authorization shall be effective from the first day of the calendar month following the next calendar month for annuities and from the last day of the next calendar month for disability benefits.

d) Deduction Increases. The annuitant may authorize in writing increases in amounts withheld by voluntary deduction without filing a new deduction authorization form (e.g., on account of increases in union dues). However, prior to an increase in withholding taking effect, written notice shall be given to SURS and to each affected annuitant by the entity to receive the increase.

e) Termination and Reinstatement. Effective voluntary deduction authorizations may be terminated at any time by the annuitant by written request. Absent a written request for termination, an effective voluntary deduction authorization is automatically terminated upon reaching the date of expiration as indicated on the written request for voluntary deductions. If no expiration date is indicated, then the voluntary deduction authorization continues to be effective for each recurring annuity or disability benefit pay period until the annuity or disability benefit ceases. A reinstatement of a deduction subsequent to its termination as a result of a request for termination, expiration, or cessation of annuity or benefit must be authorized under a new voluntary deduction authorization as prescribed under subsection (b). However, a temporary suspension (such as a suspension due to the lack of a valid address verification) of an annuity or disability benefit, followed by its recommencement, does not require a new voluntary deduction authorization.

f) Deduction Limits

1. In addition to the requirements under the SSAWA and VPDA, any organization or entity for which a deduction authorization is submitted must have received deduction authorizations from at least 50 SURS annuitants before the monthly benefit processing date of the previous month.

2. Once SURS has received effective deduction authorizations for withholding on behalf of four organizations or entities that may receive deductions for any of the purposes stated under subsections (b)(1)(A) through (b)(1)(K) and (b)(1)(M) of this Section, SURS shall accept no further deduction authorization forms for those organizations or entities from that annuitant, unless a previously effective deduction authorization is terminated by the annuitant (or by the expiration of the stated term of the prior authorization).

3. Once SURS has received effective deduction authorizations for withholding on behalf of four qualified organizations described under Section 3(b) and (c) of the VPDA for the purpose stated under subsection (b)(1)(L) of this Section, SURS shall accept no further deduction authorization forms for those organizations from that annuitant, unless a previously effective deduction authorization is terminated by the annuitant (or by the expiration of the stated term of the prior authorization).

History

• Source: Amended at 32 Ill. Reg. 16515, effective September 25, 2008

80 Ill. Adm. Code 1600.450 Overpayment Recovery

Purpose. Under Section 15-186.1 of the Code, SURS may recover amounts overpaid from the recipient and/or the recipient’s estate (collectively, "recipient"), plus interest at the effective rate from the date of overpayment to the date of recovery, either directly or by deducting that amount from the remaining benefits payable to the recipient at a rate determined prudent and in the best interests of the System. This Section establishes procedures by which SURS' authority to collect overpayments under Section 15-186.1 is to be exercised.

a) Demand and Statements. SURS will provide the overpaid recipient with a written demand upon discovery of the overpayment. The written demand shall specify the total amount of the overpayment, the month or months in which the overpayment occurred, a description of the nature of the overpayment, the interest rate to be assessed, and the option for installment payments or deduction from future benefits. The written demand shall also notify the recipient of the right to appeal and receive a hearing concerning the determination of overpayment status in accordance with Section 1600.500. SURS will send the recipient monthly statements indicating the overpayment balance and any installment balances and shall continue sending monthly statements until the total amount is fully repaid or SURS acts under subsection (c).

b) Interest. Interest will compound monthly at 1/12 the current effective rate of interest per month starting 35 days after the date of issuance of the written demand until collection is completed. Notwithstanding the foregoing, interest accrual shall be suspended during the pendency of a request for review of the overpayment under Section 1600.500. However, if the recipient does not prevail under administrative review, interest shall apply retroactively to the date 35 days after the date of issuance of the written demand until collection is completed.

c) Actions for Recovery. If the recipient has not begun repayment or has not filed an appeal within 35 days after the written demand, or a final non-appealable decision in favor of SURS issued subsequent to an appeal, SURS may take any, or any combination, of the following actions, as SURS deems appropriate and prudent, to collect the overpayment:

1. Deduct from benefits, refunds and credits payable to the recipient. Under Section 15-185 of the Code, the Board may deduct from any benefit payable to participants, annuitants, survivors and beneficiaries amounts owed to SURS due to the participant's service. SURS may recover overpayments from any benefit payable due to the participant's service, including annuity benefits, survivor benefits, separation refunds, disability benefits and death benefits. If anyone receiving a benefit due to the participant's service is overpaid, the overpayment may be recovered from any current or future benefits paid to the same person or any other person receiving benefits due to the participant's service;

2. Engage a private collections agent;

3. Initiate proceedings to obtain a civil judgment by attorneys retained by SURS or through the Attorney General;

4. Refer the overpayment to the Debt Collection Bureau of the Illinois Department of Revenue and/or the Illinois Debt Recovery Offset Portal (IDROP) of the Illinois State Comptroller;

5. Coordinate collection efforts with the State of Illinois Treasurer's Office; and/or

6. By and through any other means permissible by law.

d) Maintenance of Records. Records of overpayments shall be maintained for at least 36 months, except as provided under subsection (e), and shall contain the following:

1. A description of the cause for the overpayment;

2. Correspondence concerning attempts to collect the overpayment; and

3. Evidence of notice given for a hearing and review of the overpayment and any final outcome of the hearing and review.

e) Uncollectible Accounts Receivable. If SURS is unable to collect all or part of an overpayment after 36 months, SURS' staff may request the Board, or its duly authorized representative, to certify the overpayment balance as uncollectible and no longer to be maintained as an account receivable in SURS' records. The request shall include the documentation required under subsection (d) and confirmation that the certification would be in the best economic interest of SURS. In determining the best economic interest of SURS, staff shall determine whether the total collection cost expended or anticipated will exceed the recoupment reasonably expected. However, the following exceptions may apply:

1. SURS' staff may deem an overpayment balance of $100 or less to be uncollectible 6 months after the date of the demand without certification by the Board;

2. SURS' staff may request certification for an overpayment balance of more than $100 but less than $5,000 after collection efforts have elapsed for at least 12 months.

f) Reopening Uncollectible Accounts Receivable. Overpayments certified by the Board as uncollectible may be reopened for collection if the SURS' staff determines that it is in the best economic interest of SURS to do so.

g) Past Overpayments. Overpayments incurred prior to January 1, 2008 may be certified as uncollectible under subsection (e) notwithstanding the lack of any of the documentation required under subsection (d).

h) De Minimis Exception. Any revision or correction of a benefit that results in a difference of $1 or less per month for monthly payments or $10 or less for lump-sum payments shall be considered de minimis and shall not be treated as an overpayment that is to be collected from the recipient under this Section.

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.455 Benefit Forfeitures Relating to Felony Convictions

Purpose. This Section implements Section 15-187 of the Code concerning the forfeiture of benefits, which provides that none of the benefits provided under Article 15 of the Code shall be paid to any person who is convicted of any felony relating to or arising out of or in connection with a person's service as an employee from which the benefit derives. [40 ILCS 5/15-187]

a) Date of Conviction. The benefits subject to forfeiture under this Section shall be limited to benefits that are payable on or after the date on which a sentence is imposed by a court of competent jurisdiction following a judgment or conviction of a felony. The System shall not suspend or impair any vested right under the Code prior to the date of such sentencing. The forfeiture under this Section shall be applied beginning on the date of the sentencing even if the criminal conviction is appealed to an appellate court. If the conviction is overturned on appeal by a final, non-appealable judgment, then the System shall pay the member any previously forfeited benefits without interest. If the member received a refund of contributions under subsection (b), only the forfeited benefits that were payable until the date of such refund shall be paid, without interest.

b) Refund Rights. Notwithstanding the forfeiture of any benefit under this Section, a participant or annuitant shall be entitled to receive a refund of any employee contributions made under Section 15-157 of the Code, but shall not be entitled to any employer contributions or any interest. In the case of a member of the Retirement Savings Plan, the member shall be entitled to receive a refund of employee contributions (adjusted for any gains and losses up to the date of the refund), but the refund shall not include any employer contributions (including any gains or losses earned on those contributions).

c) Employment with Different Employers. The conviction of a felony relating to or arising out of or connection with a person's service earned under a particular employer shall not be applied to service earned under a different employer that bears no relation to the felony.

d) Multiple Positions, Appointments, or Contracts with the Same Employer. The conviction of a felony relating to or arising out of or in connection with service earned under a particular employer shall cause the forfeiture of all benefits derived from all service earned under that employer, even if the felony did not relate to, did not arise out of, or was not in connection with other periods of service earned under that employer.

History

• Source: Added at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.460 Accelerated Pension Benefit Payment in Lieu of Any Pension Benefit

a) Purpose. This Section implements Section 15-185.5 of the Code providing for an accelerated pension benefit payment in lieu of any pension benefit, to be referred to in this Section as the "Vested Inactive Buyout" or "VIB".

b) Definitions. For purposes of Section 15-185.5(a) of the Code, the following terms shall have the meanings specified in this subsection (b).

1. Eligible Person. An eligible "person" shall mean a person who satisfies the following conditions.

A) The person has terminated all service, meaning the person has terminated employee status under Section 15-107 of the Code of the code as of the date SURS receives the VIB application and has continuously remained in non-employee status as of the date SURS receives the election to accept the VIB offer.

B) The person has accrued sufficient service credit to be eligible to receive a retirement annuity under Article 15 of the Code, meaning the person must meet the applicable retirement eligibility requirements under Section 15-135 of the Code solely with respect to service credit as of the date SURS receives the VIB application. For this purpose, service credit shall include only service credited under Article 15 of the Code. No service credited at a reciprocal retirement system or pension fund shall count under this subsection (b)(1)(B).

C) The person has not received any retirement annuity under Article 15 of the Code, meaning the person must not have received any retirement annuity or Preliminary Estimated Payments as of the date SURS receives the VIB application.

D) The person has not made the election under Section 15-185.6 of the Code.

E) The person is not a participant in the Self-Managed Plan under Section 15-158.2 of the Code.

2. Implementation Date. "Implementation date" means the earliest date upon which the Board authorizes eligible persons to begin irrevocably electing the accelerated pension benefit payment option under Section 15-185.5 of the Code. The Board shall endeavor to make such participation available as soon as possible after June 4, 2018 and shall establish an implementation date by Board resolution. [40 ILCS 5/15-185.5(a)]

3. Pension Benefit. The "pension benefit" upon which the VIB shall be calculated shall consist of one or more of the following benefits, as applicable:

A) Traditional Benefit Package

i) Tier 1 Members. Retirement benefits under the applicable provisions of Section 15-136 of the Code and, if a permanent survivor (as defined under subsection (b)(4)) exists, survivors insurance benefits under Section 15-145 of the Code, subject to the minimum total survivors annuity payable under Section 15-146(b) of the Code.

ii) Tier 2 Members. Retirement benefits under the applicable provisions of Section 15-136 of the Code and, if a permanent survivor (as defined under subsection (b)(4) of this Section) exists, survivors insurance benefits under Section 15-145.1 of the Code.

B) Portable Benefit Package

i) Tier 1 Members. Retirement benefits based on the actuarial equivalent of a single-life annuity described under Section 15-136.4(b) of the Code with automatic annual increases under Section 15-136.4(l) of the Code.

ii) Tier 2 Members. Retirement benefits based on the actuarial equivalent of a single-life annuity described under Section 15-136.4(b) of the Code with automatic annual increases under Section 15-136(d-5) of the Code.

C) Refund of Survivors Contributions. If the eligible person has no permanent survivor as of the VIB application date, then the refund that would have been payable as of the assumed retirement date under Section 15-154(c) of the Code.

D) Refund of Additional Contributions. The refund that would be payable as of the assumed retirement date under Section 15-154(d) of the Code, if applicable.

E) Refund of Excess Service Credit. The refund that would be payable as of the assumed retirement date under Section 15-154(e) of the Code for excess or waived service credit.

F) Refund of Police and Firefighter Contributions. The refund that would be payable as of the assumed retirement date under Section 15-154(f) of the Code, if the eligible person elects to waive the application of Rule 4 of Section 15-136 of the Code.

4. Permanent Survivor. For purposes of this Section, the term "permanent survivor" shall mean a person who:

A) is living as of the earlier of the assumed retirement date or the date on which the VIB offer is issued; and

B) is the youngest (i.e., has the longest actuarially assumed life expectancy) from among the following:

i) a "surviving spouse" under Section 15-127 of the Code (without regard to any one-year minimum marriage requirement) or an "eligible spouse" under Section 15-136.4(a) of the Code (without regard to any one-year minimum marriage requirement); or

ii) a "child" under Section 15-129 of the Code who is unmarried and dependent upon the person by reason of a physical or mental disability that began prior to the date the child attained age 18.

● If the child is age 18 or older as of the application date, the child will be deemed to be disabled on the basis of a written certificate from one or more licensed and practicing physicians stating that the child is unable to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment that can be expected to result in death or that has lasted or can be expected to last for a continuous period of not less than 12 months. The physician's determination of disability shall be determined in accordance with 20 CFR 416.905 through 416.911.

● If the child is under age 18 as of the application date, the child will be deemed to be disabled on the basis of a written certificate from one or more licensed and practicing physicians stating that the child has a medically determinable physical or mental impairment or combination of impairments that causes marked and severe functional limitations, and that can be expected to cause death or that has lasted or can be expected to last for a continuous period of not less than 12 months. The physician's determination of disability shall be determined in accordance with 20 CFR 416.905 through 416.911.

c) VIB Application. Beginning on the implementation date, an eligible person may apply for a VIB calculation in writing in the form prescribed by SURS, subject to the following conditions:

1. Application Deadline. SURS must receive the application by the date by which an irrevocable election must be made under Section 15-185.5(b) of the Code. However, in no event shall SURS accept an application less than 12 months prior to the date on which the eligible person must begin receiving Required Minimum Distributions under Section 1-116.1 of the Code and IRC section 401(a)(9).

2. Termination of Application

A) A pending application shall terminate prior to SURS' receipt of the election to receive the VIB on the earliest of the eligible person's:

i) revocation of the application;

ii) re-employment;

iii) death;

iv) required beginning date for Required Minimum Distributions under Section 1-116.1 of the Code; or

v) election to receive an Automatic Annual Increase Buyout (AAI Buyout) under Section 15-185.6 of the Code and Section 1600.461 of this Part.

B) No election to accept a VIB offer shall be effective upon or after the termination of a pending application.

C) The eligible person may not withdraw or revoke a pending application as of the date SURS receives the completed VIB election form.

3. Other Benefits. The eligible person may not apply for a refund, disability benefit, or disability retirement annuity while a VIB application is pending.

d) VIB Offer Amount. After receipt of a VIB application, SURS shall calculate the VIB offer amount as soon as practicable. The VIB offer amount shall be 60% of the present value of the applicable pension benefit payable as of the assumed retirement date. The calculation shall be subject to the following conditions:

1. Actuarial Assumptions

A) All actuarial tables used to calculate the VIB offer amount shall use actuarial assumptions most recently adopted by the Board as of the time of the calculation.

B) The present value date shall be the first of the month on or immediately following the date that SURS receives the VIB application.

C) The discount rate used to calculate the present value of any benefit shall be the prescribed rate of interest.

D) The effective rate of interest for fiscal years prior to the fiscal year containing the date of the calculation shall be the historical rates set by the Board or the State Comptroller, as applicable. The effective rate of interest for fiscal years inclusive of and after the fiscal year containing the date of the calculation shall be the last known effective rate of interest set by the Board or the State Comptroller, as applicable.

2. Service Credit

A) All service credit purchases must have been completed by the date SURS receives the VIB application.

B) Service credit for unused, unpaid sick leave under Section 15-113.4 of the Code shall apply only if the eligible person was an employee within 60 days immediately preceding the assumed retirement date.

3. Assumed Retirement Date. The assumed retirement date shall be the retirement annuity commencement date determined as follows.

A) If the eligible person has attained the earliest applicable retirement age under Section 15-135 of the Code as of the date SURS receives the VIB application, the VIB offer amount shall be based on a retirement annuity that commences on the first of the month on or immediately following the date that SURS receives the VIB application (subject to any applicable early age reductions under Section 15-136 of the Code).

B) If the eligible person has not attained the earliest applicable retirement age under Section 15-135 of the Code as of the date SURS receives the VIB application, the VIB offer amount shall be based on a retirement annuity that commences on the first of the month following the birthday on which the person will have attained the earliest applicable retirement age under Section 15-135 of the Code (subject to any applicable early age reductions under Section 15-136 of the Code).

4. Survivor Benefits. The assumed dates of death of the eligible person and eligible permanent survivor with respect to any assumed survivor benefit shall be based on the most recent mortality assumptions adopted by the Board as of the date of the calculation.

5. Frequency. No more than one VIB offer amount shall be calculated in a State fiscal year.

6. Appeals. An eligible person may seek an appeal of the calculation of the VIB offer amount within 35 days after the issuance of the offer, in accordance with Section 1600.500.

e) VIB Election. The election to accept the VIB offer shall be made in the manner and form prescribed by SURS. SURS may require additional documentation or proof to verify any fact or record necessary for the administration of the election.

1. Election Deadline. The eligible person shall elect to accept the VIB offer within 120 days after the date the VIB offer was issued. If no election is submitted by the deadline, the eligible person shall be deemed to have rejected the VIB offer.

2. Election Date. The date of the election to accept the VIB offer shall be the date SURS receives the completed VIB election form.

3. Survivor Consent. The election shall be accompanied by written and notarized consent of any permanent survivor. If a permanent survivor who was identified in the VIB application no longer qualifies as a permanent survivor, then the election shall be, instead, accompanied by documentation proving the disqualifying condition as follows:

A) Death. Death shall be proven by a certified copy of the death certificate.

B) Divorce. A dissolution of marriage shall be proven by a certified copy of the judgment of dissolution of marriage or civil union.

C) Child's Non-Disability. A child's non-disability shall be proven by a written certificate from one or more licensed and practicing physicians stating that the child is no longer disabled under subsection (b)(4)(B)(ii).

4. Effect of Acceptance. Upon SURS' receipt of the election to accept the VIB offer amount, the eligible person shall be subject to the following conditions:

A) The election to accept the VIB offer shall be irrevocable unless:

i) the State Comptroller fails to remit the full VIB amount to SURS within a year after SURS has submitted a voucher under Section 15-185.5(f) of the Code; or

ii) SURS has knowledge of specific and articulable facts, taken together with rational inferences from those facts, that would lead a reasonable person to believe that the election to accept the VIB was made under fraud, duress, undue influence, illegality or incapacity.

B) The eligible person may not elect to proceed under the Retirement Systems Reciprocal Act [40 ILCS 5/Art. 20] with respect to any service to which the VIB pertains.

C) The eligible person may not purchase service credit under Article 15 of the Code with respect to any service credit attributable to the VIB or any accelerated pension benefit payment under Section 14-147.5, 14-147.6, 16-190.5 or 16-190.6 of the Code.

D) The eligible person shall no longer be a participant of SURS and forfeits all accrued rights and credits in SURS and no other benefit shall be paid under Article 15 based on those forfeited rights and credits, including any retirement, survivor or other benefit; except, to the extent that participation, benefits or premiums under the State Employees Group Insurance Act of 1971 [5 ILCS 375] are based on the amount of service credit.

E) The VIB may not be repaid to SURS, and the forfeited rights and credits may not under any circumstances be reinstated.

F) If the eligible person returns to participation under Article 15, any benefits under SURS earned as a result of that return to participation shall be based solely on the person's credits and creditable service arising from the return to participation. Upon return to participation, the person shall be considered a new employee subject to all the qualifying conditions for participation and eligibility for benefits applicable to new employees, except the person shall retain the same Tier status and program elections previously made under Section 15-134.5 of the Code.

G) An election to accept the VIB offer shall be deemed to be a waiver of any appeal rights under Section 1600.500 with respect to the VIB.

f) VIB Voucher and Payment

1. As soon as administratively practicable after SURS' receipt of the election to accept the VIB offer, SURS shall submit one or more vouchers to the State Comptroller for the payment of the VIB. SURS shall pay the VIB as soon as administratively practicable after SURS' receipt of the VIB amount from the State Comptroller. In no event shall SURS pay the VIB without having received the amounts sufficient to pay the VIB in full from the State Comptroller.

2. The VIB shall be paid in the form of a direct rollover to an "eligible retirement plan" as defined under Section 1600.140(h)(6) (including any supplemental defined contribution plan administered by SURS) to the extent permissible under IRC section 401(a)(31), except for any amounts attributable to Required Minimum Distributions under Section 1-116.1 of the Code or amounts paid under the Excess Benefit Arrangement under Section 1600.430 of this Part. The eligible person may not elect to receive any portion of the direct rollover as cash.

3. If the eligible person dies after having elected to accept the VIB offer amount, but prior to payment of the VIB, the VIB shall be payable to the eligible person's estate.

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.461 Accelerated Pension Benefit Payment for a Reduction and Delay in Aai

a) Purpose. This Section implements Section 15-185.6 of the Code providing for an accelerated pension benefit payment for a reduction and delay in an automatic annual increase (AAI) to a retirement annuity and an annuity benefit payable as a result of death, to be referred to in this Section as the "AAI Buyout".

b) Definitions. For purposes of Section 15-185.6(a) of the Code, the following terms shall have the meanings specified in this subsection (b).

1. Eligible Person. An "eligible person" shall mean a person who satisfies the following conditions:

A) The person is a Tier 1 member.

B) The person has submitted an application for a retirement annuity under Article 15 of the Code.

C) The person has met the age and service requirement for receiving a retirement annuity under Article 15 of the Code, meaning the person must meet the applicable retirement eligibility requirements under Section 15-135 of the Code with respect to age and service credit accrued under Article 15 of the Code and, if the person elects to retire under the Retirement Systems Reciprocal Act, any service credit of a participating reciprocal system.

D) The person has not received any retirement annuity under Article 15 of the Code, meaning the retirement date specified in the retirement application cannot be prior to the date SURS receives the application for a retirement annuity.

E) The person has not made the election under Section 15-185.5 of the Code.

F) The person is not a participant in the Self-Managed Plan under Section 15-158.2 of the Code.

2. Implementation Date. "Implementation date" means the earliest date upon which the Board authorizes eligible persons to begin irrevocably electing the accelerated pension benefit payment option under Section 185.6 of the Code. The Board shall endeavor to make such participation available as soon as possible after June 4, 2018 and shall establish an implementation date by Board resolution. [40 ILCS 5/15-185.6(a)]

3. Assumed Annuities. The AAI Buyout shall be based on one or more of the following assumed annuities, as applicable:

A) Traditional Benefit Package. Retirement benefits under the applicable provisions of Section 15-136 of the Code and, if a permanent survivor (as defined under subsection (b)(4)) exists, survivors insurance benefits under Section 15-145 of the Code, subject to the minimum total survivors annuity payable under Section 15-146(b) of the Code.

B) Portable Benefit Package. Retirement benefits based on the actuarial equivalent of a single-life annuity described under Section 15-136.4(b) of the Code.

4. Permanent Survivor. For purposes of this Section, the term "permanent survivor" shall mean a person who:

A) is living as of the earlier of the assumed retirement date or the date on which the AAI Buyout offer is issued; and

B) is the youngest (i.e., has the longest actuarially assumed life expectancy) from among the following:

i) a "surviving spouse" under Section 15-127 of the Code (without regard to any one-year minimum marriage requirement); or

ii) a "child" under Section 15-129 of the Code who is unmarried and dependent upon the person by reason of a physical or mental disability which began prior to the date the child attained age 18.

● If the child is age 18 or older as of the application date, the child will be deemed to be disabled on the basis of a written certificate from one or more licensed and practicing physicians stating that the child is unable to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment that can be expected to result in death or that has lasted or can be expected to last for a continuous period of not less than 12 months. The physician's determination of disability shall be determined in accordance with 20 CFR 416.905 through 416.911.

● If the child is under age 18 as of the application date, the child will be deemed to be disabled on the basis of a written certificate from one or more licensed and practicing physicians stating that the child has a medically determinable physical or mental impairment or combination of impairments that causes marked and severe functional limitations, and that can be expected to cause death or that has lasted or can be expected to last for a continuous period of not less than 12 months. The physician's determination of disability shall be determined in accordance with 20 CFR 416.905 through 416.911.

c) AAI Buyout Application. Beginning on the implementation date, an eligible person may apply for an AAI Buyout calculation in writing in the form prescribed by SURS, subject to the following conditions:

1. Application Deadline. SURS must receive the AAI Buyout application by the retirement date specified on the completed retirement application, which can be no later than the date until which the System is required to implement the AAI Buyout under Section 15-185.6(b) of the Code.

2. Termination of Application

A) A pending application shall terminate on the earliest of the eligible person's:

i) revocation of the application;

ii) cancellation or suspension of the retirement annuity under Section 15-139 of the Code;

iii) death; or

iv) an election to receive a Vested Inactive Buyout under Section 15-185.5 of the Code and Section 1600.460 of this Part.

B) No election to accept an AAI Buyout offer shall be effective upon or after the termination of a pending application.

C) The eligible person may not withdraw or revoke a pending application as of the date SURS receives the completed AAI Buyout election form.

d) AAI Buyout Offer Amount

1. After receipt of an AAI Buyout application, SURS shall calculate the AAI Buyout offer amount as soon as practicable.

2. The AAI Buyout offer amount shall be 70% of the difference of:

A) the present value of the automatic annual increases to the assumed annuities under Sections 15-136(d), 15-136.4(l), and 15-145(j) of the Code, as applicable; and

B) the present value of the automatic annual increases to the assumed annuities, using the formula provided under Section 15-185.6(b-5) of the Code.

3. The calculation shall be subject to the following conditions:

A) Actuarial Assumptions

i) All actuarial tables used to calculate the AAI Buyout offer amount shall use actuarial assumptions most recently adopted by the Board as of the time of the calculation.

ii) The present value date shall be the retirement date.

iii) The discount rate used to calculate the present value shall be the prescribed rate of interest.

B) Survivor Benefits. The assumed dates of death of the eligible person and eligible permanent survivor or contingent annuitant, as applicable, with respect to any assumed survivors insurance benefit or survivor portion of a joint and survivor annuity, as applicable, shall be based on the most recent mortality assumptions adopted by the Board as of the date of the calculation. The AAI to a survivors insurance annuity or the survivor portion of a joint and survivor annuity, as applicable, calculated under Section 15-185.6(b-5) of the Code, shall commence on the January 1 occurring on or after the first anniversary of the commencement of the survivors insurance annuity or survivor portion of a joint and survivor annuity.

C) Frequency. No more than one AAI Buyout offer amount shall be calculated in a State fiscal year.

D) Appeals. An eligible person may seek an appeal of the calculation of the AAI Buyout offer amount within 35 days after the issuance of the offer in accordance with Section 1600.500.

e) AAI Buyout Election. The election to accept the AAI Buyout offer shall be made in the manner and form prescribed by SURS. SURS may require additional documentation or proof to verify any fact or record necessary for administration of the election.

1. Election Deadline. The eligible person shall elect to accept the AAI Buyout offer within 120 days after the date the AAI Buyout offer was issued. If no election is submitted by the deadline, the eligible person shall be deemed to have rejected the AAI Buyout offer.

2. Election Date. The date of the election to accept the AAI Buyout offer shall be the date SURS receives the completed AAI Buyout election form.

3. Termination from Employment. The eligible person must not return to work as an employee under Section 15-107 of the Code until after the date SURS receives the completed AAI Buyout election form.

4. Survivor Consent. The election shall be accompanied by written and notarized consent of any permanent survivor or contingent annuitant, as applicable. If a permanent survivor who was identified in the AAI Buyout application no longer qualifies as a permanent survivor, the election shall be, instead, accompanied by documentation proving the disqualifying condition as follows:

A) Death. Death shall be proven by a certified copy of the death certificate.

B) Divorce. A dissolution of marriage shall be proven by a certified copy of the judgment of dissolution of marriage or civil union.

C) Child's Non-Disability. A child's non-disability shall be proven by a written certificate from one or more licensed and practicing physicians stating that the child is no longer disabled under subsection (b)(4)(B)(ii).

5. Effect of Acceptance. Upon SURS' receipt of the election to accept the AAI Buyout offer amount, the eligible person shall be subject to the following conditions:

A) The election to accept the AAI Buyout offer shall be irrevocable unless:

i) the State Comptroller fails to remit the full AAI Buyout amount to SURS within a year after SURS has submitted a voucher under Section 15-185.6(d-5) of the Code; or

ii) SURS has knowledge of specific and articulable facts, taken together with rational inferences from those facts, that would lead a reasonable person to believe that the election to accept the AAI Buyout was made under fraud, duress, undue influence, illegality or incapacity.

B) An eligible person who participates in the Traditional Benefit Package and who elects to accept the AAI Buyout offer may not elect to receive a survivors contribution refund under Section 15-154(c) of the Code if a survivors insurance beneficiary exists as of the retirement date. If no survivors insurance beneficiary exists as of the retirement date, the survivors contribution refund shall be payable to the eligible person.

C) An eligible person who elects to accept the AAI Buyout offer shall be deemed to have waived the right to any supplemental payments under Section 15-136.3 and Section 15-146(d) of the Code.

D) An election to accept the AAI Buyout offer shall be deemed to be a waiver of any appeal rights under Section 1600.500 with respect to the AAI Buyout and all underlying calculations.

6. Effect of Rejection. Upon SURS' receipt of a rejection of the AAI Buyout offer amount or upon the failure to make an election within the deadline specified under subsection (e)(1), SURS shall pay automatic annual increases as provided under Sections 15-136(d), 15-136.4(l), and 15-145(j) of the Code, as applicable.

f) AAI Buyout Voucher and Payment

1. As soon as administratively practicable after the SURS' receipt of the election to accept the AAI Buyout offer amount, SURS shall submit one or more vouchers to the State Comptroller for the payment of the AAI Buyout. SURS shall pay the AAI Buyout as soon as administratively practicable after the SURS' receipt of the AAI Buyout amount from the State Comptroller. In no event shall SURS pay the AAI Buyout without having received the amounts sufficient to pay the AAI Buyout in full from the State Comptroller.

2. The AAI Buyout shall be paid in the form of a direct rollover to an "eligible retirement plan" as defined under Section 1600.140(h)(6) (including any supplemental defined contribution plan administered by SURS) to the extent permissible under IRC section 401(a)(31), except for any amounts attributable to Required Minimum Distributions under Section 1-116.1 of the Code or amounts paid under the Excess Benefit Arrangement under Section 1600.430. The eligible person may not elect to receive any portion of the direct rollover as cash.

3. The AAI Buyout may not be repaid to SURS. However, if the retirement annuity is cancelled under Section 15-139(a) of the Code after the eligible person is paid the AAI Buyout offer amount, the eligible person shall repay to SURS that amount, plus any applicable interest under Section 1600.450.

4. If the eligible person who has received the AAI Buyout returns to participation under Article 15, the calculation of any future automatic annual increase in all retirement and survivor annuities under Section 15-139(c) shall be calculated in accordance with Section 15-185.6(b-5) of the Code.

5. If the eligible person dies after having elected to accept the AAI Buyout offer, but prior to payment of the AAI Buyout, the AAI Buyout shall be payable to the eligible person's estate.

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.500 Administrative Staff Determinations and Rules for Appeal - Nature and Requirements of Formal Hearings

a) Administrative Determination

The Board of Trustees hereby delegates to the SURS administrative staff the responsibility for the daily claims-processing function of SURS, including making initial determinations as to all applications for annuities and benefits, service credit, or any other claims against or relating to SURS, consistent with the provisions of the Illinois Pension Code.

b) Review by Senior Claims Management

Any participant, annuitant or beneficiary adversely affected by the disposition of a claim by the administrative staff may file a written request for review by a member of the SURS senior claims management or such other person as may be designated by the Executive Director. A request for review by the member of senior claims management must be received within 35 days from the date of the decision from which review is sought. The review will be based upon all materials contained in the file, as well as any additional materials the claimant attaches to the written request for review. All filings or submissions, whether optional or required under this Section, shall be considered timely if date stamped by SURS within the time prescribed. The decision reached by senior claims management or the Executive Director's designee shall be served on the participant, annuitant or beneficiary by delivery to a third-party commercial carrier or by registered or certified mail, return receipt requested.

c) Review by the Claims Panel

1. A Claims Panel shall hear all administrative contested matters. The Panel shall meet periodically as determined by the Executive Director.

2. Request for Review. Any participant, annuitant or beneficiary (hereinafter "claimant") adversely affected by the disposition of a claim by the member of senior claims management or the Executive Director's designee may request, in writing, a review by the Claims Panel and, at the same time, a copy of all relevant documents from the claimant's file. A request for review must be received by the General Counsel of SURS, or the General Counsel's designee, within 35 days from the date of the decision from which review is sought.

3. Notice of Hearing. Upon receipt of a claimant's Request for Review, SURS shall assign the claim a docket number; schedule the claim for the first available meeting of the Claims Panel; and notify the claimant, by a Notice of Hearing, that the claimant is required to file a single Statement of Claim. The Notice of Hearing may be accompanied by any relevant documentation from the claimant's file.

4. Statement of Claim. The Statement of Claim must be received by the SURS General Counsel, or the General Counsel's designee, no later than 35 days from the date of the mailing of the Notice of Hearing. The Statement of Claim shall include: a formal Appearance, containing the claimant's name, SURS identification number and address; the name and address of the claimant's authorized representative, if any; a statement of the facts forming the basis for the appeal; any documents or other materials the claimant wishes to be considered in conjunction with the appeal, in addition to those already contained in the claimant's file; whether the claimant desires a hearing or whether the claimant desires to waive a hearing and allow the Claims Panel to reach a decision based upon the Statement of Claim and the relevant documents in the claimant's file; a list of witnesses, if any, the claimant intends to present at a hearing; and an explanation of the relief sought. The Statement of Claim shall not exceed 15 pages in length, unless an exception is granted by the Claims Panel Hearing Officer. The Hearing Officer may grant a motion to Strike/Dismiss all or part of the Statement of Claim.

5. Response to Statement of Claim. SURS staff may submit a Response to the Statement of Claim, which shall also not exceed 15 pages in length, unless an exception is granted by the Claims Panel Hearing Officer.

6. Notification. The Notice of Hearing shall also provide a claimant with written notice of: the date, time and place of the hearing; the subject matter of the hearing; and relevant procedural and substantive statutory and regulatory provisions [5 ILCS 100/10-25]. The Notice shall inform the claimant of an opportunity to provide a statement of the claimant's position, present oral evidence, and conduct examination and cross-examination of witnesses as necessary for full and true disclosure of the facts. Notice shall also be given to the claimant that the claimant is required to provide written confirmation, at least 14 days prior to the scheduled date of the hearing, of the claimant's intent to appear at the hearing, whether in person or by telephone conference call. The claimant is not required to physically appear at the hearing. The claimant may appear at the hearing by telephone conference call. The claimant may also choose to affirmatively waive personal appearance at the hearing. In the absence of the claimant, the Claims Panel will consider the claimant's Statement of Claim and any documentary evidence, testimony evidence, argument and any other information properly presented to the Claims Panel by SURS staff during the scheduled hearing.

7. Pre-hearing Conference. Upon request of the General Counsel, the claimant, or upon the decision of the Hearing Officer, a pre-hearing conference shall be held for the purpose of simplification or definition of issues or procedures at the hearing.

8. Legal Representation and Other Assistance. The claimant and SURS may be represented by legal counsel and/or assisted by a designated family member or spokesperson at the hearing.

9. Burden of Proof. It shall be the burden of the claimant to establish a right to the benefit claimed, or the right to the continuation of the benefit claimed in cases of revocation of the benefit by SURS, by establishing that right by a preponderance of the evidence.

d) Discovery. All discovery is at the discretion of the Hearing Officer. Requests to take discovery must be made in writing to the Hearing Officer with notice to the other party. Discovery may be taken with the prior permission of the Hearing Officer only upon good cause shown, that is, if the evidence sought is material and cannot be obtained in any other way. Failure to comply with orders of the Hearing Officer may be sanctioned by the Hearing Officer, by means including, but not limited to, dismissal of a claim.

e) Depositions

1. The Hearing Officer may order the taking of evidence depositions of a person, specifying the subject matter to be covered, under oral examination or written questions, for use as evidence at the hearing, provided:

A) The Hearing Officer has determined upon request that there is a need to preserve a person's testimony. The need to preserve a person's testimony shall be determined using criteria similar to that set forth under Illinois Supreme Court Rule 212(b);

B) The request is made on motion by a party who gives notice of the motion to the other party;

C) The Hearing Officer has determined that an evidence deposition containing oral testimony will be necessary to the Claims Panel in determining the merits of the claim; and

D) The Hearing Officer shall not grant any request to take the evidence deposition of any SURS trustee, employee, or consultant working on behalf of SURS. Requests for oral testimony at the hearing from these individuals must be filed with the Hearing Officer for determination.

2. The taking of depositions shall be in accordance with the provisions for taking depositions in civil cases, and the order for the taking of a deposition may provide that any deposition exhibits, designated books, papers, documents or tangible objects that are not privileged shall be produced by the party requesting the deposition at least 7 days in advance of the scheduled deposition.

3. Any party to the hearing shall, during any deposition process, have the right to confront and cross-examine any witness whose deposition testimony is to be presented to the Claims Panel.

4. Depositions shall be taken in the county of residence or employment of the witness, unless the witness waives that right in writing.

5. Depositions shall be taken at the cost of the party requesting the deposition. All deposition-related expenses shall be paid by the party requesting the deposition. The party requesting the deposition shall pay for and submit an original sealed transcript of the evidence deposition to SURS in advance of the Claims Panel hearing. The non-requesting party may order and pay for its own copy of the transcript.

f) Subpoenas

1. The Hearing Officer may request the Secretary of the Board to issue a subpoena to compel the attendance of a witness at an evidence deposition or the production of documents when the witness has, or the documents contain, relevant evidence. A party may also request the Hearing Officer to request the Secretary of the Board to issue a subpoena to compel the attendance of a witness at an evidence deposition or the production of documents. The request shall either be in writing or on the record and shall:

A) Identify the witness or document sought; and

B) State the facts that will be proven by each witness or document sought.

2. The Hearing Officer shall grant or deny the request, either in writing or on the record. If the request for subpoena is granted, the Hearing Officer shall, if necessary, reschedule the hearing to a specific date. The request for subpoena shall be denied if the Hearing Officer finds that the evidence sought is immaterial, irrelevant or cumulative. If the request for subpoena is denied, the specific reasons for denial of the request shall be made part of the record on appeal.

3. If a witness fails to obey a subpoena, the party seeking enforcement of the subpoena shall prepare an application to the circuit court of the county in which the subpoenaed witness resides requesting enforcement of the subpoena, and shall present the application to the Hearing Officer, at the same time serving a copy of the application upon the other party. If satisfied that the subpoena was properly served and that the application is in proper form, the Hearing Officer shall sign a subpoena to be submitted with the application and the party seeking the subpoena may then file and prosecute the application in the circuit court, in the name of the Board. The petitioner in the application shall be styled as "Name of Petitioner ex rel. Board of Trustees of the State Universities Retirement System" unless the petitioner is SURS, in which case the petition shall be brought in the name of the Board. In the event of an application being filed with the circuit court, the matter shall be continued pending the outcome of the application to enforce the subpoena.

4. The fees of witnesses for attendance and travel shall be the same as fees of witnesses before the circuit courts of this State and shall be paid by the party seeking the subpoena.

g) Conduct of the Hearing

1. Hearing Officer. The hearing shall be conducted by the Hearing Officer. The Hearing Officer shall be an attorney licensed to practice law in the State of Illinois and approved by the Board. Other members of the Claims Panel may, but are not required to, attend the hearing. Members may attend hearings either in-person or by video or teleconference.

A) The Hearing Officer shall have full power to conduct the hearing and the presence of any other members of the Claims Panel is not required. The Hearing Officer shall be one of the members of the Claims Panel and shall be chosen by SURS to serve in that capacity.

B) The Claims Panel shall consist of:

i) the Executive Director of SURS;

ii) the Hearing Officer; and

iii) one other person, selected by the Chairperson of the Board of Trustees of SURS, who shall be a member of the Board.

C) Each member of the Panel shall be reimbursed for travel or other related expenses incurred in connection with duties as a member of the Panel. The Hearing Officer shall receive reasonable compensation and reimbursement for travel or other related expenses incurred per the terms of the contract with SURS.

D) At a minimum, the members of the Claims Panel shall have a general familiarity with the provisions of the Illinois Pension Code, this Part and the internal operating procedures of SURS.

2. Procedures

A) The Hearing Officer shall conduct a full and fair hearing, receive testimony of the claimant and admit exhibits into evidence, avoid delay, maintain order and make a sufficient record for a full and true disclosure of the facts and issues.

B) To accomplish these ends, the Hearing Officer shall make all procedural and evidentiary rulings necessary for the conduct of the hearing.

C) All testimony shall be taken under oath before an officer authorized to administer oaths by the laws of this State or of the United States or of the place where the testimony is to be given.

D) As a general matter, the rules of evidence as applied in civil cases in the circuit courts of the State of Illinois shall be followed; however, evidence inadmissible under those rules may be admitted (except where precluded by statute) if it is of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs. Any part of the evidence may be received in written form, provided that the interests of the parties will not be prejudiced. Notice may be taken of generally recognized technical facts within SURS' specialized knowledge and SURS' experience, technical competence and specialized knowledge may be used in evaluation of the evidence. [5 ILCS 100/10-40]

E) The Hearing Officer, and any member of the Claims Panel attending the hearing, may ask questions necessary for better understanding of the facts or law.

F) The Hearing Officer shall have the authority to impose reasonable time limits for each party to present its case and shall, in general, have the power to manage and control the hearing process.

G) The hearing shall be open to the public and conducted pursuant to the Open Meetings Act [5 ILCS 120].

3. Record of Proceedings. The record of proceedings shall be kept in the form of either a stenographic transcription or an audio recording. The claimant may directly obtain a stenographic transcription of the hearing from the stenographer or request a copy of the audio recording of the hearing from SURS by making a request after the close of the hearing and paying the actual cost charged by the stenographer for the transcription.

4. Disqualification; Ex Parte Communications

A) Disqualification

i) A Hearing Officer or other member of the Claims Panel may be disqualified on grounds of bias or conflict of interest. A motion to disqualify a Hearing Officer or other member of the Claims Panel for bias or conflict of interest shall be made to the Hearing Officer by any party to the hearing within 14 days after the issuance of the notice of the hearing, with a copy of the motion to be simultaneously submitted to the SURS General Counsel. The motion shall be heard, considered and ruled upon by the Hearing Officer at or prior to the commencement of the hearing. The movant shall have the burden of proof with respect to the motion to disqualify. An adverse ruling, familiarity with the facts of the case, non-dispositive involvement in the staff decision underlying the case, or the fact that a Hearing Officer or other member of the Claims Panel is a SURS trustee, an employee of SURS or has a contract with SURS, standing alone, shall not constitute bias or conflict of interest. [5 ILCS 100/10-30]

ii) The Executive Director may not be called as a witness unless it is demonstrated that the Executive Director has relevant noncumulative personal knowledge of facts bearing upon the claim. The Executive Director may not be disqualified as a member of the Claims Panel on the basis that the Executive Director is responsible for the overall administration of SURS.

iii) In the event that any member of the Claims Panel is disqualified or is otherwise unable to serve, the Board Chairperson may appoint another qualified person to the Claims Panel. The Board Chairperson shall appoint another person if the Claims Panel is reduced to fewer than two members. If the Hearing Officer is disqualified or is otherwise unable to serve, SURS may retain another duly licensed attorney who may serve as the Hearing Officer.

B) Ex Parte Communications Prohibited

i) Except in the disposition of matters that SURS is authorized by law to entertain or dispose of on an ex parte basis, the members of the Claims Panel shall not, after receiving notice of a hearing in a contested matter, communicate, directly or indirectly, in connection with any issue of fact, with any party, or in connection with any other issue with any party, or the representative of any party, except upon notice and opportunity for all parties to participate. However, an employee of SURS may communicate with other employees of SURS and an employee of SURS or member of the Claims Panel may have the aid and advice of one or more assistants. An ex parte communication received by any member of the Claims Panel shall be made a part of the record of the pending matter, including all written communications, all written responses to the communications, and a memorandum stating the substance of all oral communications and all responses made and the identity of each person from whom the ex parte communication was received. Communications regarding matters of procedure and practice, such as the format of pleadings, number of copies required, manner of service, and status of proceedings, and questions concerning potential conflict of interest and possible recusal are not considered ex parte communications. [5 ILCS 100/10-60]

ii) Any documentary evidence, testimony evidence, argument and any other information properly presented to the Claims Panel by SURS staff during a scheduled hearing held in the absence of a claimant who waived the right to participate in the hearing will not be deemed to be ex parte communications.

5. Decisions of the Claims Panel and Executive Committee

A) Claims Panel Decisions

i) The record of proceedings shall be completed upon conclusion of the hearing by the Hearing Officer, unless the Hearing Officer determines to re-open the proceedings. In compliance with the Illinois Open Meetings Act, upon conclusion of all evidence and arguments, the Claims Panel shall deliberate in closed session and make a Decision as to the disposition of the claim based on the evidence of record when they return to open session. The Claims Panel Decision shall be served on all parties and their agents, if any, by delivery to a third-party commercial carrier or by registered or certified mail, return receipt requested. If a Statement of Exceptions to the Decision is not filed pursuant to this subsection (g)(5)(A), the Decision is final for all purposes and not subject to administrative or judicial review. However, if a Statement of Exceptions to the Decision is filed or, if the members of the Panel are unable to agree on a Decision, then the claim shall be presented to the Executive Committee for a final administrative decision.

ii) If a Statement of Exceptions is filed by either party, it must be received by SURS, along with a brief in support, within 21 days after the date of mailing of the Claims Panel Decision. SURS will pay to procure a copy of the verbatim transcript of the Claims Panel proceedings. Any responsive brief filed by the opposing party shall be received by SURS within 21 days after the filing of the Statement of Exceptions. Any reply brief shall be received by SURS within 14 days after the filing of the responsive brief. The filing of any responsive or reply brief is optional. The Executive Director, or The Director's designee, shall provide the Executive Committee with a copy of the decision of the Claims Panel. The Executive Committee will make a final administrative decision based on the Claims Panel Decision, any Statement of Exceptions, and/or briefs properly filed. All filings shall be served upon the opposing party and shall contain a certificate of service. Filing deadlines in this subsection (g)(5)(A)(ii) may be continued to a date certain by the Chairperson of the Executive Committee for good cause shown on written application filed with SURS prior to the expiration of the deadline sought to be continued.

iii) If the claim is presented to the Executive Committee because the members of the Claims Panel are unable to agree on a Decision, the Executive Committee shall make a final administrative decision based on the written record, the verbatim transcription of the proceedings, and any briefs properly filed with the Claims Panel by the parties. SURS will pay to procure a copy of the verbatim transcript of the Claims Panel proceedings.

B) Executive Committee Decision

i) When necessary pursuant to subsection (g)(5)(A), the Executive Committee of the Board shall make a decision on the claim. No oral argument shall be permitted before the Executive Committee.

ii) The Executive Committee shall render one of the following decisions with respect to the claim: affirmance of the administrative action, reversal of the administrative action, or remand of the case to the administrative staff for further investigation and/or consideration. Remand of the case to the administrative staff shall not be considered a final decision of the Executive Committee. A decision by the Executive Committee either reversing or affirming the decision of the administrative staff shall constitute a final decision for the purpose of review under the Administrative Review Law [735 ILCS 5/Art. III]. A final decision of the Executive Committee shall be in writing or stated in the record.

iii) The Executive Committee may adopt, as its own, the findings of fact and conclusions of law of the Claims Panel. Findings of fact, if set forth in statutory language, shall be accompanied by a concise and explicit statement of the underlying facts supporting the findings.

iv) All decisions of the Executive Committee shall specify whether they are final and subject to the Administrative Review Law. [5 ILCS 100/10-50]

v) Parties and their agents, if any, shall be notified by sending the decision of the Executive Committee via a third-party commercial carrier, or by registered or certified mail, return receipt requested. The date of mailing of the decision shall constitute the date of service for purposes of the Administrative Review Law or any other applicable law.

History

• Source: Amended at 47 Ill. Reg. 14005, effective September 14, 2023

80 Ill. Adm. Code 1600.510 Employer-Related Determinations and Rules for Appeal

This Section establishes procedures for employer appeals concerning matters of administration under the Illinois Pension Code.

a) Administrative Determination. The Board of Trustees hereby delegates to the SURS administrative staff the responsibility for making determinations that affect the rights and obligations of employers, consistent with the provisions of the Code.

b) Review by Senior Claims Management. Any employer adversely affected by a determination by System administrative staff may file, with a member of the SURS senior claims management or other person designated by the Executive Director, an Employer Request for Review. An Employer Request for Review must be received within 35 days after the date of the decision from which review is sought. If an Employer Request for Review is not timely filed, the determination by administrative staff is final for all purposes and not subject to administrative or judicial review. The review shall be based on all materials contained in the record, as well as any additional materials the employer attaches to the Employer Request for Review. All filings or submissions, whether optional or required under this Section, shall be considered timely if date stamped by SURS within the time prescribed. The decision reached by senior claims management or the Executive Director's designee shall be served on the employer's authorized representative by delivery to a third-party commercial carrier or by registered or certified mail, return receipt requested.

c) Review by the Claims Panel and Executive Committee. Any employer adversely affected by the disposition of an Employer Request for Review made by senior claims management or the designee may request, in writing, review by the Claims Panel of the Board by filing with the SURS General Counsel, within 35 days after the date of the decision from which review is sought, a Petition for Employer Appeal All rights, obligations, procedures, pleading requirements, evidentiary standards, and standards of proof applicable to the review by the Claims Panel and any subsequent appeal to the Executive Committee of the Board under a Petition for Employer Appeal shall be as provided for member appeals under Section 1600.500(c) through (g).

d) Effect of Appeal on Due Dates, Interest and Penalties

1. Due Dates. If any provision of the Code or SURS regulations requires the employer to make payment by a certain date, the due date shall not be extended during the pendency of the appeal. Any final decision under this Section that partially reduces the payment shall extend the due date of the remaining balance by the time period during which the matter was under appeal.

2. Interest and Penalties on Payments. If any provision of the Code or SURS regulations imposes interest or penalties upon an employer after a certain date for nonpayment, the interest and/or penalties shall continue to accrue during the pendency of the appeal. Any final decision that partially reduces the payment shall also reduce the attributable interest and/or penalties. To avoid the accrual of interest and/or penalties, the employer may make payment or perform any action required by SURS under protest. A payment submitted or required action performed under protest must be submitted or performed on or before the date of the Petition for Employer Appeal is filed pursuant to subsection (b). Any payment submitted or required action performed under protest shall not be considered an admission of any liability and shall not constitute a waiver of any appeal rights under this Section.

History

• Source: Amended at 47 Ill. Reg. 14005, effective September 14, 2023

80 Ill. Adm. Code 1600.550 Disability Claims Procedure

a) Pursuant to Code Section 15-150, a participant may be granted a disability benefit if, while a participating employee, he or she becomes physically or mentally incapacitated and unable to perform the duties of his or her assigned position for any period exceeding 60 consecutive calendar days and the employee had completed 2 years of service at the time of disability, unless the disability is a result of an accident or the employee is a police officer who qualifies for line-of-duty disability benefits under Section 15-153(b) of the Code. An employee shall be considered disabled only during the period for which the Board determines, based upon the evidence listed in this Section, that the employee is unable to reasonably perform the duties of his or her assigned position as a result of a physical or mental disability. This determination shall be based upon:

1. a written certificate from one or more licensed and practicing physicians appointed by or acceptable to the Board, stating that the employee is disabled and unable to reasonably perform the duties of his or her assigned position;

2. a written certificate from the employer stating that the employee is unable to perform the duties of his or her assigned position and, if the employee is a police officer applying for a line-of-duty disability, the employer's position on whether the disability qualifies as a line-of-duty disability; and

3. any other medical examinations, hospital records, laboratory results, or other information necessary for determining the employment capacity and condition of the employee; and

4. if the employee is a police officer applying for a line-of-duty disability, a written certification from one or more licensed and practicing physicians appointed by or acceptable to the Board, stating that the disability qualifies as a line-of-duty disability under Section 15-153(b) of the Code.

b) Application Filing Requirements

1. An application for disability benefits must include the certifications described in subsections (a)(1), (a)(2), (a)(4), if applicable, and supporting documentation described in subsection (a)(3), all as explained in more detail in this Section, for each disabling condition as well as for the entire period of disability.

2. The application must be filed within one calendar year after the date on which the disability occurred. The application is deemed to have been filed on the date on which the System first receives any part or section of the application. This limitation may be waived upon a showing of good cause, including, but not limited to, extenuating circumstances in which the applicant was under significant physical, mental or medical infirmity or legal status that prevented the applicant from filing within the time period.

c) Certification By Physicians. For purposes of subsections (a)(1) and (a)(4), the following shall apply:

1. Physicians acceptable to the Board are attending physicians, physicians designated by the participant and physicians to whom the participant was referred by the attending or designated physician. Physicians appointed by SURS staff to examine the participant are deemed to be physicians appointed by the Board. The physician must be licensed to practice and be currently practicing in the field of expertise related to the underlying physical or mental condition for which disability benefits are sought.

2. The certification must be signed by a physician described in subsection (c)(1) or an authorized representative of the physician and must state the following:

A) the medical diagnosis of the physical or mental condition;

B) the prognosis of the physical or mental condition;

C) the physical or mental limitations to which the participant should

adhere; and

D) that the participant is disabled and is unable to reasonably perform the duties of his or her assigned position as a result of the physical or mental disability; and

E) if the employee is a police officer applying for a line-of-duty disability, that the disability qualifies as a line-of-duty disability under Section 15-153(b) of the Code.

3. The certification must be accompanied by a report containing the following:

A) the date of examination;

B) the medical history of the participant;

C) the results of any diagnostic tests used;

D) the diagnosis of the physical or mental condition;

E) the plan of treatment for the physical or mental condition and prognosis in response to the treatment plan;

F) an evaluation of the physical or mental condition as it bears upon the participant's ability to reasonably perform the duties of his or her assigned position; and

G) any existing documentation of objective medically demonstrable anatomical, physiological or psychological abnormalities manifested as test results or laboratory findings apart from self-reported symptoms.

d) Certification by Employers. For purposes of subsection (a)(2), the certification must be signed by an officer authorized by the employer and must state the following:

1. the physical or mental performance requirements for the reasonable performance of the participant's assigned position;

2. whether the participant is able to satisfy each physical or mental performance requirement for the reasonable performance of his or her assigned position to the best of the employer's knowledge or belief and the reason for that knowledge or belief;

3. whether the participant is able to reasonably perform the duties of his or her assigned position based on the provisions of subsections (d)(1) and (d)(2); and

4. if the employee is a police officer applying for a line-of-duty disability, the employer's position on whether the disability qualifies as a line-of-duty disability under Section 15-153(b) of the Code.

e) Determination of Regular and Line-of-Duty Disability. If the participant establishes, by a preponderance of the evidence, that he or she is physically or mentally disabled and unable to perform the duties of his or her assigned position as a result of the disability, the participant shall be determined eligible for regular disability benefits under Section 15-153(a) of the Code. In lieu of regular disability benefits under Section 15-153(a) of the Code, if a police officer establishes, by a preponderance of the evidence, that as the result of sickness, accident, or injury incurred in or resulting from the performance of an act of duty, the police officer is found to be physically or mentally disabled for employment as a police officer so as to render necessary his or her suspension or retirement from employment as a police officer or is found to be unable to perform his or her duties as a police officer by reason of heart disease, stroke, tuberculosis, or any disease of the lungs or respiratory tract, resulting from employment as a police officer, the police officer shall be determined eligible for line-of-duty disability benefits under Section 15-153(b) of the Code. Any police officer who suffers a heart attack or stroke as a result of the performance and discharge of police duty shall be considered to have been injured in the performance of an act of duty and shall be eligible for line-of-duty disability benefits under Section 15-153(b) of the Code. For purposes of Section 15-153(b) of the Code, a police officer shall be considered to be in the performance of an act of duty while on any assignment approved by the police officer's chief, whether the assignment is on or off the employer's property. [40 ILCS 5/15-153(b)].

1. SURS staff shall determine whether certifications made under subsections (a)(1), (a)(2), and (a)(4), if applicable, and supporting documentation described in subsection (a)(3) establish eligibility for regular disability benefits or line-of-duty disability benefits.

2. At the discretion of SURS staff, the participant may be required to submit to additional examinations by staff appointed physicians or specialists to aid in the determination process.

3. Physical or mental conditions resulting from self-inflicted injuries, substance abuse, or any act for which the participant was convicted of a misdemeanor or felony

A) are not the result of an accident for purposes of Section 15-150 of the Code; and

B) are not a sickness, accident, or injury incurred in or resulting from the performance of an act or duty for purposes of Section 15-153(b) of the Code.

f) Subsequent Re-examination of Disabled Participants

1. SURS staff shall secure from one or more physicians, periodically, re-evaluation reports concerning the continued disability of the participant. The date of re-evaluation shall be determined by SURS staff on the basis of the medical reports received previously, the nature of the disability, and other relevant information.

2. In the re-evaluation of disability claims, the examining physician shall be the attending physician or the physician designated by the participant, but, if the nature of the disability or other circumstances justifies the appointment of someone other than the participant's attending physician or designated physician as the examining physician, SURS staff shall make the appointment. All other procedures that may be applicable in processing the initial claim for disability benefits shall be followed in re-evaluation of the claim.

g) Release of Medical Information. The participant may be required to authorize the release of all medical or other information related to the disability claim, including but not limited to medical reports, hospital records, Department of Employment Security earnings statements, income tax records, unemployment records, and any record deemed necessary to the administration of the disability claim. The failure of the participant to submit to a re-evaluation examination or a treatment plan, to produce records, or to approve release of information required shall result in the discontinuance of disability benefit payments under Section 15-152 of the Code or suspension under Section 1600.160 of this Part, as applicable.

h) Vacation Payments and Disability Benefit Commencement. If an employee receives payment for unused vacation leave accrued under the employment from which the employee is disabled, the date of the "termination of payment of salary or sick leave benefits" under Section 15-151 of the Code shall be delayed by the number of work days attributable to the vacation payment.

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.555 Disability Retirement Annuity Claims Procedure

a) Pursuant to Section 15-153.2 of the Code, a participant whose disability benefits are discontinued under the provisions of clause (6) of Section 15-152 of the Code and who is not a participant in the Retirement Savings Plan is entitled to a disability retirement annuity of 35% of the basic compensation which was payable to the participant at the time the regular disability began under Section 15-153(a) of the Code, or 65% of the basic compensation that was payable to the participant at the time the line-of-duty disability began under Section 15-153(b) of the Code, provided that the Board determines that the participant has a medically determinable physical or mental impairment that prevents him or her from engaging in any substantial gainful activity, and which can be expected to result in death or which has lasted or can be expected to last for a continuous period of not less than 12 months. This determination shall be based upon:

1. a written certificate from one or more licensed and practicing physicians appointed by or acceptable to the Board, stating that the participant is unable to engage in any substantial gainful activity; and

2. any other medical examinations, hospital records, laboratory results, or other information necessary for determining the employment capacity and condition of the participant.

b) Application Filing Requirements

1. An application for a disability retirement annuity must include the certification described in subsection (a)(1) and supporting documentation described in subsection (a)(2), all as explained in more detail in this Section, for each disabling condition as well as for the entire period of the disability retirement annuity.

2. The application for a disability retirement annuity must be filed within one calendar year after the date on which the disability benefits are discontinued under clause (6) of Section 15-152 of the Code. The application is deemed to have been filed on the date on which the System first receives any part or section of the application. An untimely application shall render the participant ineligible for a disability retirement annuity. This limitation may be waived upon a showing of good cause, including, but not limited to, extenuating circumstances in which the applicant was under a significant physical, mental or medical infirmity or legal status that prevented the applicant from filing within the time period.

c) Certification By Physicians. For purposes of subsection (a)(1), the following shall apply:

1. Physicians acceptable to the Board are attending physicians, physicians designated by the participant and physicians to whom the participant was referred by the attending or designated physician. Physicians appointed by SURS staff to examine the participant are deemed to be physicians appointed by the Board. The physician must be licensed to practice and be currently practicing in the field of expertise related to the underlying physical or mental condition for which disability benefits are sought.

2. The certification must be signed by a physician described in subsection (c)(1) or an authorized representative of the physician and must state the following:

A) the medical diagnosis of the physical or mental condition;

B) the prognosis of the physical or mental condition; and

C) that the participant has a medically determinable physical or mental impairment that prevents the participant from engaging in any substantial gainful activity and can be expected to result in death or has lasted or can be expected to last for a continuous period of not less than 12 months.

3. The certification must be accompanied by a report containing the following:

A) the date of examination;

B) the medical history of the participant;

C) the results of any diagnostic tests used;

D) the diagnosis of the physical or mental condition;

E) the plan of treatment for the physical or mental condition and prognosis in response to the treatment plan;

F) an evaluation of the physical or mental condition that prevents the participant from engaging in any substantial gainful activity and that can be expected to result in death or has lasted or can be expected to last for a continuous period of not less than 12 months; and

G) any existing documentation of objective medically demonstrable anatomical, physiological or psychological abnormalities manifested as test results or laboratory findings apart from self-reported symptoms.

d) Determination of Disability Retirement Annuity. If the participant whose disability benefits are discontinued under the provisions of clause (6) of Section 15-152 of the Code establishes, by a preponderance of the evidence, that the participant has a medically determinable physical or mental impairment that prevents the participant from engaging in any substantial gainful activity and can be expected to result in death or has lasted or can be expected to last for a continuous period of not less than 12 months, the participant shall be determined eligible for a disability retirement annuity under Section 15-153.2 of the Code. Participants in the Retirement Savings Plan are not eligible to receive disability retirement annuity benefits.

1. SURS staff shall determine whether the certifications made under subsection (a)(1) and supporting documentation described in subsection (a)(2) establish eligibility for a disability retirement annuity.

2. At the discretion of SURS staff, the participant may be required to submit to additional examinations by staff appointed physicians or specialists to aid in the determination process.

e) Subsequent Re-examination of Disability Retirement Annuity Recipients

1. SURS staff shall secure from one or more physicians, periodically, re-evaluation reports concerning the continued disability of the participant or the recipient. The date of re-evaluation shall be determined by SURS staff on the basis of the medical reports received previously, the nature of the disability, and other relevant information.

2. In the re-evaluation of disability retirement annuity claims, the examining physician shall be the attending physician or the physician designated by the participant or the recipient. However, if the nature of the disability or other circumstances justifies the appointment of someone other than the participant's or recipient's attending physician or designated physician as the examining physician, SURS staff shall make the appointment. All other procedures that may be applicable in processing the initial claim for a disability retirement annuity shall be followed in re‑evaluation of the claim.

f) Release of Medical Information. The participant or the recipient may be required to authorize the release of all medical or other information related to the disability retirement annuity claim, including, but not limited to, medical reports, hospital records, Department of Employment Security earnings statements, income tax records, unemployment records, and any record deemed necessary to the administration of the disability retirement annuity claim. The failure of the participant or the recipient to submit to a re-evaluation examination or a treatment plan, to produce records, or to approve release of information required shall result in the discontinuance of disability retirement annuity payments payable to the participant or recipient who failed to comply pursuant to Section 15-153.2(d) of the Code or suspension under Section 1600.160, as applicable.

g) The terms "substantial gainful activity" and "medically determinable physical or mental impairment" shall have the meanings ascribed to them under 20 C.F.R. 404.1510 and 404.1521, respectively.

History

• Source: Added at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.600 Definitions

a) The definitions in Section 1-119(a) of the Pension Code shall apply to the rules contained in this Subpart.

b) The phrase "alternate payee" in Section 1-119(a)(1) of the Pension Code means a current spouse, former spouse, child or other dependent of a SURS member, as designated in a QILDRO.

c) The phrase "death benefit" in Section 1-119(a)(2) of the Pension Code means a benefit paid pursuant to Section 15-141 or 15-142 of the Pension Code, or any lump-sum payment under Section 15-145(e) of the Pension Code.

d) The phrase "member's refund" in Section 1-119(a)(5) of the Pension Code does not include an "error refund" as defined in subsection (e) of this Section.

e) The phrase "error refund", as used in this Subpart, means a refund paid to a member as the result of an error in a payment to the System, a refund paid to a member when the required employee or employer contributions necessary to purchase or reinstate service credit have not been fully paid, or a refund of contributions made under Section 1600.240(e).

f) The phrase "disability benefit" in Section 1-119(a)(3) of the Pension Code includes:

1. A disability benefit under Section 15-150 of the Pension Code; or

2. A disability retirement annuity under Section 15-153.2 of the Pension Code.

g) The phrase "member's retirement benefit", as used in this Subpart, means the total amount of the retirement benefit as defined in Section 1-119(a)(8) of the Pension Code that would be payable to the member in the absence of a QILDRO.

h) The phrase "partial member's refund", as used in this Subpart, includes:

1. A refund of survivor benefit contributions;

2. A refund of excess contributions or interest; or

3. A refund of waived service credit.

i) The phrase "permissive service", as used in this Subpart, means service credit purchased by payment of voluntary contributions by the member under Sections 15-113.1(c), 15-113.2, 15-113.3, 15-113.5, 15-113.6, 15-113.7, 15-113.8 and 15-113.9 of the Pension Code and service credited under Section 15-113.4 of the Pension Code. Permissive service restored upon the repayment of a refund under Section 15-154(b) of the Pension Code is restored as permissive service.

j) The phrase "regular service", as used in this Subpart, means service credited under Sections 15-113.1(b) and 15-113.3 of the Pension Code without the payment of voluntary contributions. Regular service restored upon the repayment of a refund under Section 15-154(b) of the Pension Code is restored as regular service.

k) The phrase "effective date of retirement", as used in Section 1-119 of the Pension Code and this Subpart, means the beginning of the "annuity payment period" as defined in Section 1600.100.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.605 Requirements for a Valid Qualified Illinois Domestic Relations Order

SURS will accept a court order as a valid QILDRO or QILDRO Calculation Court Order if it meets all of the following requirements:

a) The following requirements apply to the QILDRO and the QILDRO Calculation Court Order:

1. The order must be accompanied by a $50 non-refundable processing fee, by check or money order payable to the State Universities Retirement System.

2. The order must be a certified copy of the original.

3. The order must have been issued by an Illinois court of competent jurisdiction in a proceeding for declaration of invalidity of marriage, legal separation or dissolution of marriage that provides for the distribution of property, or any proceeding to amend or enforce the property distribution. A judgment, order or notice of income withholding for support under a support enforcement mechanism under Title IV-D of the Social Security Act (42 USC 666) or any other state law that purports to divide or garnish the member's retirement benefit under any proceeding for the declaration of invalidity of marriage, legal separation or dissolution of marriage will not be honored by SURS unless the judgment, order or notice is accompanied by a QILDRO (and if applicable, a QILDRO Calculation Court Order) issued by an Illinois court.

4. The order must contain the name, residence address and Social Security number of the member.

5. The order must contain the name, residence address and Social Security number of the alternate payee.

6. The order must identify the State Universities Retirement System as the retirement system to which it is directed.

7. The order must identify the court that issued it.

8. The order must apply only to benefits that are statutorily subject to QILDROs, as provided in Code Section 1-119(b)(1).

9. The orders and, if applicable, the Consent to Issuance of QILDRO, must be in the form adopted by SURS as of the date the order is received. Any alterations will invalidate the order.

10. Except as otherwise provided in this subsection (a)(10), the effective date of the order must be after July 1, 1999 and before the date of death of the member. If the effective date of the order is on or after the member's date of death, SURS will deem the effective date of the posthumous order as if it had been entered on the day immediately prior to the member's date of death if the order is dated no later than 6 months after the date of death and:

A) any applicable consent requirements under subsection (b)(1) were met prior to the member's date of death; or

B) the order is accompanied by a certified copy of a decree of dissolution of marriage that is dated before the date of death of the member and incorporates the terms of a written marital settlement agreement that was signed by both parties before the date of death of the member and provides direction for the division of the member's SURS benefits under a QILDRO.

b) The following additional requirements apply only to the QILDRO:

1. If the QILDRO applies to a person who became a SURS member before July 1, 1999, it must be accompanied by the original Consent to Issuance of QILDRO form signed by the member, or a certified copy of the original. The consent cannot be signed by a judge, sheriff or any person other than the member. A QILDRO issued on or after July 1, 2006 that modifies a QILDRO issued prior to July 1, 2006 must be accompanied by an original Consent to Issuance of QILDRO signed by the member on or after July 1, 2006. If the alternate payee is unable to obtain a signed consent from the member, the required consent can be established if the QILDRO is accompanied by a certified copy of a decree of dissolution of marriage that incorporates the terms of a written marital settlement agreement that was signed by both parties and provides direction for the division of the member's SURS benefits under a QILDRO.

2. The QILDRO must specify each benefit to which it applies, and it must specify only one method by which the benefit shall be paid to the alternate payee.

3. If any benefit is to be paid using the Marital Portion Benefit Calculation, the QILDRO must comply with Code Section 1-119(n)IX and the QILDRO must contain language in conformance with Section 1-119(n)IX(1) and (2) properly completed. The "other" option must only be checked for the purpose of using a combination of permissive service and regular service. If the "other" option is checked, a supplemental order stating the details of the combination must accompany the QILDRO. The supplemental order must not purport to establish a formula differing from the ones appearing under Code Section 1-119(n) or purport to create new classes of service credit.

4. If the member is a participant of the Traditional or Portable Benefit Package, the order must designate whether the alternate payee will receive automatic annual increases as provided under Code Section 1-119(n)IV.

5. If the member is a participant of the Self-Managed Plan who has an account balance, then the QILDRO may only provide for the division of the account balance as of a certain date. If the Self-Managed Plan member is receiving benefits under an annuity contract, then the QILDRO may only divide the member's retirement benefit or death benefit, if any, or both.

c) The following additional requirements apply only to the QILDRO Calculation Court Order:

1. The QILDRO Calculation Court Order must allocate benefits consistent with the underlying QILDRO. Benefits that will never become payable on or after the date the QILDRO Calculation Court Order is filed need not be allocated under the QILDRO Calculation Court Order

2. Benefits allocated using a calculation method on the QILDRO Calculation Court Order must contain a clear result of the equation. SURS is not obligated to review or verify the equations or assist in the calculations to determine the benefits.

History

• Source: Amended at 41 Ill. Reg. 11606, effective September 1, 2017

80 Ill. Adm. Code 1600.610 Invalid Orders

An order failing to satisfy all the applicable requirements under Section 1600.605 shall be invalid and shall not cause the member's benefits to be divided or reduced absent the submission of a new order satisfying those requirements. The new order shall not be treated as a modified order under Section 1600.620 and shall not be implemented retroactively.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.615 Filing a Qildro with the System

a) A QILDRO or QILDRO Calculation Order should be sent to the SURS Legal Department, accompanied by the consent form, if applicable, and the $50 non-refundable processing fee.

b) A QILDRO or QILDRO Calculation Order will be deemed received by SURS on the date it is file-stamped as received at the SURS office.

c) Within 45 calendar days after receiving a QILDRO or QILDRO Calculation Order, SURS will review the order and notify the member and each alternate payee by first-class mail that it has received the QILDRO or QILDRO Calculation Order, and whether it is a valid order. If SURS determines that the order is not a valid QILDRO or QILDRO Calculation Order, the notice will specify the reasons.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.620 Modified Qildros

a) A QILDRO or QILDRO Calculation Order that has been modified by the issuing court must be submitted in the same manner as the original order. A separate $50 non-refundable processing fee is required for each modified order.

b) A modified QILDRO will hold the same priority of payment that the original QILDRO held, as long as it does not increase the dollar amount or percentage of any benefit payable to the alternate payee or affect a different benefit that was not previously affected (other than automatic annual increases). A modified QILDRO Calculation Court Order will not affect the priority of payment of the underlying QILDRO.

c) If a modified QILDRO does increase the amount or affect benefits not previously affected (other than automatic annual increases), it will lose the priority held by the original QILDRO and priority of payment will be based on the date SURS received the modified QILDRO.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.625 Benefits Affected by a Qildro

a) A QILDRO may apply only to the following benefits administered by SURS:

1. A monthly retirement benefit;

2. A single-sum retirement benefit;

3. A termination refund;

4. A partial member's refund; and

5. A death benefit.

b) If a QILDRO specifies a dollar amount payable to an alternate payee from any partial member's refund that becomes payable, the aggregate amount paid to the alternate payee from all partial member's refunds shall not exceed the dollar amount specified in the QILDRO.

c) A QILDRO shall not apply to any of the following:

1. A monthly survivor benefit;

2. A disability benefit;

3. A disability retirement annuity; and

4. An error refund.

d) Any option under a paragraph pertaining to a benefit that is left blank shall be interpreted to not apply to the order. If all options under a particular benefit are blank, then the alternate payee shall not receive any portion of the benefit.

e) Any QILDRO or QILDRO Calculation Court Order purporting to apply to any accelerated pension benefit payment under Section 15-185.5 or 15-185.6 of the Code shall be accompanied by a stipulated court order directing the manner and amounts of the division of the payment. If the payment would diminish any amounts payable to any other alternate payee having priority over the current alternate payee, payment shall not be divided unless all affected parties have entered into stipulated court orders directing the manner of the division of the payment.

History

• Source: Amended at 43 Ill. Reg. 8562, effective July 26, 2019

80 Ill. Adm. Code 1600.630 Effect of a Valid Qildro

a) Timing of Effect. In no event shall a QILDRO apply to any benefit paid by SURS before or within 30 days after the order is received. [40 ILCS 5/15-119(c)(3)] SURS shall not delay the payment of any benefit to a member due to the receipt of a QILDRO. In addition to the foregoing, the following shall apply:

1. Retirement Benefits. A provision under a QILDRO dividing a retirement benefit under Section 1-119(n)III of the Pension Code shall take effect as ordered under either Section 1-119(n)III(B) or (C) of the Pension Code.

2. Member's Refunds and Death Benefits. A provision under a QILDRO dividing a member's refund or death benefit shall take effect when the member's refund is paid or as soon as administratively possible after the member's death.

3. Self-Managed Plan Accounts. A QILDRO pertaining to a member of the Self-Managed Plan having an account balance shall only divide the vested account balance between the member and the alternate payee as of a certain date (or the closest valuation date if the plan provider cannot provide a valuation on the date specified). The division shall be made in relation to a dollar amount, a percentage of the gross balance, or a percentage of a balance derived from the marital period. The System shall process the division as soon as administratively possible after receipt of the QILDRO or, if required, the QILDRO Calculation Court Order. If the QILDRO divides the member's account balance in accordance with this subsection (a)(3), the System shall ignore purported divisions of other benefit types.

b) Timing of Payments. Benefits subject to a QILDRO shall be paid in the following manner:

1. Dollar Divisions. If a retirement benefit, member's refund or death benefit is divided by a dollar amount, then the payments shall be made when the QILDRO takes effect under subsection (a).

2. Percentage Divisions. If a retirement benefit, member's refund or death benefit is divided as a percentage of the gross benefit or as a percentage of the marital portion of the benefit, payment shall be made as soon as administratively possible upon the receipt of a valid QILDRO Calculation Court Order.

A) Withholding of Anticipated Payments. If the member participates in the Traditional or Portable Benefit Packages prior to the receipt of a QILDRO Calculation Court Order, SURS shall withhold an amount from a member's retirement benefit for which a QILDRO is effective under subsection (a). The member and any other alternate payees shall be paid the remaining portion of the benefit in their order of priority.

i) If the division is by a percentage of the gross benefit, then the amount withheld shall be calculated by applying the applicable percentage to the benefit.

ii) If the division is by a percentage of the marital period, then the amount withheld shall be calculated by applying the applicable percentage and by assuming that all service, contributions, interest or earnings attributable to periods between the marriage date and the date of dissolution are attributed to the marital period. Any academic year containing a portion of the marital period shall, in its entirety, be considered part of the marital period for this purpose.

iii) If SURS cannot reasonably determine from the QILDRO alone the amount to be withheld, neither the member nor the alternate payee shall be paid until the QILDRO is modified to allow for a reasonable determination of the anticipated payment or until a QILDRO Calculation Court Order is received.

iv) If SURS discovers that it has over-withheld due to the receipt of a QILDRO Calculation Court Order, the excess shall be distributed to the member and any other alternate payees in their order of priority. SURS shall not pay any interest to the member or any other alternate payees for any amounts over-withheld.

v) If SURS discovers that it has under-withheld due to the receipt of a QILDRO Calculation Court Order, SURS shall make a deduction from the remaining portion of the next monthly retirement benefit payable and pay the deducted amounts to the alternate payee as soon as administratively possible. The deduction rate shall be no more than 50% of the remaining monthly retirement benefit payment net of tax or insurance withholdings. The deduction shall recur for each monthly retirement benefit payment thereafter until the alternate payee is paid the under-withheld amount in full. SURS shall not pay any interest to the alternate payee for any amounts under-withheld.

vi) In the event that a QILDRO terminates upon the death of the alternate payee before a valid QILDRO Calculation Order is received, all withholdings shall revert to the member and to other alternate payees in their order of priority. SURS shall not pay any interest to the member or any other alternate payees for any amounts so withheld.

B) Preliminary Estimated Payments. If a member is receiving preliminary estimated payments under Section 1600.420 and a QILDRO Calculation Court Order is required for payment under this subsection (b)(2), the retirement benefit shall not be finalized until a QILDRO Calculation Court Order is received by the System.

3. Self-Managed Plan Accounts. If the division is a percentage of the gross account balance or of the balance derived from the marital period, a QILDRO Calculation Order must be received before the account is divided. Upon a division of the account, the alternate payee shall have the option of receiving his or her portion of the account balance in the form of a lump-sum payment or maintaining a separate account with the service provider. The maintenance of an account balance shall not create rights under the Self-Managed Plan for the alternate payee other than the investment and distribution of his or her account.

c) Priority of Payments

1. Recouping Overpayments. If a member, survivor or other beneficiary was overpaid benefits, any benefits payable shall be applied to the overpayment before any QILDRO is applied.

2. If a benefit is subject to multiple QILDROs, each QILDRO shall be satisfied in the order in which it was received until the benefit is exhausted.

3. The alternate payee shall be paid a portion of the death benefit to which the QILDRO applies before any death beneficiary or estate.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.635 Qildros Against Persons Who Became Members Prior to July 1, 1999

a) In accordance with Section 1-119(m)(1) of the Pension Code, a QILDRO that applies to a person who became a SURS member prior to July 1, 1999 must be accompanied by the original Consent to Issuance of QILDRO signed by the member. A consent form signed by a judge, sheriff or any other person other than the member is invalid. A QILDRO issued on or after July 1, 2006 that modifies a QILDRO issued prior to July 1, 2006 must be accompanied by an original Consent to Issuance of QILDRO signed by the member on or after July 1, 2006.

b) If the original is unavailable, a certified copy of the consent form filed with the court that issued the QILDRO is acceptable in lieu of the original.

c) The Consent to Issuance of QILDRO must be in the form adopted by SURS (including judicial district and county, case number and caption, member's name and SSN, alternate payee's name and SSN, member's signature and date) as of the date the QILDRO is received; otherwise it will be deemed invalid. The required consent form is available from SURS upon request.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.640 Alternate Payee's Address

a) An alternate payee is responsible to report to SURS, in writing, each change in his or her name and residence address.

b) When a member's retirement benefit or refund subject to a QILDRO becomes payable, SURS will send notice to the alternate payee's last known address that the retirement benefit, refund or death benefit is payable. Beyond that, SURS shall have no duty to take any other action to locate an alternate payee.

c) If the notice is returned undelivered, SURS will hold the amount payable to the alternate payee, as provided in Section 1-119(e)(2) of the Pension Code for 180 days from the date SURS sent the notice or 180 days from the date the benefit becomes payable, whichever is later. The amount held will not bear interest.

d) If SURS is notified of the alternate payee's current address within 180 days, SURS will release the amount held to the alternate payee. If SURS does not learn of the alternate payee's current address within 180 days, SURS will release the amount held to the member.

e) If SURS later learns of the alternate payee's current address, SURS will implement the QILDRO, but the alternate payee will have no right to any amounts already paid to the member.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.645 Electing Form of Payment

a) A member whose benefit is subject to a QILDRO may not elect a form of payment that would diminish the amount payable to the alternate payee, unless the alternate payee has consented to such election in a notarized written statement submitted to SURS, as provided in Section 1-119(j)(1) of the Pension Code [40 ILCS 5/1-119(j)(1)].

b) A member's election either to receive or forego a proportional annuity under the Retirement Systems Reciprocal Act [40 ILCS 5/Art. 20] is not a prohibited election under Section 1-119(j)(1) of the Pension Code.

c) A member's election to take a refund is not a prohibited election under Section 1-119(j)(1) of the Pension Code.

d) A member's election of a form of payment of annuity that reduces the member's total benefit, while still allowing full payment to the alternate payee under a QILDRO at the date of the election, is not a prohibited election under Section 1-119(j)(1) of the Pension Code.

e) If there is some question as to whether an election would diminish the amount payable to an alternate payee, SURS may hold the election until clarification is obtained from a court of competent jurisdiction. It shall be the duty of the member or alternate payee to obtain clarification.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.650 Automatic Annual Increases

a) The alternate payee will or will not receive a proportionate share of any automatic annual increase in the member's retirement benefit under Section 15-136 of the Pension Code, according to the designation in the QILDRO.

b) Except as provided in subsection (c) of this Section, the initial increase in the amount due the alternate payee under the QILDRO is payable with the next succeeding increase in the member's retirement benefit after the date the QILDRO first took effect.

c) If the QILDRO first takes effect in the same month the member's retirement benefit is increased, the alternate payee's initial increase is not payable until the next increase in the member's retirement benefit.

d) SURS will calculate the amount of any increase payable to the alternate payee under the QILDRO.

e) The amount of any increase payable to the alternate payee is the percentage of increase applied to the member's retirement benefit under Section 15-136 of the Pension Code, multiplied by the alternate payee's monthly benefit as of the date of the increase.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.655 Expiration of a Qildro

a) A QILDRO expires upon the death of the alternate payee. The right to receive the affected benefit will then revert to the member.

b) A QILDRO expires upon the death of the member, except to the extent that the order pertains to a death benefit.

c) A QILDRO expires when the member takes a refund that terminates his or her participation in SURS. This is true even if the member's refund is paid to an alternate payee. A QILDRO that expires because the member took a refund is not renewed by his or her subsequent return to SURS membership.

d) If a retired member returns to work, the QILDRO payments may be suspended. If so, the payments will resume when the member retires again.

e) A QILDRO expires by its terms or upon receipt of a certified copy of a court order terminating the QILDRO.

f) A QILDRO expires after the specified number of payments have been made to the alternate payee under Section 1-119(n)III(D)(2) of the Pension Code, unless the alternate payee is to receive all or a portion of the death benefit.

g) The QILDRO expires upon payment of a death benefit or portion of the benefit to the alternate payee under Section 1-119(n)VII of the Pension Code.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.660 Reciprocal Systems Qildro Policy Statement

It is the policy of SURS to administer QILDROs in a manner consistent with the Policy Statement of the Association of Retirement Systems on Qualified Illinois Domestic Relations Orders (the Reciprocal Systems QILDRO Policy Statement). To the extent that there is any conflict between this Subpart and the Reciprocal Systems QILDRO Policy Statement, this Subpart shall control.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.665 Providing Benefit Information for Divorce Purposes

a) Information by Subpoena or Member Request. SURS shall provide the information listed under Section 1-119(h)(1) of the Pension Code within 45 days after receipt of a subpoena from any party to a proceeding for declaration of invalidity of marriage, legal separation or dissolution of marriage in which a QILDRO may be issued, or after receiving a request from the member. If so requested in the subpoena, SURS shall also provide in response general retirement plan information available to a member and any relevant procedures, rules or modifications to the model QILDRO.

b) QILDRO Division by Percentages. If a QILDRO provides for the alternate payee to receive a percentage of the gross or marital portion of a benefit, SURS shall provide the applicable information to the member and the alternate payee, or to one designated representative of each, as indicated below:

1. Self-Managed Plan Account Divisions under Section 1-119(h)(1.5)(A) of the Pension Code. If a member is a participant in the Self-Managed Plan and the QILDRO provides that the only benefit the alternate payee is to receive is a percentage of the member's vested account balance on a specific date that has already passed, within 45 days after SURS receives the QILDRO SURS shall provide the account balance to which the QILDRO percentage is to be applied.

2. Preliminary Information under Section 1-119(h)(1.5)(B) of the Pension Code. SURS shall provide the information listed under Section 1-119(h)(1.5)(B) of the Pension Code within 45 days after receipt of the QILDRO.

3. Finalized Information under Section 1-119(h)(1.5)(C) of the Pension Code. SURS shall provide the information under Section 1-119(h)(1.5)(C) of the Pension Code within 45 days after receipt of the QILDRO if received after the effective date of retirement. If the QILDRO is received before the effective date of retirement, SURS shall provide the information within 45 days after all information necessary for the finalization of the member's benefits has been received.

4. Death Benefit Information under Section 1-119(h)(1.5)(D) of the Pension Code. If the QILDRO divides a death benefit, SURS shall provide the information required under Section 1-119(h)(1.5)(C) of the Pension Code within 45 days after receipt of notice of the member's death or when administratively practicable, whichever is later.

c) Information provided by SURS for divorce purposes does not include the value of a member's retirement benefit accrued during an academic year for which data are not yet on file with SURS.

d) Information provided by SURS for divorce purposes does not reflect an actuarial opinion as to the present value of a member's retirement benefit, refund or other interests.

e) Information provided by SURS for divorce purposes reflects the member's total service career for which service credit in SURS has accrued, and is not isolated as to the marital period only.

f) While SURS makes every effort to provide accurate information for divorce purposes, benefit estimates are by their nature approximate and subject to revision due to errors, omissions, erroneous assumptions, or future changes in the rules and laws governing SURS.

g) SURS does not disclose information for divorce purposes to spouses, former spouses, relatives or other third parties, including the member's attorney, except in response to the member's written authorization to release the information, in response to a subpoena, or in accordance with subsections (a) and (b) of this Section.

History

• Source: Amended at 33 Ill. Reg. 10757, effective July 1, 2009

80 Ill. Adm. Code 1600.700 Nomination of Candidates

a) The Board Secretary shall determine the number and type of Board positions to be filled at an election. The Secretary shall announce the election by October 1 preceding the next election.

b) Any candidate for an open contributing membership position on the System's Board of Trustees:

1. Shall be, on the date voter eligibility is determined pursuant to Section 1600.715, an employee who has been certified as a SURS covered employee by the employee's employer and an employee for whom employee contributions have been received in the previous 31 days;

2. Shall be nominated by a written petition and/or if offered by SURS, by a petition with electronic signatures submitted via an independent, secure third-party vendor selected by SURS, signed by no fewer than 400 individuals who, as of the date of signing, were participants. Each candidate must submit their own petition and/or obtain electronic signatures on behalf of their own candidacy. Single petitions listing multiple candidates will not be accepted.

c) Any candidate for an open annuitant position on the System's Board of Trustees:

1. Must have been an annuitant for at least one full year prior to the Election Date as determined pursuant to Section 1600.705;

2. Shall be nominated by a written petition and/or offered by SURS, by a petition with electronic signatures submitted via an independent, secure third-party vendor selected by SURS, signed by no fewer than 100 individuals who, as of the date of signing, were annuitants. Each candidate must submit their own petition and/or obtain electronic signatures on behalf of their own candidacy. Single petitions listing multiple candidates will not be accepted.

d) For purposes of determining whether a SURS member is a contributing member, participant, or annuitant pursuant to this Subpart G:

1. A SURS member who is a contributing member or participant in the Self-Managed Plan, described in Section 15-158.2 of the Pension Code, is eligible under the same terms as SURS members who are in the traditional or portable benefit package, described in Sections 15-103.1 and 15-103.2, respectively, of the Pension Code, and a benefit recipient pursuant to an annuity contract purchased under the self-managed plan is an annuitant;

2. A SURS member receiving a preliminary estimated payment pursuant to Section 1600.420 is an annuitant;

3. A SURS member receiving a disability pursuant to Section 15-150 of the Illinois Pension Code is not an annuitant, but is considered a contributing member for purposes of Board elections.

e) All candidates must complete an application in the form adopted by the System. Candidate application forms may be obtained from the Board Secretary, upon written or oral request by the candidate, on or after October 1 immediately preceding the Election Date. The completed candidate application form shall be submitted to the Board Secretary by the December 31 immediately preceding the Election Date.

f) The Board Secretary shall determine the eligibility of candidates pursuant to the Illinois Pension Code and this Part. If a candidate should become ineligible for the Board position after submission of the candidate application form, but before the election, the Board Secretary shall declare the candidate ineligible and remove that candidate from the ballot. If a candidate should become ineligible for the Board position after the printing of the ballots, the ineligible candidate's votes shall not be counted.

History

• Source: Amended at 45 Ill. Reg. 6649, effective May 11, 2021

80 Ill. Adm. Code 1600.705 Election Date/Election Day – Defined

a) The term "Election Date" or "Election Day" shall mean May 1.

b) If the Election Day falls on a Saturday, Sunday or holiday, the election will be held the next day on which the System is open for business. The final tabulation of ballots shall be completed on the next business day after Election Day.

History

• Source: Added at 35 Ill. Reg. 10952, effective June 22, 2011

80 Ill. Adm. Code 1600.710 Petitions

a) All petitions shall be in the form adopted by the System. Petition forms may be obtained from the System on or after October 1 immediately preceding the Election Date. The petition forms may be photocopied for use by the candidates. If offered by SURS, petition signatures can also be submitted electronically via an independent, secure third-party vendor selected by SURS to accept electronic signatures.

b) A valid petition nominating a candidate for an open contributing membership position or an open annuitant position on the System's Board of Trustees shall meet the following requirements:

1. On page one of the petition the potential candidate must sign the petition as one of the nominating signatories. The signature shall constitute the potential candidate's confirmation that he or she is willing to be a candidate. If using the offered third-party vendor for submitting electronic signatures, the candidates may submit their own signatures electronically as well.

2. The petition must bear the requisite number of original signatures of individuals eligible to nominate the candidate, as established by Section 1600.700(b) or (c). A valid petition may consist of multiple pages and may contain blank signature lines; however, all valid signatures must be original signatures unless they are submitted via an offered third-party vendor. Each candidate must submit their own petition and/or obtain electronic signatures on behalf of their own candidacy. Single petitions listing multiple candidates will not be accepted.

3. Each original or electronic signature of an eligible voter must be accompanied by the signing person's name (printed), home address (street and city), and SURS employer (or last SURS employer). Signatures that are not accompanied by a full permanent address will not be accepted.

4. Petitions may be circulated for signatures commencing the October 1 immediately preceding the applicable Election Date and ending on January 31.

5. An individual eligible to sign a petition nominating a candidate for an open contributing membership position on the Board may sign original and/or electronic petitions for as many contributing membership position candidates as desired.

6. An individual eligible to sign a petition nominating a candidate for an open annuitant position on the Board may sign original and/or electronic petitions for as many annuitant candidates as desired.

7. Original-hardcopy petitions shall bear the notarized signature of the individual who circulated the petition for signatures, verifying that the signatures contained on the petition were signed in that individual's presence and are genuine, and that, to the best of the circulating individual's knowledge, the persons who signed the petition were eligible to do so under Section 1600.700(b) or (c). These requirements do not apply to petition signatures submitted electronically through the third-party vendor offered by SURS.

8. Original petitions and petitions with electronic signatures shall be filed with and must be received by the Board Secretary by the January 31 immediately preceding the Election Day. Petitions received after the prescribed petition-filing period are invalid and will not be counted.

c) The Board Secretary shall determine the validity of petitions pursuant to the Illinois Pension Code and this Part not less than 75 days prior to the Election Day and notify all candidates in accordance with the election calendar whether their petitions met all petition requirements. Candidates filing conforming petitions will be added to the slate of candidates on the respective ballot.

d) Any individual may, upon reasonable notice to the System, examine the petitions that have been filed with the System with respect to the election to take place; provided, however, that in order to protect the signing participants' and annuitants' privacy and confidentiality, the examination shall be subject to the following limitations:

1. Petitions that are examined will be duplicate copies of the original petitions filed and/or printouts of electronic signatures filed, with any confidential information redacted;

2. Petitions and electronic signatures may only be examined at the System's offices after the validity of the petitions has been verified by the Board Secretary as provided in subsection (c); and

3. Petitions and electronic signatures may not be removed from the System's offices, copied, or duplicated by any means.

e) Challenge to the Petition Validation Process

1. The challenger shall submit a written statement identifying the specific aspects of the petition validation process that is being challenged.

2. All challenges shall be submitted to the Board Secretary no later than 7 days after the petition validation notification required in subsection (c). Any challenge submitted more than 7 days after the date of the notification shall not be considered. The Board Secretary shall transmit any challenges to a 3 member committee of the Board, comprised of members of the Board not running in the contested election.

3. The committee shall consider the written statement and proceed to make a final determination with respect to the challenge.

4. A written notice of the final determination shall be sent to the challenger and all candidates within 7 days after making the determination.

5. The determination of the committee shall constitute a final administrative decision for purposes of the Administrative Review Law [305 ILCS 5/Art. III].

History

• Source: Amended at 49 Ill. Reg. 3321, effective February 26, 2025

80 Ill. Adm. Code 1600.715 Eligible Voters

a) An individual is eligible to vote for a contributing membership position on the Board of Trustees of the System if he or she was a contributing member, defined as an employee who has been certified as a SURS covered employee by the employee's employer and an employee for whom employee contributions have been received in the previous 31 days, except as provided for in subsection (e), as of March 1 of the year in which the election is held.

b) An individual is eligible to vote for an open annuitant position on the Board of Trustees of the System if he or she was an annuitant as of March 1 of the year in which the election is held.

c) A person who is eligible to vote for a contributing membership position pursuant to subsection (a) is not eligible to vote for an open annuitant position.

d) A person who is eligible to vote for an annuitant position pursuant to subsection (b) is not eligible to vote for an open contributing membership position.

e) A SURS member receiving a disability pursuant to Section 15-150 of the Illinois Pension Code is not an annuitant but is considered a contributing member for purposes of Board elections.

History

• Source: Amended at 44 Ill. Reg. 17714, effective October 22, 2020

80 Ill. Adm. Code 1600.720 Election Materials

a) The Board Secretary may procure a qualified election services vendor and determine the voting methods, specific voting instructions and security measures to be used in the election, subject to the approval of the Board.

b) At least 30 business days prior to the Election Day, the following election materials shall be emailed to the eligible voter's latest email address known to the System:

1. Electronic instructions for accessing an electronic ballot listing, in order determined by random, blind lottery conducted by the Board Secretary, either the contributing membership candidates or the annuitant candidates, depending on the basis for the individual's eligible voter status as provided in Section 1600.715, using the entire name of each candidate in the System records on the first day nomination petitions can be accepted;

2. Instructions for accessing candidate provided biographies in the location, format and length specified and approved by the Board Secretary;

3. Instructions for voting methods as specified by the Board Secretary, including instructions for voting online or by phone. These instructions will also include the voting deadline.

4. Instructions for requesting from the election vendor a mailing of the preprinted election materials specified in subsection (c). Individual eligible voters may choose to request hard copy materials, including a hard copy ballot, from the election vendor even if they have a valid email address on file with SURS. If a request is made for a hard copy ballot, the eligible voter can cast his or her vote online, by phone, or by returning the hard copy ballot by the election deadline. Only the first ballot received by the election vendor will be counted.

c) For voters without a valid email address on file with SURS, at least 30 business days prior to the Election Day, and for voters for whom the email delivery attempt in subsection (b) was unsuccessful, as soon as administratively practicable after the election vendor is notified that the email delivery attempt was unsuccessful, the following election materials shall be mailed to the eligible voter's latest mailing address known to the System:

1. A preprinted paper ballot listing, in order determined by random, blind lottery conducted by the Board Secretary, either the contributing membership candidates or the annuitant candidates, depending on the basis for the individual's eligible voter status as provided in Section 1600.715, using the entire name of each candidate in the System records on the first day nomination petitions can be accepted;

2. Preprinted paper candidate provided biographies in the format and length specified and approved by the Board Secretary;

3. Instructions for voting methods specified by the Board Secretary, including instructions for voting online, by phone or by regular mail. These instructions shall also include the voting deadline;

4. A preprinted, return envelope.

d) If an eligible voter is unable to access his or her election materials as specified in subsection (b) or did not receive the preprinted election materials mailed to him or her as specified in subsection (c), the eligible voter may request that the election vendor send replacement election materials to him or her by providing a current mailing address or a valid email address. Preprinted paper ballots, candidate biographies and other election information will not be mailed out within 5 business days prior to the Election Date; however, electronic ballots and instructions for accessing candidate election information will be electronically transmitted if authorized by the eligible voter at least one day prior to the Election Date. If an eligible voter incorrectly marks or spoils his or her paper ballot prior to returning it, the eligible voter may request a new set of election materials from the election vendor at least 5 business days prior to the Election Date. Paper ballots already mailed to the election vendor, or electronic or phone ballots that have already been cast by the eligible voter, shall not be replaced or revoked. The member's identity as an eligible voter shall be authenticated prior to sending out replacement election materials.

e) If previously mailed election materials are returned to the election vendor undelivered at least 5 business days prior to the Election Date and a forwarding address has been provided, the election vendor shall mail election materials to the forwarding address via first class U.S. mail.

f) In addition to the election materials distributed by the election vendor, SURS will post candidate biographies, in the format and length specified and approved by the Board Secretary, on its website at least 30 days prior to the election.

History

• Source: Amended at 41 Ill. Reg. 15353, effective December 5, 2017

80 Ill. Adm. Code 1600.725 Casting Votes

A valid ballot, whether paper or electronic, must conform to the following requirements:

a) All choices of candidates must be clearly indicated as directed on the voting instructions. If paper ballots are not marked as directed, the marks are invalid and the associated votes will not be counted. An invalid mark for one candidate will not negate other valid marks on the ballot.

b) Each eligible voter is entitled to only one vote for any particular candidate.

c) With respect to a ballot on which more than one trustee is to be elected, each eligible voter may vote for only one candidate for each position to be elected. If more candidates are selected than the number of positions to be elected, the ballot is invalid and will not be counted. If the number of candidates selected is fewer than the number of positions to be elected, the selection or selections will each count as only one vote.

d) Only official SURS paper ballots or votes received via other authorized voting methods will be counted. Write-in candidates are invalid and will not be counted.

History

• Source: Amended at 38 Ill. Reg. 17457, effective July 30, 2014

80 Ill. Adm. Code 1600.730 Return of Ballots and Ballot Counting Process

a) For paper ballots, upon receipt of the election materials specified in Section 1600.720, the eligible voter shall:

1. Mark his or her ballot in accordance with Section 1600.725;

2. Place the completed ballot into the return envelope provided;

3. Seal and mail, via U.S. mail only, the return envelope; and

4. Mail paper ballots in the return envelope provided. The ballot shall be mailed only to the address on the envelope. Paper ballots delivered to the System in bulk, via hand delivery, by campus mail, or delivery other than as specified in this subsection (a)(4) are invalid and will not be counted.

b) Ballots must be received by the close of business on Election Day. Ballots received after Election Day are invalid and will not be counted. A record of the receipt date of each ballot will be maintained.

c) When multiple voting methods are authorized, the first ballot cast will be counted as the official ballot and any subsequent votes will not be counted. The Board Secretary will develop procedures to ensure that only one ballot may be received from each eligible voter.

d) The Board Secretary will develop minimum standards to ensure ballots are properly recorded, secured, tabulated and retained.

e) When all eligible ballots have been counted and tabulated, the necessary number of contributing members and annuitants who have received the greatest number of votes will be elected trustees; provided, however, the Board Secretary will ensure that, for the final composition of the Board, no more than 2 of the 4 contributing members are current employees of the University of Illinois at any of the campuses (Urbana-Champaign, Chicago, or Springfield) and no more than one of the 2 annuitants was last employed prior to retirement by the University of Illinois at any of the campuses. If the maximum number of University of Illinois positions has been filled, then any remaining positions shall be filled as follows:

1. The remaining contributing member trustee positions will be filled by the contributing member nominees who are not current employees of the University of Illinois at any of the campuses and who received the greatest number of votes.

2. The remaining annuitant trustee positions will be filled by annuitant nominees who were not last employed prior to retirement by the University of Illinois at any of the campuses and who received the greatest number of votes.

3. In case of a tie, the contributing member nominee or annuitant nominee who will be elected will be determined by blind, random drawing.

4. The results of the election process then will be declared by the Board Secretary.

f) The Board Secretary will certify to the Board the elected trustees by category and term of office. The Board Secretary will further certify the place of employment for each contributing member and the last place of employment prior to retirement for each annuitant.

g) In any trustee election that can be filled by one or more candidates who are currently employed by or were last employed by any of the University of Illinois campuses, if the number of the highest vote-getting candidates affiliated with the University of Illinois campuses would cause the Board to exceed the participant limit of 2 established by Section 15-159(d)(3) or the annuitant limit of 1 established by Section 15-159(d)(4) of the Code, those candidates shall be seated, in order beginning with the longest elected term available, until the applicable limit of University of Illinois trustees is reached. All remaining University of Illinois affiliated candidates shall immediately be disqualified regardless of the number of votes they received or the elected term for which they ran. Each remaining seat shall then be filled by the non-University of Illinois candidate receiving the highest number of votes for that seat.

History

• Source: Amended at 45 Ill. Reg. 2259, effective February 5, 2021

80 Ill. Adm. Code 1600.735 Certification of Ballot Counting

The ballot tabulating process shall be certified to the System in writing by an independent consultant at least 7 days prior to the Election Day. The election results shall be certified to the System either by an independent consultant or by the entity tabulating the results. The ballot tabulation process and election results will not be disclosed or announced until written certification is provided to the System.

History

• Source: Added at 35 Ill. Reg. 10952, effective June 22, 2011

80 Ill. Adm. Code 1600.740 Challenges to Election Results

a) Any challenge to the election results shall be made in the following manner:

1. The challenger shall submit a written statement identifying the specific aspects of the election results that are being challenged.

2. All challenges shall be submitted to the Board Secretary no later than 7 days after the election results have been certified. Any challenge submitted more than 7 days after the election results have been certified shall not be considered.

b) The written statement timely submitted in accordance with subsection (a) shall be presented to and considered by the Board at the next regularly scheduled quarterly meeting of the Board. The challenger shall have no right to make a presentation at the Board meeting. The Board shall, in its sole discretion, determine what steps, if any, need to be taken in response to the challenge, including, but not limited to, modifying the election results declared.

c) In the event that election results have already been declared, the election results shall remain valid pending determination of any challenge.

d) A written notice of the final determination shall be sent to the challenger and all candidates within 7 days after making the determination. This notice shall constitute a final administrative decision of the Board for purposes of the Administrative Review Law.

History

• Source: Added at 35 Ill. Reg. 10952, effective June 22, 2011

80 Ill. Adm. Code 1600.745 Candidate Informational Communication

During any election period commencing the January 1 immediately preceding the Election Date and ending the day after the Election Date, the System will make available a blind mailing list containing address files or e-mail lists of eligible voters for election candidates or other organizations to send additional informational material about the candidate.

a) The System may assist an organization in sending out one e-mail or hardcopy communication per candidate per election cycle by providing a blind mailing list to a third-party service firm hired by the organization. Organizations must validly exist pursuant to law and must provide a mailing address and contact information to the System at the same time that a request is made for a blind mailing list.

b) The System may assist each candidate with sending out one communication per election cycle by:

1. providing a blind mailing list to a third-party service firm for an e-mail or hardcopy communication; or

2. sending an e-mail communication through a third-party service firm hired by the System.

c) All third-party service firms must limit the use of the blind mailing list to ensure only one communication is distributed per candidate, per organization. The third-party service firm must guarantee security of the blind mailing list and only use the member contact information for communication of candidate informational materials.

d) The System will not incur any of the costs to produce, mail or e-mail the additional candidate information, except for the one e-mail communication referenced in subsection (b)(2).

e) Regardless of the source of distribution, whether the communication is distributed by SURS or a SURS-approved third-party service firm, the contents of the informational materials must be approved by the SURS Board Secretary prior to the mailing or e-mailing.

History

• Source: Amended at 48 Ill. Reg. 4218, effective February 29, 2024

80 Ill. Adm. Code 1600.750 Filling a Vacancy in the Term of an Elected Trustee

a) A vacancy occurring in the elected membership of the Board shall be filled by the elected trustees as prescribed in Section 15-159(e) of the Pension Code.

b) The elected trustees shall fill an unexpired term with currently eligible candidates or replacements otherwise satisfying the conditions in Sections 1600.700(b)(1) or (c)(1) and 1600.730(d) as follows:

1. If an elected trustee position becomes vacant within the first 3 years of a term, the vacant position shall temporarily be filled until the July 15 following the next regularly scheduled Election Date. The remaining 3 years of the term shall be permanently filled at the next available election. However, if a vacancy occurs within 6 months prior to the next election, the remaining elected trustees may choose to leave the position vacant until that election. The vacant position openings and term lengths shall be filled as follows:

A) The vacant position shall be temporarily filled by the elected members using the eligibility rules provided in Section 1600.700(b)(1) and the process rules provided in subsection (b)(3) of this Section.

B) If the vacancy occurs prior to the January 1 immediately preceding the next election, the vacant positions shall be filled for the remainder of the term (years 4-6), through the election process, by adding the appropriate number of available positions to the ballot at the next available election.

C) If a vacancy occurs prior to the January 1 immediately preceding the next election, and an election is required under Section 15-159(e) of the Pension Code, the term lengths shall be determined with the candidates receiving the greatest number of votes awarded the 6 year terms.

D) If a vacancy occurs prior to the January 1 immediately preceding the next election and an election is not otherwise necessary under Section 15-159(e), term lengths shall be determined by blind random drawing.

2. If an elected trustee position becomes vacant within the last 3 years of a term, the vacant position shall be filled for the remainder of the term by the elected members using the eligibility rules provided in this subsection (b) and the process rules provided in subsection (b)(3). However, if a vacancy occurs within 6 months prior to the next election, the remaining elected trustees may choose to leave the position vacant until that election.

3. Unexpired terms will be filled by the elected membership using the process outlined in this subsection (b)(3). The Board Secretary will announce the vacancy via a press release and request nominations be submitted by a certain date in the form adopted by the System. Once the nomination period has ended, the Board Secretary shall determine the eligibility of the candidates pursuant to Section 15-159 of the Pension Code and the eligibility qualifications provided in this subsection (b). The list of eligible nominees will be submitted to all elected members of the Board for consideration of which candidate would best represent the contributing members or annuitants, respectively. Departing elected members shall not be eligible to participate in the replacement process. Majority voting of all elected members will determine the appointee. If the elected members cannot decide on a replacement, the full Board may declare a special election to fill the vacancy.

History

• Source: Amended at 37 Ill. Reg. 15517, effective September 12, 2013

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.10 Annual Financial Report (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.110 Membership Records

a) Every member shall provide information with respect to the member's date of birth, Social Security number and home address including a facsimile of his or her signature.

b) Creditable service and salary are established by submission of reports (filed by the member's employer), an affidavit of a school official based upon existing school records, or copies of contracts, board minutes, memoranda, payroll records and other materials as requested by the System for assistance in making the necessary determinations. If the preceding documentation is unavailable, the member shall submit at least one of the following types of documentation in the following order of priority:

1. Certified records of the Chief Educational Officer of the County in which the member was employed.

2. Income tax records for the entire time period showing employment as a teacher.

3. Certified records of another retirement system.

4. Other contemporaneous documentation that reliably supports the service credit to be established while eliminating the possibility of mistake or fraud.

History

• Source: Amended at 49 Ill. Reg. 3382, effective March 3, 2025

80 Ill. Adm. Code 1650.120 Claims Records (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.130 Individual Accounts (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.140 Ledger and Account Books (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.150 Statistics (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.160 Confidentiality of Records

The Board, its Executive Director, and agents and employees of the System are prohibited from disclosing the contents of a member's, annuitant's, or beneficiary's files, records, papers, or communications except: for purposes connected with the official responsibility of the Teachers' Retirement System; to other systems subject to and participating in the Reciprocal Act; to the Department of Central Management Services for annuitant health insurance purposes; to the Social Security Administration for government pension offset determination and windfall elimination purposes; upon express (e.g., mail, verbal, personal) authorization from the individual whose record is to be released; in response to a subpoena; or when required pursuant to the Freedom of Information Act [5 ILCS 140].

History

• Source: Amended at 39 Ill. Reg. 14989, effective October 30, 2015

80 Ill. Adm. Code 1650.180 Filing and Payment Requirements

a) All employers must file reports with the System including demographic, enrollment and earnings information, together with contributions required under Article 16 of the Illinois Pension Code (Code) [40 ILCS 5], on a pay-period basis.

b) Reports and contributions due for the month must be remitted to the System by the 10th day of the following month. Late contributions and filings will be assessed penalties prescribed by Section 16-155 of the Code, as determined by the System.

c) The employer's report shall be properly completed and shall report service, creditable earnings, and contributions in accordance with applicable laws and rules. The exact statutory amount of contributions must be:

1. deducted from the member's pay; and/or

2. paid on behalf of the member, based on the member's earnings each pay period.

d) Employers are required to file the report via the System's employer portal. All contributions and payments must be remitted to the System via electronic means.

e) Contributions for work performed during the fiscal year are due to the System by July 10 of the following fiscal year. Effective July 1, 2020, employers cannot accelerate the payment of contributions (i.e., send more than the statutory contribution rate) in order to meet the July 10 deadline. Rather, the employer must remit all contributions corresponding with each payroll occurring within that month. To be allowed to remit the appropriate contributions to TRS by the July 10 deadline, employers must report all payrolls that will cover the work performed during the fiscal year ended June 30, even if the members will be paid in July and August. The contributions due are based on the statutory rates in effect for the fiscal year of the report.

f) All employers are required to complete an Annual Certification/Annual Report via the System’s employer portal on or before August 15 of each year. Failure to complete the Annual Certification/Annual Report by the due date shall result in additional amounts due as prescribed by Section 16-155 of the Code.

History

• Source: Amended at 47 Ill. Reg. 9473, effective June 22, 2023

80 Ill. Adm. Code 1650.181 Early Retirement Incentive Payment Requirements (repealed)

History

• Source: Repealed at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.182 Waiver of Additional Amounts Due

a) The System may waive additional amounts due upon good cause shown when:

1. The delinquency is attributable to circumstances commonly known as an "act of God", such as fire, flood, tornado and the like; or

2. The delinquency is attributable to other administrative reasons where no employer negligence is involved; the employer's record indicates a history of good faith and consistent compliance with the System's contribution and reporting requirements; and the employer remits the pay-period reports and required contributions within a reasonable time as determined by the System taking into consideration the reason for delinquency and the period of delinquency.

b) Circumstances purporting to justify a waiver of the additional amounts due must be certified in writing to the System by an authorized representative of the employer requesting a waiver.

History

• Source: Amended at 47 Ill. Reg. 9473, effective June 22, 2023

80 Ill. Adm. Code 1650.183 Definition of Employer's Normal Cost

The employer's normal cost is the employer's portion of the total normal cost of benefits earned by active members during the fiscal year (which shall include the System's estimated administrative expenses for the fiscal year) that is not funded by the estimated contributions of active members for the fiscal year. The total cost of benefits and the employer's normal cost are expressed as percentages of projected active member payroll, actuarially determined, and are approved by the Board of Trustees before the fiscal year begins. The employer's normal cost rate approved by the Board of Trustees shall be used for all calculations that are to be based on the employer's normal cost, except that, for purposes of determining the contribution for optional creditable service under Section 16-128(a)(ii) of the Act, the employer's normal cost rate shall be the total cost of benefits rate for the fiscal year in which such service is verified reduced by the member contribution rate used to determine the amount under Section 16-128(a)(i) of the Act.

History

• Source: Added at 20 Ill. Reg. 3118, effective February 5, 1996

80 Ill. Adm. Code 1650.201 Disability Benefits - Application Procedure; Effective Date

a) Any member claiming a disability benefit under 40 ILCS 5/16-149 or 16-149.1 shall begin the process by filing a written notice with the System.

b) For purposes of determining when nonoccupational disability benefits become payable under 40 ILCS 5/16-149, the following shall apply:

EFFECTIVE DATE

Member files written notice of disability within 90 days from the later of commencement of disability or the date eligibility for salary ceases*.

Yes

No

TRS receives all documentation within six months from the later of the commencement of disability or the date eligibility for salary ceases.

TRS receives all documentation within six months after written notice of disability.

Yes

No

Yes

No

Benefits become payable from the later of the 31st calendar day the member is absent from teaching due to the disability for which benefits are sought or exhaustion of the member's sick leave**.

Benefits become payable on the date TRS receives all documentation required by law.

Benefits become payable on the date TRS receives written notice of disability.

Benefits become payable on the date TRS receives all documentation required by law.

• Eligibility for salary ceases is equal to the later of the date last worked plus 31 days or when sick leave days are completely exhausted

** If sick leave is not paid by the employer, the date sick leave would have been exhausted had the member been paid by the employer.

c) For purposes of determining when occupational disability benefits become payable under 40 ILCS 5/16-149.1, the following shall apply:

EFFECTIVE DATE

Member files written notice of disability within 90 days from the later of commencement of disability or the last day for which salary was paid.

Yes

No

TRS receives all documentation within six months from the later of the commencement of disability or the last day for which salary is paid.

TRS receives all documentation within six months after written notice of disability.

Yes

No

Yes

No

Benefits become payable on the date after the last day for which salary is paid.

Benefits become payable on the date TRS receives all documentation required by law.

Benefits become payable on the date TRS receives written notice of disability.

Benefits become payable on the date TRS receives all documentation required by law.

d) When a member claiming disability benefits is employed under an agreement for less than 12 full months, neither the 31-day waiting period nor the utilization of sick leave requirement, as contained in the definition of "date eligibility for salary ceases" in Section 1650.202, can be satisfied during periods not covered by the agreement. For purposes of granting disability benefits, all employment agreements are presumed to cover one full school term and are automatically renewable at the commencement of the next school term. Satisfactory evidence must be presented of an employment agreement covering a period longer than a full school term (e.g., 10, 11 or 12 months).

e) Whenever a member becomes ineligible to receive a non-occupational or occupational disability benefit due to gainful employment but is subsequently disabled for the same cause within 90 days after the member's or annuitant's last date of eligibility for benefits, benefits shall be reinstated at the previous benefit rate upon written application. Benefits shall commence the day following the last day the member is eligible to receive salary. If more than 90 days have elapsed, benefits shall be reinstated based on the greater of the member's most recent annual contract salary rate at the time the disability benefit becomes payable or the member's annual contract rate on the date the disability commenced.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.202 Disability Benefits - Definitions

For purposes of non-occupational disability benefits under Section 16-149 of the Code and occupational disability benefits under Code Section 16-149.1, the following terms and phrases shall have the following definitions:

"Code" means the Illinois Pension Code [40 ILCS 5].

"Commencement of disability" shall mean the date upon which a member is determined by required medical examination to be "incapacitated to perform the duties of his or her position as a teacher" as defined in this Section.

"Date of application" shall mean the day upon which the System receives in its business offices the written or telefax notice required in this Section notifying the System the member is applying for disability benefits under the provisions of Section 16-149 or 16-149.1 of the Code.

"Date eligibility for salary ceases" shall mean the last date worked plus 31 days, or the date on which all of the member's sick leave is exhausted, whichever occurs later.

"Gainful employment" shall mean current employment from which a member realizes "earned income" as that term is defined in section 32(c)(2) of the Internal Revenue Code in excess of $10,000 in any calendar year, unreduced by contributions to a tax deferred retirement plan account authorized by the Internal Revenue Code, or the pro rata share of $10,000 if less than a calendar year, while in receipt of a disability or occupational disability benefit.

"Incapacitated to perform the duties of his or her position as a teacher" shall mean the physical or mental inability to perform substantially all of the member's assigned job duties at the commencement of disability.

"Licensed physician" shall mean any individual licensed by the state in which he or she practices medicine. All reports submitted to the System shall include the registration number of the physician submitting the report.

"Teacher", for purposes of Sections 16-149(a) and 16-149.1(a) of the Code, shall mean employment in any equivalent position set forth in Code Section 16-106 in this State or another state, territory or by or under the auspices of the United States government.

"Upon application of a member" shall mean the filing of a written or telefax notice by or on behalf of a member notifying the System that the member is applying for disability benefits under the provisions of Section 16-149 or 16-149.1 of the Code.

History

• Source: Amended at 40 Ill. Reg. 14099, effective September 28, 2016

80 Ill. Adm. Code 1650.203 Disability Retirement Annuity – Definitions

For purposes of Section 16-149.2 of the Code, the following terms shall have the following definitions:

"Amount earned by the member" shall mean the member's "earned income" as that term is defined in section 32(c)(2) of the Internal Revenue Code in any calendar year while in receipt of a disability retirement annuity, unreduced by contributions to a tax-deferred retirement plan or account authorized by the Internal Revenue Code.

"Licensed physician" shall have the same definition as in Section 1650.202.

"No longer disabled" shall mean the member is no longer "incapacitated to perform the duties of his or her positions as a teacher" as that phrase is defined in Section 1650.202.

"Teacher" shall have the same definition as in Section 1650.202.

"The standard of disability provided in Section 16-149" shall mean "incapacitated to perform the duties of his or her position as a teacher" as that phrase is defined in Section 1650.202.

History

• Source: Amended at 40 Ill. Reg. 14099, effective September 28, 2016

80 Ill. Adm. Code 1650.204 Gainful Employment - Consequences

A member in receipt of a disability benefit under the provisions of 40 ILCS 5/16-149 or 16-149.1 who engages in "gainful employment" as defined in Section 1650.202 shall have his or her disability or occupational disability benefit terminated as provided in Section 16-149(c) or Section 16-149.1(c), whichever is applicable.

History

• Source: Added at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.205 Medical Examinations and Investigation of Disability Claims

a) A member applying for or receiving benefits pursuant to Section 16-149, 16-149.1 or 16-149.2 of the Code shall furnish the System medical records, earnings statements, Social Security benefit or claim information, federal and state tax returns, and any other information deemed relevant by the System to process the member or annuitant's disability claim.

b) A member or annuitant shall submit to an independent medical examination at the discretion of the System. The cost of independent medical examinations shall be borne by the System.

c) In order to verify continued eligibility to receive disability benefits under the provisions of Section 16-149 or 16-149.1 of the Code, a member shall provide to the System at least annually written certifications by two state licensed and practicing physicians verifying that the member remains disabled and is unable to perform the duties of the position he or she held at the time his or her disability commenced. The physicians' examinations must have occurred within the 90 days prior to the re-examination due date. Certifications shall be accompanied by a medical report fully explaining the basis for the physician's conclusion that the member remains disabled. However, this requirement may be waived, at the System's discretion, if it is determined that the member's medical condition or prognosis is irreversible or terminal and will result in a permanent inability to return to his or her former position.

d) When a disability or occupational benefit terminates and a member elects to retire on a disability retirement annuity, the member shall submit to medical examinations, unless the member's last examinations within the preceding six months substantiate a continuing disability, in which case no new medical examinations are required.

e) An annuitant in receipt of a disability retirement annuity who becomes eligible for an age retirement annuity shall submit to medical examinations to retain disability retirement annuity status, unless the annuitant's last examinations within the preceding six months substantiate a continuing disability, in which case no new medical examinations are required.

f) Failure of a member or an annuitant to submit to medical examinations or to provide information required pursuant to Section 16-149, 16-149.1 or 16-149.2 of the Code will result in a suspension of benefit payments.

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

80 Ill. Adm. Code 1650.206 Physician Certificates

a) Physician certificates are required to be completed by the certifying physician or his or her staff.

b) A physician certificate completed in any part by a member shall not meet the physician certification requirements of 40 ILCS 5/16-149, 16-149.1 or 16-149.2.

History

• Source: Added at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.207 Disability Due to Pregnancy

a) A member who is disabled due to pregnancy as provided in 40 ILCS 5/16-149 shall be allowed to receive a maximum of:

1. eight weeks of disability benefits for a pregnancy involving a Cesarean delivery; or

2. six weeks of disability benefits for a pregnancy involving a normal delivery.

b) However, if complications arise during the pregnancy or as the result of delivery, the period of disability may, upon the submission of appropriate medical documentation, be extended until the member no longer qualifies for benefits under 40 ILCS 5/16-149(c).

History

• Source: Added at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.208 Disability Payments

In determining whether a member is receiving salary as a teacher and, therefore, ineligible to receive disability benefits under the provisions of 40 ILCS 5/16-149, 16-149.1 or 16-149.2, proceeds from disability insurance provided by the employer through a private insurance carrier or through a self-insured disability program shall not be considered salary for purposes of 40 ILCS 5/16-149, 16-149.1 or 16-149.2.

History

• Source: Added at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.209 Computation of Annual Salary When Member Has Different Semester Salary Rates (repealed)

History

• Source: Repealed at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.210 Claim Applications

Any individual claiming a retirement annuity, a disability retirement annuity, a survivor benefit, a disability benefit or an occupational disability benefit shall file an application therefor in the form prescribed by the System. This application, together with the membership record, and such other information as may have been compiled during the membership of the member or submitted by the applicant shall constitute the complete record forming the basis of the claim. An application for survivor benefits shall be accompanied by a certified copy of the death certificate, other public record of death, or a physician's certificate of death. The System may require the claimant to provide a valid depository agreement authorizing funds to be electronically deposited into the recipient's bank account in lieu of paper warrants.

History

• Source: Amended at 43 Ill. Reg. 10791, effective September 23, 2019

80 Ill. Adm. Code 1650.211 Disability Recipient Eligible to Receive an Age or Disability Retirement Annuity

a) A member may file an application to transfer from a nonoccupational or occupational disability benefit to an age retirement annuity or a disability retirement annuity prior to the expiration of the eligibility period for nonoccupational or occupational disability benefits. The effective date of the annuity shall be the first of the month following receipt of the application. An annuitant receiving a disability retirement annuity may, any time after becoming eligible for age retirement, file an application to transfer to an age retirement annuity. The effective date of the age retirement annuity shall be the first day of the month following receipt of the application.

b) At the time a disability retirement annuitant becomes eligible to receive an age retirement annuity, the disability retirement annuitant shall provide the System written certification by two state licensed and practicing physicians verifying that the member remains disabled and is unable to perform the duties of the position he or she held at the time the annuitant's disability commenced. The certifications shall be accompanied by a medical report fully explaining the basis for the physicians' conclusion that the member remains disabled. If the disability retirement annuitant is found to no longer be disabled, he or she shall be placed upon age retirement and receive an age retirement annuity.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.220 Reclassification of Disability Claim (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.221 When Member Becomes Annuitant

A member becomes an annuitant of the System upon cashing his or her first retirement annuity payment or ten calendar days after the date the first retirement annuity payment is deposited in the member's designated bank account by electronic fund transfer.

History

• Source: Added at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.222 Death Out of Service

Death occurring after the System has received an application for a retirement annuity and any outstanding payments from the member is deemed to be a death out of service when calculating survivor benefits.

History

• Source: Added at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.230 Medical Examinations and Investigations of Claims (repealed)

History

• Source: Repealed at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.240 Refunds; Canceled Service; Repayment

a) General Requirements. Under the provisions of the Illinois Pension Code, a member must "separate from service" within the meaning of Section 401(a) of the Internal Revenue Code (26 U.S.C. 401(a)) to be eligible to receive a refund of contributions pursuant to Section 16-151 of the Illinois Pension Code (Pension Code).

b) Separation from Service Requirements. To meet the "separation from service" requirement, a member cannot continue to work or return to work with the member's last employer in a licensed or any other position unless:

1. The member and employer did not agree to nor pre-arrange the member's re-employment before the member's date of termination of employment; and

2. The member is not re-employed by the member's last employer in a licensed or any other position within 30 days after the member's date of termination of employment.

c) Any member eligible to receive a refund of contributions pursuant to the provisions of Section 16-151 of the Pension Code shall, if the member so elects, make a written request for the refund upon a form prescribed by the System. A refund is deemed accepted and membership in the System terminates upon the cashing of a refund warrant.

d) To be credited toward the calculation of a retirement annuity, survivor benefit, or disability benefit, the service canceled by such refund must have been re-established in accordance with the applicable provisions of the Pension Code, by repayment of the refund in full, including statutory interest, prior to the member's retirement, death, or commencement of disability benefits.

e) A member receiving a disability benefit under the provisions of Section 16-149 of the Pension Code is not eligible to receive a refund of contributions until four months following the date for which disability benefits are last paid.

f) Applicability Date. The portion of subsection (b) that restricts a member from continuing to work or returning to work with the member's last employer in a non-licensed position shall not apply to refunds that are requested on or before December 31, 2026.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.250 Death Benefits

a) When two or more beneficiaries are eligible for a survivor benefit and only one qualifies for a periodic payment, the System shall not split the benefit payments so that one person receives a lump sum payment and the other receives an annuity. The beneficiaries shall be paid either the lump sum benefit, or the dependent beneficiary may receive an annuity, provided the non-dependent beneficiary disclaims a lump sum benefit.

b) The phrase "providing for the support of the deceased member's eligible child", as provided in Section 16-141(b)(2) of the Act means providing that support necessary so that the surviving spouse may claim the child as a dependent for federal income tax purposes.

c) The phrase "substantial gainful activity", as provided in Section 16-140(4) of the Act, means the performance of significant duties over a reasonable period of time while working for pay or profit. Full-time work or part-time work done at the employer's convenience in a competitive work situation for at least the minimum wage conclusively shows that the person is able to engage in substantial gainful activity. Certain work offered at qualified locations to physically or mentally impaired persons is considered sheltered employment. The fact that an impaired person has accepted sheltered employment is not proof of the person's ability to engage in substantial gainful activity.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.260 Evidence of Age

a) Whenever evidence of age is required by the System, a birth certificate shall be required unless one cannot be acquired.

b) If no such record can be acquired, the following documents may be substituted:

1. Military records;

2. Marriage record showing date of birth;

3. Evidence of Social Security payments that require attainment of specific age;

4. Church record of birth or baptism;

5. Passport;

6. Valid driver's license; or

7. Two or more documents showing birth dates, such as, but not limited to naturalization papers, insurance policies, school records or medical records.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.270 Reversionary Annuity - Evidence of Dependency

For the purposes of the reversionary annuity provided in Section 16-136 of the Act, the term "dependent" shall include a spouse, an unmarried natural or adopted child under age 18, or any other individual meeting the support requirements set forth herein. If any individual other than a spouse or unmarried natural or adopted child under age 18 is designated by the retiring member, the retiring member must furnish the System with evidence that the retiring member provided over 50% of the support of the designated individual during the 12 calendar months immediately preceding retirement. A copy of the member's federal income tax return, filed for the tax years covering the above 12 month period, shall be required as evidence of dependency.

History

• Source: Amended at 39 Ill. Reg. 14989, effective October 30, 2015

80 Ill. Adm. Code 1650.271 Evidence of Parentage

a) A child born to the wife of a member is presumed to be legitimate.

b) A child conceived out of lawful wedlock shall not receive benefits as an eligible child until parentage has been established.

c) The following evidence shall establish parentage:

1. Certified copy of a court order finding the member was the natural father of the illegitimate child; or

2. Certified copy of a Settlement Agreement which has been approved by a court for the support of an illegitimate child; or

3. Written acknowledgment of paternity (e.g., pleadings filed in any proceeding pending before a court, or submittals to a public agency, or a document signed by the putative father) and evidence (e.g., cancelled checks or receipts from the mother) that the member contributed to the support of the child; or

4. Certified copy of a court order entered pursuant to a declaratory judgment action establishing either a support obligation or visitation rights; or

5. Copy of the public record of marriage when a child is born to a bigamous marriage; or

6. Copy of the public record of marriage of the parents of an illegitimate child who marry and the putative father acknowledges parentage in writing (e.g., pleadings filed in any proceeding pending before a court, or submittals to a public agency, or a document signed by the putative father).

d) Submission of the following evidence shall prohibit a finding of parentage.

1. The child's mother has admitted someone other than the member is the father.

2. The child has been adopted by a person other than the member.

History

• Source: Added at 12 Ill. Reg. 16896, effective October 3, 1988

80 Ill. Adm. Code 1650.272 Eligible Child Dependent by Reason of a Physical or Mental Disability

a) To establish eligibility for a survivor benefit as an eligible child dependent by reason of a physical or mental disability under the provisions of Section 16‑140(4) of the Act, a claimant or his or her duly authorized representative shall furnish the following to the System:

1. A copy of the member's federal income tax return filed for the tax year preceding the death, evidencing that the deceased member provided over 50% of the support of the eligible disabled child; and

2. Written reports by two or more licensed physicians certifying that the claimant is physically or mentally unable to engage in substantial gainful activity as defined in Section 1650.250(c) and will remain disabled for a period of not less than twelve months. Claimant physician reports are subject to review by the System, and the claimant may be required to be examined by a physician or physicians selected by the System to verify eligibility.

b) Unless the claimant's disability has been determined to be permanent or expected to result in death within two years by the claimant's examining physicians, the claimant shall be required to furnish the System annual physician certifications of disability. Recertifications are due to the System 30 days prior to the annual anniversary of the claimant's survivor benefits start date.

History

• Source: Amended at 39 Ill. Reg. 14989, effective October 30, 2015

80 Ill. Adm. Code 1650.280 Evidence of Marriage

a) Applicants claiming benefits as a surviving spouse shall submit as evidence of marriage a copy of the public record of marriage. If the record is unavailable due to loss or destruction, then a copy of the religious record of the marriage shall be submitted.

b) If no such records exist, the following will be accepted for consideration:

1. A copy of the federal income tax return for the year preceding the death.

2. A notarized statement from the individual who performed the marriage.

3. Notarized statements from at least two individuals in attendance of the marriage.

4. Written certification from the Social Security Administration of acceptance of the marriage and its date.

5. Such other documentation found by the System to be trustworthy, such as that produced by independent third parties.

c) The only document acceptable as evidence of dissolution or invalidity of marriage is a certified copy of the declaration or decree entered by a court of competent jurisdiction.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.290 Offsets

Benefits received by a member under the Workers' Compensation Act [820 ILCS 305] or the Workers' Occupational Diseases Act [820 ILCS 310] with respect to a disability shall be applied as an offset against any occupational disability benefit provided by the System with respect to the same accident, illness or disease.

a) If the amount of compensation received is less than the monthly benefit provided under the Illinois Pension Code, only the amount of the excess of such monthly benefit over the amount of such compensation shall be payable by the System. If the amount of compensation received equals or exceeds the monthly benefit provided under the Illinois Pension Code, no benefit shall be payable by the System during the period compensation is paid under the Workers' Compensation Act or Workers' Occupational Diseases Act.

b) If the compensation for disability or death is received in a commuted lump sum or partly in a commuted lump sum and partly in monthly or weekly sums, the System shall, for offset purposes, consider the compensation as if it had been paid at a weekly rate as prescribed under the Workers' Compensation Act or Workers' Occupational Diseases Act.

c) In the event the whole or any part of the benefits received under the Workers' Compensation Act or Workers' Occupational Diseases Act is commuted into one sum, the aggregate sum of the benefits so commuted and not the commuted value thereof shall be used for purposes of ascertaining the amount of offset.

d) The amount considered for offset purposes shall not be reduced by any legal expenses granted from the award to the member.

e) An offset shall not be applied to medical expenses paid on behalf of or to the claimant.

History

• Source: Amended at 22 Ill. Reg. 7243, effective April 9, 1998

80 Ill. Adm. Code 1650.301 Early Retirement Without Discount – Return to Teaching from a Break in Service (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.310 Effective Date of Membership

a) The effective date of membership in the System shall be the date of employment by an employer, as recorded by the employer.

b) In the absence of a record of the date of employment in the official proceedings of the qualifying employer, the date of membership shall be the first payroll day for which contributions were required.

c) For purposes of calculating the required contributions to purchase military service not immediately following employment under the provisions of 40 ILCS 5/16-128(a)(iii), and/or to purchase private school teaching under the provisions of 40 ILCS 5/16-128(d-5) in the absence of official records documenting the date of first full-time employment as a teacher, the date of first membership shall be defined as July 1 of the first year of System contributing service.

History

• Source: Amended at 29 Ill. Reg. 1546, effective January 14, 2005

80 Ill. Adm. Code 1650.315 Establishing Salary and Assessing Contributions for Optional Service Credit

a) The System shall establish a salary and assess contributions for optional service utilizing the first year of service as a contributing member of the System by determining a salary equal to the member's first full-time actual salary paid as a contributing member of the System immediately succeeding the time period in question and assess contributions on the first full-time salary at the applicable statutory rate in the following instances:

1. For out-of-system service, as defined in Sections 16-127(b)(2) and 16-128(b) of the Code, that has not been verified by the System as of January 1, 2020; or

2. For all other optional service as defined in Sections 16-127 and 16-128, when salary information for a period of creditable service is unavailable.

b) In the absence of a first full-time actual salary, the System shall determine a salary rate equal to the member's first full-time equivalent salary paid as a contributing member of the System immediately succeeding the time period in question and shall assess contributions on the first full-time equivalent salary at the applicable statutory rate.

History

• Source: Amended at 43 Ill. Reg. 10791, effective September 23, 2019

80 Ill. Adm. Code 1650.320 Method of Calculating Service Credits

a) No more than one year's service credit shall be granted for total service rendered between July 1 of one year through June 30 of the following year.

b) If the service rendered on a full-time basis, substitute basis, or part-time basis after June 30, 1990 is less than 170 days between July 1 of one year through June 30 of the following year, then credit for service shall be at a ratio of the actual number of days of service to 170 days.

c) Service credit for service rendered on a permanent and continuous part-time basis prior to July 1, 1990, between July 1 of one year through June 30 of the following year, shall be at the ratio of creditable earnings to the annual salary rate. Provided, however, that for service after June 30, 1959, if that ratio equals or exceeds the ratio of 170 days to the days in the legal school term, one year of service credit shall be granted.

d) If service prior to July 1, 1990 is rendered partially on a full-time basis and partially on a permanent and continuous part-time basis between July 1 of one year through June 30 of the following year, then credit for service shall be at the ratio of creditable earnings to the annual salary rate. Provided, however, that for service after June 30, 1959, if that ratio equals or exceeds the ratio of 170 days to the days in the legal school term, one year of service credit shall be granted.

e) Whenever the actual number of days of service is unavailable because of lack of employer records, the number of days the System uses to grant service credit shall be equal to the actual number of hours for which the member was paid, divided by four.

f) Days of service shall include any weekday, Monday through Friday, for which periodic payment is made to the member for:

1. Service rendered that requires teacher certification under the School Code;

2. Attendance, during the work week, at teacher's institutes, workshops and parent/teacher conferences scheduled in the school calendar;

3. Legal school holidays;

4. Vacation, sick or personal leave days (except when the payment is for severance pay);

5. Sabbatical leaves meeting the requirements of Section 24-6.1 of the School Code [105 ILCS 5/24-6.1];

6. Absence from duty, as documented in a contract, collective bargaining agreement, employment policies, or other employer-provided documentation reflecting the employer's approval of the absence, without loss of pay and benefits and without use of accrued time until the member resumes active employment or until the resignation date, whichever occurs first; or

7. Service rendered on e-learning days authorized by Section 10-20.56 of the School Code [105 ILCS 5].

g) A day of service may be credited for Saturday service if that day would otherwise qualify as a day of service and the service was required due to a lawful day of attendance.

History

• Source: Amended at 49 Ill. Reg. 3382, effective March 3, 2025

80 Ill. Adm. Code 1650.325 Method of Calculating Service Credit for Recipients of a Disability Benefits or Occupational Disability Benefit

a) Service credit is earned during periods in which disability benefits are paid.

b) Service credit is earned during periods of occupational disability.

c) When a member teaches a partial school year and receives disability or occupational disability benefits a partial school year, one full year of service credit is earned when the member receives earnings from teaching and disability or occupational disability benefits for a total of 170 days during the school term or the term of the employment agreement if longer. To determine the service credit a member would have received and the contribution that a member would have made in active employment during any period for which benefits are paid or the member is on occupational disability, the System shall establish on an annual basis two school calendars; a 185-day calendar for members on nine-month contracts and a 260-day calendar for members with greater that nine-month contracts. Service credit and credit for contributions shall be earned and calculated upon the days deemed creditable therein.

d) One full year of service credit is earned when the member receives disability or occupational disability benefits for a total of 170 days during any school year.

History

• Source: Amended at 20 Ill. Reg. 3118, effective February 5, 1996

80 Ill. Adm. Code 1650.330 Duplicate Service Credit

a) Credit will be denied those members who elect to receive or have received a monthly retirement allowance based on the same service used for pension purposes in another public, statutory retirement system other than Social Security or a military retirement allotment.

b) When it is established by receipt of written certification from a prior employer or another retirement system that an annuitant has used service credited in this System for pension purposes in another public, statutory retirement system, the duplicated credit will be removed from his or her record in this System, and his or her retirement allowance will be reduced accordingly. The System shall assert an offset in accordance with Section 1650.595 for any additional benefits paid as a result of such overpayment, against future benefits to be paid the annuitant or his or her beneficiaries.

History

• Source: Amended at 26 Ill. Reg. 11476, effective July 11, 2002

80 Ill. Adm. Code 1650.335 Unreported Regular Service Credit and Earnings

If an employer fails to report a member's regular service credit and earnings for a period of teaching and, at the time of the discovery of the error, more than four fiscal years have elapsed since the fiscal year in which the error occurred, the member will be required to:

a) provide sufficient documentation (e.g., official school records) to establish the unreported service credit and earnings; and

b) pay the contributions required by Section 16-128(a)(i) and (iii) of the Illinois Pension Code to purchase optional service credit under Section 16-127(b)(2) of the Code.

History

• Source: Added at 29 Ill. Reg. 13244, effective August 9, 2005

80 Ill. Adm. Code 1650.340 Service Credit for Out-of-System Service and Leaves of Absence

a) Granting Out-of-System Service

1. For purposes of granting out-of-system service as provided in Section 16-127(b)(2) of the Code, once the statutory minimum service requirement has been met, the member may purchase the portion of out-of-system service available at the time of purchase based on total creditable service years, provided one of the following conditions are met:

A) If a refund from the other system is available to the member, that refund must be taken prior to the purchase of the out-of-system service; or

B) If the member is unable to take a refund from the other system, the member must be ineligible for a benefit from that system.

2. The member may purchase additional qualifying out-of-system service, after the initial purchase, on a fiscal year basis, upon further request by the member, to a maximum of 2/5 of the total creditable service of the member or 10 years, whichever is less.

b) For purposes of granting service credit for an approved leave of absence as provided in Section 16-127(b)(5)(i) of the Code, the statutory return-to-teaching requirement is met when the member returns to teaching service creditable under this System or the State Universities Retirement System for the period of the leave or one year, whichever is less. A leave of absence is creditable as an approved leave if:

1. The member did not resign prior to the effective date of the leave; or

2. The employer promised renewed employment at the end of the leave; and

A) The employer took official action to approve the request for leave; or

B) The leave qualifies as a leave under the Family and Medical Leave Act (29 USC 2601), as certified by the employer.

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

80 Ill. Adm. Code 1650.341 Service Credit for Involuntary Layoffs

a) An involuntary layoff occurs when a member's employment is terminated as result of a reduction in force due to lack of funding, lack of work, an elimination of position, or a material reorganization.

b) Involuntary layoffs shall not include non-renewals of employment unrelated to reasons set forth in subsection (a) or dismissals for cause or other performance related reasons.

c) To receive service credit for an involuntary layoff, a member must be re-employed in a contractual teaching position under this System or the State Universities Retirement System for the creditable period of the layoff or one year, whichever is less.

History

• Source: Amended at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.342 Service Credit for Paid Student Teaching Service

For purposes of determining eligibility to receive optional service credit for paid student teaching service under Section 16-127(b)(11) of the Code, the member must:

a) Have rendered the paid student teaching service on or after August 7, 2019, the original effective date of 105 ILCS 5/24-8.5 of the School Code, authorizing school districts to pay salary for student teaching service;

b) Provide sufficient documentation acceptable to the System, for example, official school records, to establish the paid student teaching service credit and earnings; and

c) Pay the contributions required under Section 16-128 of the Code to purchase optional service credit.

History

• Source: Added at 48 Ill. Reg. 6116, effective April 5, 2024

80 Ill. Adm. Code 1650.345 Service Credit for Periods Away from Teaching Due to Pregnancy

a) Service credit of up to three years shall be granted for periods beginning prior to July 1, 1983, during which a teacher ceased covered employment due to pregnancy. The maximum lifetime amount of credit available for any type of leave of absence, including pregnancy related absences, is 3.000 years. Type of leave of absences include pregnancy, leave of absence, involuntary layoff, and adoption.

b) For purposes of determining eligibility to receive optional service credit under the provisions of 40 ILCS 5/16-127(b)(5)(iii), the following definitions shall apply:

1. "Pregnancy" shall mean the period beginning at the moment of conception and continuing through termination of the pregnancy or delivery of the child.

2. "Due to pregnancy" shall mean due to the state of being pregnant and recovery therefrom due to the termination of a pregnancy or due to the delivery of a child.

3. "Covered employment" means employment in a position requiring membership contributions to the System as a condition of employment.

4. "Teaching service creditable under this System or the State Universities Retirement System" means employment in a position requiring membership contributions to the System or the State Universities Retirement System as a condition of employment.

c) The documents necessary to establish service credit under this Section shall include:

1. School employment records;

2. Medical records;

3. Birth or death certificates; and/or

4. Other contemporaneous documentation that reliably supports the service credit to be established while eliminating the possibility of mistake or fraud.

d) For purposes of granting service credit for periods away from teaching due to pregnancy, the statutory return-to-teaching requirement is met when the member returns to teaching service creditable under this System or the State Universities Retirement System for the period the member was away from teaching due to pregnancy or one year, whichever is less.

History

• Source: Amended at 41 Ill. Reg. 14256, effective November 8, 2017

80 Ill. Adm. Code 1650.346 Service Credit for Periods Away from Teaching Due to Adoption

a) Service credit of up to three years shall be granted for periods beginning prior to July 1, 1983, during which a teacher ceased covered employment for the purpose of adopting an infant under three years of age or caring for a newly adopted infant under three years of age. The maximum lifetime amount of credit available for any type of leave of absence, including pregnancy related absences, is 3.000 years. Type of leave of absences include pregnancy, leave of absence, involuntary layoff, and adoption.

b) For purposes of determining eligibility to receive optional service credit under the provisions of 40 ILCS 5/16-127(b)(5)(iv), the following definitions shall apply:

1. "Ceased covered employment" shall mean the submission of a resignation that terminated employment in a position requiring membership contributions to the System as a condition of employment.

2. "For the purpose of adopting an infant under three years of age" shall mean the termination of covered employment:

A) To meet the requirements of an adoption agency or similar entity resulting in the adoption of an infant who is under the age of three at the time the member terminates covered employment;

B) To formally commence judicial or administrative proceedings to adopt an infant who is under the age of three at the time the adoption proceedings were initiated; or

C) To care for an infant under the age of three while an adoption proceeding is ongoing which results in the adoption of the infant.

3. "Caring for a newly adopted infant under three years of age" shall mean providing care to an adopted infant of less than three years of age when the interruption of service begins within 180 days after the court order declaring the member the adoptive parent of such an infant.

4. "Teaching service creditable under this System or the State Universities Retirement System" means employment in a position requiring membership contributions to the System or the State Universities Retirement System as a condition of employment.

c) The documents necessary to establish service credit under this Section shall include:

1. Employment records;

2. Birth certificates;

3. Court records;

4. Adoption agency records;

5. Governmental records; and/or

6. Other contemporaneous documentation that reliably supports the service credit to be established while eliminating the possibility of mistake or fraud.

d) For purposes of granting service credit for periods away from teaching due to adoption, the statutory return-to-teaching requirement is met when the member returns to teaching service creditable under this System or the State Universities Retirement System for the period the member was away from teaching due to adoption or one year, whichever is less.

History

• Source: Amended at 41 Ill. Reg. 14256, effective November 8, 2017

80 Ill. Adm. Code 1650.350 Service Credit for Unused Accumulated Sick Leave Upon Retirement

a) To be creditable for retirement purposes, sick leave days must actually be available for use by a member in the event of illness. Service credit is not available and shall not be computed for sick leave days added to the record of a member for the purpose of increasing a member's retirement service credit. To determine if any sick leave days granted by an employer in excess of the member's normal annual sick leave allotment during a member's final years of employment are actually available for use and reportable to the System as service credit, the System shall apply the following formula:

1. from the date upon which the sick leave days were granted, the number of days remaining in the school term or the member's employment agreement, whichever is greater, until termination shall be determined;

2. from the resulting number of days the System shall subtract the number of sick leave days previously accrued by the member; and

3. the difference is the maximum number of sick leave days that may be reported in addition to those days previously accrued, provided that the employer will allow the member to use those days in the event of illness prior to termination.

b) Unused and uncompensated sick leave days are not eligible for service credit at retirement when the member receives compensation for those days. Effective July 1, 1998, if a member receives payment for accumulated sick leave days that is also reportable to the System as creditable earnings, no service credit shall be available for the days so compensated.

c) For purposes of calculating a retirement annuity, the System shall not grant service credit for any days withdrawn by the member from a sick leave bank in excess of the days deposited in the sick leave bank and unused by the member.

d) Accumulated business, personal, or other non-vacation leave days are governed by the same standards set forth in subsections (a) and (b) for sick leave days, but only if they were actually available for use by a member in the event of illness.

e) Accumulated, unused vacation days are not creditable with the System.

History

• Source: Amended at 43 Ill. Reg. 5115, effective April 22, 2019

80 Ill. Adm. Code 1650.351 Employer Contribution for Excess Sick Leave

a) The phrase "normal annual sick leave allotment" shall mean the amount of annual sick leave granted by a TRS employer under a collective bargaining agreement, contract or employment policies, including any business, personal or other non-vacation leave days that may be used as sick leave.

b) If an employer grants sick leave days in excess of the normal annual sick leave allotment as defined in subsection (a) in the last four school years prior to retirement, the employer is subject to the employer contribution provided in Section 16-128(d-10) of the Code.

c) The employer contribution required in Section 16-128(d-10) shall be computed as follows:

The member's highest salary rate reported by the granting employer during the four-year sick leave review period in subsection (c) x the total normal cost rate (the employer's normal cost as defined in Section 1650.183 plus the member contribution required under Section 16-152 of the Code) applicable to the last fiscal year of contributing service x the portion of sick leave service credit attributed to sick days in excess of the normal annual allotment granted by that specific employer = employer's contribution.

d) If more than one employer in the last four school years prior to retirement grants sick leave days in excess of the normal annual sick leave allotment, the contribution from each employer will be determined from sick leave days granted earliest to latest.

e) An award of sick days as part of a retirement incentive shall not constitute a normal annual sick leave allotment.

History

• Source: Amended at 49 Ill. Reg. 3382, effective March 3, 2025

80 Ill. Adm. Code 1650.355 Purchase of Optional Service - Required Minimum Payment

The required minimum payment upon a member's outstanding optional service account balance shall be $50.00 or the balance due, whichever is less.

History

• Source: Added at 21 Ill. Reg. 2422, effective January 31, 1997

80 Ill. Adm. Code 1650.356 Payroll Deduction Program (repealed)

History

• Source: Repealed at 26 Ill. Reg. 11476, effective July 11, 2002

80 Ill. Adm. Code 1650.357 Employer Payment of Member's Optional Service and/or Upgrade Contribution Balance (repealed)

History

• Source: Repealed at 26 Ill. Reg. 11476, effective July 11, 2002

80 Ill. Adm. Code 1650.360 Settlement Agreements and Judgments

a) In the event a member and employer enter into a settlement agreement to resolve employment issues which affect service and earnings credit, the following provisions shall govern the computation of creditable service and the reporting of creditable earnings.

b) To ensure the reportability of service and earnings credit in settlement agreements covering a retroactive time period, the settlement agreement must contain the following:

1. the time period for which the member would have received salary or service credit;

2. a statement the settlement is an award of back salary; and

3. the amount of salary the member would have been paid during the period covered by the settlement agreement had the employment issue not arisen.

c) Contributions on retroactive settlement agreements are based upon the salary a member would have otherwise earned but for the employment issue.

d) All required contributions due on retroactive settlement agreements must be paid within one year after the date of the settlement agreement; otherwise interest shall be charged at the applicable statutory rate from the date of the settlement agreement.

e) To ensure the reportability of service and earnings credit in settlement agreements covering a prospective time period, the settlement agreement must contain the following:

1. the time period for which the member is to receive service credit, not to exceed one year.

2. a statement confirming the member is to be employed as a teacher.

3. a statement that the member will continue to receive the same salary on regular pay dates and fringe benefits to which he or she would be entitled.

4. If a resignation date is contained in the settlement agreement, it must not be prior to the end of the time period covered by the settlement agreement.

f) Service credit is not presumed available nor salary presumed reportable for prospective settlement agreements covering in excess of one year.

g) To ensure the reportability of service and earnings credit awarded pursuant to a judgment of a court of competent jurisdiction, the judgment order must contain:

1. the time period for which the court determines the member should have received salary or service credit.

2. a statement the judgment is an award of salary.

3. the amount of salary the member would have received during the period covered by the judgment.

h) Contributions on judgments are based upon the salary a member would have otherwise earned but for the issue being litigated.

History

• Source: Amended at 22 Ill. Reg. 7243, effective April 9, 1998

80 Ill. Adm. Code 1650.370 Calculation of Average Salary (renumbered)

History

• Source: Section 1650.370 renumbered to Section 1650.460 at 18 Ill. Reg. 6349, effective April 15, 1994

80 Ill. Adm. Code 1650.380 Definition of Actuarial Equivalent (repealed)

History

• Source: Repealed at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.390 Independent Contractors

Any individual claiming to be an independent contractor exempt from System membership or the post-retirement work limits governing annuitants as set forth in 40 ILCS 5/16-118 must file Form SS-8 (Determination of Employee Work Status for Purposes of Federal Employment Taxes and Income Tax Withholding) with the Internal Revenue Service (IRS) seeking confirmation of independent contractor status. An IRS Form SS-8 independent contractor determination must be filed with the System before an individual can be considered to be exempt from System membership or Article 16 post-retirement work limits.

History

• Source: Added at 21 Ill. Reg. 2422, effective January 31, 1997

80 Ill. Adm. Code 1650.391 Optional 2.2 Upgrade of Earned and Credited Service

a) Electing to upgrade.

1. A member's 2.2 upgrade cost becomes fixed on the date the member elects to upgrade and remains fixed until the expiration of the 60-month period commencing on the August 15 following election or full payment of the upgrade cost, whichever is first. The 60-month period will be extended due to suspension of a payroll deduction agreement as provided in Section 1650.1202(d).

2. Once a member has elected to upgrade his or her service credit in accordance with Section 16-129.1 of the Illinois Pension Code [40 ILCS 5/16-129.1], the member is prohibited from electing another upgrade until the fixed cost period described in subsection (a)(1) for the upgrade election has expired.

3. After filing an upgrade election, a member may upgrade any optional or refunded service added to the member's service credit record within the period provided in subsection (a)(1) at the same salary rate used to determine the original upgrade cost, provided the additional service is purchased within the same five-year period.

b) Determining the contribution necessary for upgrade.

1. The "member's highest salary rate in the 4 consecutive school years immediately prior to but not including the school year in which the election occurs" shall be based upon the 4 most recent employer's annual reports, as amended, required to be filed in accordance with Section 16-155 of the Pension Code [40 ILCS 5/16-155].

2. When determining the contribution necessary for the upgrade, that part of a member's salary with the same employer that exceeds the annual full-time salary rate for the preceding year by more than 20% shall be excluded.

3. If a member has less than one year of creditable service in any of the 4 consecutive school years immediately prior to but not including the school year in which the election occurs, and was a part-time non-contractual teacher or a substitute teacher in such year, the annualized salary rate for the school year shall be determined by dividing the creditable service fraction into the salary paid to the member during that school year.

4. The service credit given to a member at retirement pursuant to Section 16-127(b)(6) of the Pension Code [40 ILCS 5/16-127(b)(6)] shall be disregarded for the purpose of the calculation of the optional contribution necessary for the upgrade feature.

c) Failing to make contribution.

1. A member has failed to make the full contribution in a timely fashion:

A) if the full contribution is not paid within the effective period of the election; or

B) upon termination of employment as a teacher for any cause other than death or retirement, if the member requests in writing that the election be terminated at least 4 months after ceasing to teach.

2. If the member has failed to make the full contribution in a timely fashion, the election shall be terminated and shall be no longer in effect.

3. If the member has failed to make the full contribution in a timely fashion, the payments made under this Section shall be refunded to the member, without interest [40 ILCS 5/16-129.1]. However, if the member is able to re-elect, and does re-elect, for the 2.2 upgrade feature prior to the refund being made, the amount of the refund shall be used as a partial lump sum contribution towards the cost of the 2.2 upgrade feature.

4. If the member dies before making the full contribution, the payments under this Section, together with regular interest thereon, shall be refunded to the member's designated beneficiary for benefits under Section 16-138 of the Pension Code [40 ILCS 5/16-129.1].

d) Interest on upgrade refunds shall be calculated from the first day of the month following the date of any payment to the date of refund as provided in 40 ILCS 5/16-129.1 based upon the earliest to the latest payments.

e) In the event an actuarial calculation provides a member a greater benefit than an upgraded final average salary calculation, the System shall refund the upgrade cost plus interest to the member.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.392 2.2 Upgrade of Optional Service Not Credited at Initial Upgrade

a) This Section shall apply only to a member who has elected to upgrade the graduated rate applicable to all of the member's years of service earned and credited before July 1, 1998, pursuant to Section 16-129.1 of the Pension Code [40 ILCS 5/16-129.1] and 80 Ill. Adm. Code 1650.391 and who has less than 20 years of service earned and credited before July 1, 1998.

1. A member participating in a pre-July 1, 1998 service upgrade may upgrade any optional service credit added within the 5-year period provided in Section 16-129.1(b)(ii) at the same salary rate as that of the original upgrade, provided that the added optional service upgrades are paid off within the 5-year period.

2. The effective period of the election shall begin as of the date on which the election is received by the System and shall end upon the expiration of a 60-month period commencing on the August 15 following the date of election or payment in full, whichever is first. The 60-month period will be extended due to suspension of a payroll deduction agreement as provided in Section 1650.1202(d).

b) A member subject to this Section shall be required to pay an upgrade charge for any optional service credited to the member's service on or after July 1, 1998, if the time of employment or other qualifying event upon which the service is based is prior to July 1, 1998, unless the charge is reduced or eliminated by the contribution reduction provided in Section 16-129.1(b) of the Pension Code [40 ILCS 5/16-129.1(b)].

1. The "member's highest salary rate in the 4 consecutive school years immediately prior to but not including the school year in which the election occurs" shall be based upon the 4 most recent employer's annual reports, as amended, required to be filed in accordance with Section 16-155 of the Pension Code [40 ILCS 5/16-155].

2. When determining the contribution necessary for the upgrade, that part of a member's salary with the same employer that exceeds the annual full-time salary rate for the preceding year by more than 20% shall be excluded.

3. If a member has less than one year of creditable service in any of the 4 consecutive school years immediately prior to but not including the school year in which the election occurs and was a part-time non-contractual teacher or a substitute teacher in such year, the annualized salary rate for the school year shall be determined by dividing the creditable service fraction into the salary paid to the member during that school year.

4. The service credit given to a member at retirement pursuant to Section 16-127(b)(6) of the Pension Code [40 ILCS 5/16-127(b)(6)] shall be disregarded for the purpose of the calculation of the contribution necessary for the upgrade feature.

c) Failing to make contribution.

1. A member has failed to make the full contribution in a timely fashion:

A) if the full contribution is not paid within the effective period; or

B) upon termination of employment as a teacher for any cause other than death or retirement, if the member requests in writing that the election be terminated at least 4 months after ceasing to teach.

2. If the member has failed to make the full contribution in a timely fashion, the election shall be terminated and shall be no longer in effect.

3. If the member fails to make the full contribution within the appropriate time period described in subsection (c)(1), and:

A) if the payment is for the repayment of a refund, the amount contributed for both the refund and upgrade shall be refunded to the member, without interest; or

B) if the payment is for optional service other than a refund, and:

i) if the member has made the full upgrade contribution for the years of service earned and credited prior to July 1, 1998, pursuant to 80 Ill. Adm. Code 1650.391, the portion of the upgraded optional service credit determined by the System to have been paid shall be credited to the member's account; or

ii) if the member fails to make the full contribution for the years of service earned and credited prior to July 1, 1998, pursuant to 80 Ill. Adm. Code 1650.391, the payments made for the upgrade shall be refunded to the member, without interest.

4. However, if the reason for the failure is the death of the member:

A) if the member has made the full upgrade contribution for the years of service earned and credited prior to July 1, 1998, pursuant to 80 Ill. Adm. Code 1650.391, the portion of the upgraded optional service credit determined by the System to have been paid shall be credited to the member's account; or

B) if the member fails to make the full contribution for the years of service earned and credited prior to July 1, 1998, pursuant to 80 Ill. Adm. Code 1650.391 or if the payment is for a refund, the payments made for the upgrade, together with regular interest thereon, shall be refunded to the member's designated beneficiary for benefits under Section 16-138 of the Pension Code [40 ILCS 5/16-129.1].

5. The date of election for the purpose of determining the amount of optional service credit paid shall be deemed to be:

A) if pursuant to subsection (c)(3)(B)(i), the date upon which the failure to contribute in a timely fashion occurred; or

B) if pursuant to subsection (c)(4)(A): the date of the election that terminated upon the member's death, if the member had elected the upgrade prior to his or her death; or the date of death if the member had not previously elected the upgrade.

d) Interest on upgrade refunds shall be calculated from the first day of the month following the date of any payment to the date of refund as provided in 40 ILCS 5/16-129.1(b) based upon the earliest to the latest payments.

e) In the event an actuarial calculation provides a member a greater benefit than an upgraded final average salary calculation, the System shall refund the upgrade cost plus interest to the member.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.410 Return of Contributions for Duplicate or Excess Service

a) In the event contributions to the System are made in error for service covered by another public employee pension system in Illinois, such contributions shall be returned to the member.

b) If a member contributes to the System for optional teaching service, but is unable to claim all of this service at the date of retirement or death because the service is determined to be excess service, then the contributions for such excess service or a portion thereof may upon request be returned to the member or the member's beneficiaries.

1. The term "excess service" shall mean that period of service exceeding the amount of service allowed to be purchased under Section 16-127(b)(2) [40 ILCS 5/16-127(b)(2)].

2. The return of contributions under subsection (b) shall be limited to the amount attributable to the purchase of optional service under Section 16-127 [40 ILCS 5/16-127].

3. No interest shall be payable upon the amount returned.

History

• Source: Amended at 38 Ill. Reg. 21239, effective October 21, 2014

80 Ill. Adm. Code 1650.415 Return of Optional Increase in Retirement Annuity Contributions

a) A member who has made contributions toward the optional increase in retirement annuity provided in 40 ILCS 5/16-129.1, and who determines such optional annuity increase is not in his or her best financial interest, may elect at retirement not to qualify for such increase in annuity and request a return of the member's optional increase in retirement annuity contributions from the System.

b) Upon such request, the member's optional increase in retirement annuity contributions will be returned to the member without interest.

History

• Source: Added at 25 Ill. Reg. 203, effective December 22, 2000

80 Ill. Adm. Code 1650.416 Optional Increase in Retirement Annuity – 1% Contribution Reduction

a) Section 16-129.1(b) of the Pension Code [40 ILCS 5/16-129.1(b)] entitles a member who chooses to upgrade creditable service accrued prior to July 1, 1998 to the 2.2% level established by Section 16-133(a)(B)(1) of the Code to a reduction in the cost of the upgrade. The reduction shall equal 1% of the salary used to calculate the contribution required for the upgrade for each 3 years of regular creditable service earned after June 30, 1998. The System will calculate this reduction at the time of retirement, when the number of years of post-June 30, 1998 service is known, and refund that amount to the member.

b) If a member has upgraded creditable service to the 2.2% level more than once (i.e., an upgrade of regular service credit and a subsequent purchase and upgrade of optional service credit) at times when different salary rates were used in determining the contribution required for the individual upgrades, the System will calculate the reduction by the following formula:

• the number of years of creditable service after June 30, 1998

• divided by 3 (omitting any fractional period)

• divided by the number of years of upgraded service

• multiplied by the member's total upgrade contribution

EXAMPLE:

A member has 15 years of pre-July 1, 1998 service and chooses to upgrade that service to the 2.2% flat formula on August 15, 1998. The cost of the upgrade is determined as follows:

$50,000 (highest salary of the 4 years prior to 1998) x 1% = $500 x 15 years = $7500

The $7500 cost is paid in full by August 15, 2003 as required by Section 16-129.1(b) of the Code.

In early 2006, the member purchases 5 years of pre-July 1, 1998 optional service credit and must upgrade that past service to the 2.2% level as well. The cost to upgrade the 5 years of optional service credit is determined as follows:

$60,000 (highest salary of the 4 years prior to 2006) x 1% = $600 x 5 years = $3000

The $3000 cost is paid in full by the retirement date.

The member retires late in 2008, having accumulated 10 years of service between July 1, 1998 and the date of retirement. The reduction to be refunded to the member is determined as follows:

10 years of service

÷ 3 = 3% reduction (fractional period deleted)

÷ 20 years of service credit upgraded = 15%

x $10,500 (total upgrade cost: $7500 + $3000)

= $1575

History

• Source: Added at 28 Ill. Reg. 10055, effective June 29, 2004

80 Ill. Adm. Code 1650.417 Mandatory Distributions Pursuant to Section 401(a)(9) of the Internal Revenue Code

When the System is required to make a mandatory distribution pursuant to section 401(a)(9) of the Internal Revenue Code and the member is eligible to receive either a single-sum benefit under 40 ILCS 5/16-136.4 or a refund under 40 ILCS 5/16-151, but fails to make the required election, the member shall be deemed to have elected a single-sum benefit under Section 16-136.4 of the Code.

History

• Source: Amended at 43 Ill. Reg. 10791, effective September 23, 2019

80 Ill. Adm. Code 1650.420 Interest on Deficiencies (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.430 Installment Payments (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.440 Small Deficiencies, Credits or Death Benefit Payments (repealed)

History

• Source: Repealed at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.450 Compensation Recognized as "salary"

a) "Salary" means any form of creditable compensation received by a member in consideration of services rendered as a teacher, subject to all applicable limits and restrictions imposed on qualified plans under the Internal Revenue Code. "Salary" directly related to specific work performed during a school year is recognized on an accrual basis. Other creditable compensation is recognized on a cash basis. The System reserves the right to determine the year of salary recognition. The following common examples are for illustration only and do not limit the System's right to evaluate and determine other forms of creditable and non-creditable compensation.

b) Examples of creditable compensation recognized as "salary":

1. The gross amount of compensation earned or accruing to the member during the school year in a function requiring certification as a teacher.

2. Additional compensation earned during the school year for the performance of extra duties, not requiring teacher licensure, but which involve the supervision of students or are related to the academic program, provided the member is employed during the school year at a TRS-covered employer in a position requiring licensure. For purposes of this subsection (b)(2), a "TRS-covered employer" is any employer that employs TRS members (i.e., individuals that meet the definition of "teacher" in 40 ILCS 5/16-106).

3. The amount of back salary awarded to a member as a result of a settlement or judgment obtained due to a disputed dismissal, suspension or demotion. Court costs, attorney's fees, other compensatory damages and punitive damages shall not be reportable as salary. The back salary amount reported to the System under this Section shall be equal to the amount the member would have earned had the dispute not occurred, regardless of the actual amount paid.

4. Lump-sum payments (e.g., retirement incentives, bonuses, payments for unused vacation and sick days) becoming due and payable to the member prior to or concurrent with receipt of final paycheck for regular earnings or last paid day of work, whichever occurs last.

5. Contributions made by or on behalf of the member to qualified deferred compensation plans in accordance with sections 401(a) and 457(b) of the Internal Revenue Code, salary reduction plans or tax sheltered annuities under section 403(b) of the Internal Revenue Code, and savings plans under section 529 of the Internal Revenue Code.

6. Amounts that would otherwise qualify as salary under subsections (b)(1) through (b)(5) but are not received directly by the member because they are used to finance benefit options in a flexible benefit plan; provided, however, that to be reportable, a flexible benefit plan cannot include non-qualifying deferred compensation. For the System's purposes, a flexible benefit plan is an option offered by an employer to its employees covered under the System to receive an alternative form of creditable compensation in lieu of employer-provided insurance.

c) Examples of non-creditable compensation not recognized as "salary":

1. At termination, lump-sum payments (e.g., retirement incentives, bonuses, payments for unused vacation and sick days) becoming due and payable to the member subsequent to receipt of final paycheck for regular earnings or last paid day of work, whichever occurs last.

2. Any lump sum payment made after the death of the member.

3. Expense reimbursements, expense allowances, or fringe benefits unless included in a reportable flexible benefit plan.

4. Any monies received by the member under the Workers' Compensation Act [820 ILCS 305] or the Workers' Occupational Diseases Act [820 ILCS 310].

5. Any amount paid in lieu of discontinued or decreased non-reportable benefits, or reported in lieu of previously non-reported compensation, where the conversion occurs in the member's final seven years of service. If any form of non-creditable or non-reported compensation in any of the member's last seven creditable school years of employment exceeds that of any other subsequent year, the System will presume the difference to have been converted into salary in the subsequent year. To overcome the presumption, the member must submit documentary evidence to the System that clearly and convincingly proves that the change in compensation structure was due to a change in a collectively bargained agreement applicable to all individuals covered by the agreement, a change in employer policies affecting a group of similarly situated members some of whom are not within seven years of retirement eligibility, or a change in family status, and not to increase final average salary.

6. Any amount paid by an employer as the employer's one time contribution (or on behalf of the employee as the employee's one-time contribution) required by the System as part of the statutory early retirement option in Section 16-133.2 of the Act.

7. Options to take salary in lieu of employment-related expense allowances or reimbursements.

8. Employer payment of the member's Teachers Health Insurance Security Fund contribution.

9. Commissions (i.e., payments to a member based upon a percentage formula).

10. Contributions to and distributions from nonqualified deferred compensation arrangements.

11. Employer contributions to and distributions from medical spending accounts.

History

• Source: Amended at 49 Ill. Reg. 3382, effective March 3, 2025

80 Ill. Adm. Code 1650.451 Reporting of Conditional Payments

Payments that are conditioned upon the occurrence of a future event (e.g., retirement) shall be reported in the school year paid to the member. However, if the condition upon which payment is predicated does not occur and the payment is repaid to the employer, an adjustment is required to remove the payment from the school year in which the payment was originally reported.

History

• Source: Amended at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.460 Calculation of Average Salary

a) The member's annual salary rate shall be used by the System when calculating average salary. If a member has a full year of service credit and the annual salary includes leave of absence earnings and substitute earnings or part-time noncontractual earnings, the annual salary rate for average salary purposes will never be less than the salary rate the leave of absence earnings is based upon. If a member receives less than one year of service credit in any school year, salary shall consist of creditable earnings.

b) The highest four consecutive school years of service within the last ten years of creditable service shall be deemed the four highest consecutive credit years posted to the member's account. Provided, however, if a member is credited with less than one school year, the System shall use partial consecutive years to establish four consecutive years of salary.

c) For average salary calculation purposes, a school year is the period July 1 to the following June 30.

d) When a member's employer consolidates or annexes with another employer, the consolidation or annexation shall not constitute a change of employer and the average salary shall be computed as though all salary were earned under the same employer.

e) Where there are creditable earnings for less than a full year of service credit, and those earnings are used in the calculation of the average salary, the annual salary rate for those earning is considered in the calculation of any member and employer contributions under Sections 16-133.2, 16-133.3, 16-133.4 and 16-133.5 of the Act.

History

• Source: Amended at 21 Ill. Reg. 2422, effective January 31, 1997

80 Ill. Adm. Code 1650.470 Rollover Distributions

a) An eligible recipient entitled to receive a refund of contributions, lump-sum benefit, or other nonperiodic distribution from the System may elect, subject to the provisions of this Section, to have all or a portion of the distribution paid in a direct rollover from the System to an eligible retirement plan designated in writing by the eligible recipient; provided, however, that any portion thereof which is a required distribution pursuant to any applicable provision of the Internal Revenue Code is not payable in a direct rollover. A distribution made to correct a failed nondiscrimination test or because legal limits on certain contributions were exceeded cannot be rolled over.

b) If the distribution from the System is less than $200, it is not payable in a direct rollover.

c) If the distribution from the System is at least $200 but less than $500, the entire sum must either be paid in a single direct rollover or to the eligible recipient.

d) If the distribution is greater than $500, the eligible recipient may have a portion thereof paid to him or her and the balance paid in a direct rollover; provided, however, that the direct rollover must be at least $500.

e) Multiple direct rollovers from the System to more than one eligible retirement plan are not allowed.

f) An "eligible retirement plan" for purposes of this Section means:

1. A plan described in 26 USC 402(c)(8)(B), which includes:

A) An individual retirement account described in 26 USC 408(a);

B) An individual retirement annuity described in 26 USC 408(b) (other than an endowment contract);

C) A qualified trust under 26 USC 401(a);

D) An annuity plan described in 26 USC 403(a);

E) An eligible deferred compensation plan described in 26 USC 457(b) that is maintained by an eligible employer described in 26 USC 457(e)(1)(A);

F) An annuity contract described in 26 USC 403(b); and

G) Pursuant to 26 USC 408A(c)(6) and (e)(1), a Roth IRA as defined in 26 USC 408A(b).

2. Any other type of plan that is designated as an eligible retirement plan by federal law.

g) A "direct rollover" for purposes of this Section is a payment by the System to an eligible retirement plan specified by the eligible recipient as provided in subsection (a) of this Section.

h) An "eligible recipient" for purposes of this Section is:

1. A member of the System as defined in Section 16-107 of the Illinois Pension Code [40 ILCS 5/16-107];

2. An alternate payee under a valid Qualified Illinois Domestic Relations Order (QILDRO) on file with the System in accordance with Section 1-119 of the Illinois Pension Code [40 ILCS 5/1-119], as allowed by 26 USC 402(e)(1)(B);

3. A member's surviving spouse, as allowed by 26 USC 402(c)(9); or

4. A non-spouse beneficiary, as defined in 26 USC 401(a)(9)(E), of a deceased member, provided the distribution is rolled to an individual retirement plan that is treated as an inherited individual retirement account or individual retirement annuity pursuant to 26 USC 402(c)(11).

i) If the eligible recipient elects a direct rollover from the System as provided in this Section, the eligible recipient shall certify in writing the following:

1. That he or she has read the "Special Tax Notice Regarding Payments from TRS"; and

2. That the direct rollover is being made into an eligible retirement plan as defined in subsection (f) of this Section.

j) If the eligible recipient elects a direct rollover from the System as provided in this Section, the eligible recipient shall identify the type of eligible retirement plan to which the direct rollover is being made and shall obtain the certification in writing of the entity that is to receive the direct rollover as to the following:

1. That the entity receiving the direct rollover is legally eligible to receive such direct rollover;

2. That the entity receiving the direct rollover has agreed to accept such direct rollover; and

3. That the direct rollover is being made to an eligible retirement plan as defined in subsection (f) of this Section.

k) In order to receive payment from the System in a direct rollover pursuant to this Section, the System must receive from the eligible recipient all of the following together, in the form or forms prescribed by the System:

1. An application for lump-sum distribution;

2. A rollover election;

3. A certification from the eligible recipient as provided above in subsection (i) of this Section; and

4. A certification from the entity receiving the direct rollover as provided in subsection (j) of this Section.

l) Payments from the System that are part of a series of equal or substantially equal periodic payments made at least once a year cannot be paid in a direct rollover, if the payments will last for:

1. The life or life expectancy of the person entitled to receive the payments;

2. The lives or joint life expectancies of the person entitled to receive the payments and that person's beneficiary; or

3. A period of ten years or more.

History

• Source: Amended at 33 Ill. Reg. 15863, effective November 2, 2009

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.480 Rollovers to the System

a) The System will accept rollovers to purchase optional service credit, repay refunds, or pay any other employee contribution authorized by Article 16 of the Pension Code [40 ILCS 5/Art. 16].

b) Members are required to establish an account or accounts receivable with the System prior to initiating a rollover. The amount of the rollover cannot exceed the amount due the System.

c) The System will accept member rollover contributions and/or direct rollovers of distributions as defined in 26 USC 402(f)(2)(A).

d) Prior to accepting a rollover, the System may require the member to establish that the amounts to be transferred to the System meet the requirements of this Section, and may also require the member to provide an opinion of counsel satisfactory to the System that the amounts to be transferred meet the requirements of this Section.

e) The System's acceptance of a rollover shall be subject to any applicable regulations, procedures, or other guidance issued by the Internal Revenue Service.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.481 Employer Contribution Required for Salary Increases in Excess of 6%

The employer contribution required under 40 ILCS 5/16-158(f) will be determined as follows:

a) Calculate the member's monthly benefit using salaries as reported, excluding that part of the member's salary that exceeds the member's annual full-time salary rate with the same employer for the preceding year by more than 20%.

b) Calculate the member's monthly benefit using salaries as reported, excluding that part of the member's salary that exceeds the member's salary with the same employer for the preceding year by more than 6%.

c) Subtract (b) from (a).

d) Multiply (c) by a Monthly Benefit Factor for the member's exact age at the retirement date. The Monthly Benefit Factors are based on the actuarial assumptions of the System for life expectancy and investment return as determined by the System's actuaries pursuant to 40 ILCS 5/16-176.

e) If a member's monthly benefit is calculated pursuant to 40 ILCS 5/16-133(a), this Section will not apply.

f) If there is more than one employer during the final average salary period, each employer will pay its respective contribution based on salary increases granted by that employer in excess of 6%.

g) If the member's benefit is increased as a result of applying the provisions of Section 20 of the Retirement Systems Reciprocal Act [40 ILCS 5], no additional employer contribution will be due.

h) If the member's benefit is reduced as a result of applying proportional reductions required by 40 ILCS 5/20-124, no employer contribution will be assessed for any salaries attributable to any reciprocal employment used in the calculation.

i) If the average salary is calculated using salary earned through employment covered by another participating system under 40 ILCS 5/20, no employer will be assessed for any salaries attributable to that employment.

j) The member's salary for any school year used to determine final average salary shall be excluded for purposes of determining the employer contribution required for salary increases in excess of 6% in any year in which the member's creditable earnings are less than 50% of the preceding year's mean salary for downstate teachers as determined by the survey of school district salaries provided in Section 2-3.103 of the School Code.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.482 Contracts and Collective Bargaining Agreements – Loss of Exemption from Employer Contributions (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.483 Employer Contributions for Salary Increases in Excess of 6% or 3% and Excess Sick Leave – Exemption from Contributions (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.484 Members Not Covered by Collective Bargaining Agreements or Employment Contracts (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.485 Employer Contributions for Salary Increases in Excess of 6% - Receipt of Bill

For purposes of determining the 30 day period to dispute the amount of a bill for an employer contribution for salary increases in excess of 6% and the 90 day interest grace period provided in 40 ILCS 5/16-158(f), an employer shall be deemed to have received a bill for employer contributions on the first day of the month following the bill date indicated on the bill.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.486 Employer Payment of Member's Optional Service, Refund and/or Upgrade Contribution Balance

Once per school year, an employer may make a payment toward a member's 2.2 upgrade, optional service and/or refund balance. The employer contribution under this option may be picked up pursuant to section 414(h)(2) of the Internal Revenue Code of 1986, as amended (26 USC 414(h)(2)), or paid on an after-tax basis as certified by the employer. The employer shall certify to the System whether the payment being made is done so on a tax-deferred or after-tax basis by completing and returning the appropriate form with the payment.

History

• Source: Added at 41 Ill. Reg. 718, effective January 11, 2017

80 Ill. Adm. Code 1650.505 Beneficiary (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.510 Re-Entry Into Service (repealed)

History

• Source: Repealed at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.511 Separation from Service and Return to Work

a) General Requirements. Under the provisions of the Illinois Pension Code, a member must "separate from service" within the meaning of Section 401(a) of the Internal Revenue Code (26 U.S.C. 401(a)) to be eligible to receive a retirement benefit from the System. Failure to "separate from service" or to meet the return to work requirements set forth in this Section shall nullify an annuitant's retirement and constitute a return to service under Section 16-150(d) of the Pension Code.

b) Separation from Service Requirements. To meet the "separation from service" requirement, a member cannot continue to work or return to work with the member's last employer in a licensed or any other position unless:

1. The member and employer did not agree to nor pre-arrange the member's re-employment before the member's date of termination of employment; and

2. The member is not re-employed by the member's last employer in a licensed or any other position within 30 days after the member's date of termination of employment.

c) Return to Work Requirements. To meet the return-to-work requirements under Section 16-118(a) of the Pension Code, an annuitant's re-employment as a teacher as defined in Section 16-106 of the Pension Code will not impair the annuitant's retirement status if the following requirements are met:

1. As provided in Section 16-118(a)(1) of the Pension Code, the annuitant has not accepted employment as a teacher as defined in Section 16-106 of the Pension Code during the school year in which the member terminated employment; and

2. Except as provided in Section 16-150.1 of the Pension Code, the annuitant is not employed more than the limit provided in Section 16-118(a)(2) of the Pension Code.

3. An annuitant and employer cannot avoid the limitations in post-retirement employment provided in Section 16-118 of the Pension Code by allowing the annuitant to relinquish the annuitant's teaching license and continue in the same position.

4. An annuitant and employer cannot avoid the limitations in post-retirement employment provided in Section 16-118 of the Pension Code by changing the annuitant's pre-retirement job title or by a minor adjustment in the annuitant's pre-retirement job duties causing the annuitant's former position to no longer require licensure under the laws governing the licensure of teachers.

d) Applicability Date. The portion of subsection (b) that restricts a member from continuing to work or returning to work with the member's last employer in a non-licensed position shall not apply to retirements that commence on or before December 31, 2026.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.512 Verification of Compliance with Post-Retirement Employment Limitations

To ensure compliance with the post-retirement employment limitations established in 40 ILCS 5/16-118, upon demand of the System, employers are required to furnish documentation sufficient to verify an annuitant's compliance, such as:

a) A calendar of hours worked/paid verifying post-retirement employment.

b) Other substantiating documentation such as timesheets, payroll records, contracts, etc.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.520 Suspension of Benefits

a) Monthly benefit payments may be suspended when four monthly warrants remain uncashed. The System shall notify the benefit recipient in writing of the suspension. To remove the suspension of benefits, the System may require the recipient to provide a valid depository agreement authorizing funds to be electronically deposited into the recipient's bank account in lieu of paper warrants.

b) Recipients of a non-occupational disability benefit, occupational disability benefit, disability retirement annuity, or monthly survivor benefit who fail to return documentation of continued eligibility within the specified time period shall have their monthly benefit payment suspended. Upon receipt of the required documentation and upon determination of continued eligibility, these and subsequent payments shall be made.

History

• Source: Amended at 47 Ill. Reg. 9473, effective June 22, 2023

80 Ill. Adm. Code 1650.530 Power of Attorney

a) Any annuitant or beneficiary receiving a monthly benefit through payment to his or her attorney-in-fact acting under a power of attorney shall be required to notify the System in writing that such power of attorney is in full force and effect, when reasonably requested to do so by the System. In default of such notice, payment to the attorney-in-fact shall be suspended until notice is received, whereupon payments will be resumed from the date of the last payment.

b) A member information and beneficiary designation (nomination of beneficiary) form may be signed by an attorney-in-fact, provided the attorney-in-fact is given specific power to execute a nomination of beneficiary form on behalf of the member or annuitant.

c) If a member or annuitant is not capable of signing the form, he or she may make a mark on the signature line if the mark is witnessed by two individuals who will not receive any benefit under the member information and beneficiary designation.

History

• Source: Amended at 41 Ill. Reg. 718, effective January 11, 2017

80 Ill. Adm. Code 1650.540 Conservators/Guardians

Any legally appointed conservator or guardian receiving benefits for an annuitant or a beneficiary adjudged incompetent shall be required to furnish a court certification that the appointment is in force and effect, when reasonably requested to do so by the System. In default of such notice, payment shall be suspended until satisfactory certification is received, whereupon payments will be resumed from the date of the last payment.

History

• Source: Amended at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.550 Presumption of Death

a) Whenever any member, annuitant, or beneficiary has been so out of communication with the System that the fact of his or her being alive cannot be ascertained, he or she shall be presumed to be dead. In the event this presumption of death shall be removed by proof that he or she is alive, benefits shall be paid or resumed from the date of the last payment.

b) Whenever any inactive member reaches age 75 and has not been in communication with the System for longer than 20 years, he or she shall be presumed dead and the member's account shall be terminated with no interest credited. In the event this presumption shall be removed by proof the member is alive or deceased, his or her account shall be reinstituted with interest and included in the System's next required minimum distribution process in accordance with Section 1650.417, Section 1-116.1 of the Code, and Internal Revenue Code Section 401(a)(9).

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

80 Ill. Adm. Code 1650.560 Benefits Payable on Death

Survivor benefits shall be paid in accordance with the applicable provisions of Article 16 in effect on the date of the member's or annuitant's death. If the member or annuitant has failed to name a beneficiary, the System may make payment through a small estate affidavit provided the requirements of 755 ILCS 5/Art. 25 are met. If the assets of the estate are greater than the limit allowed for small estate affidavits, letters of administration or proof of heirship deemed reliable by the System shall be required by the System in order to process any death benefits.

History

• Source: Amended at 21 Ill. Reg. 2422, effective January 31, 1997

80 Ill. Adm. Code 1650.561 Valid Beneficiary Designations

To be considered valid and timely filed, a beneficiary designation under 40 ILCS 5/16-138, 16-141 and 16-142 must be received and date stamped by the System prior to or on the date of the death of the member or annuitant.

History

• Source: Added at 32 Ill. Reg. 7979, effective May 6, 2008

80 Ill. Adm. Code 1650.570 Survivors' Benefits

Survivors annuity payments on account of dependent children accepted by the spouse after the children have legally been removed from the spouse's care will be considered benefit over-payments and will be subject to collection in accordance with Section 1650.595.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.571 Payment of Monthly Survivor Benefits to a Trust

a) A member may designate a trust to receive monthly survivor benefits on behalf of a dependent beneficiary.

b) However, to do so, the trust must provide that the survivor benefit annuity will be used solely for the care and benefit of the member's dependent beneficiary.

c) Prior to the processing of a claim for survivor benefits, the trustee of the trust shall furnish the System that part of the trust demonstrating that the conditions set forth in subsection (b) of this Section are met.

History

• Source: Added at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.575 Full-Time Student - Receipt of Survivors Benefits Until Age 22

a) For purposes of 40 ILCS 5/16-140(4), a full-time student shall be one who is enrolled in a course of study in an accredited educational institution (other than a program of study by correspondence), and who is carrying a full-time workload as determined by the educational institution during the regular school year for the course of study the student is pursuing.

b) Accredited educational institutions include schools, colleges, universities, and post-secondary vocational institutions whose courses of study are approved by appropriate state or federal educational accreditation authorities.

c) A regular school year is the eight to nine months which includes two semester terms or three quarter terms (or their equivalent), excluding the summer term. Terms that begin after April 15 and end before September 16 are considered summer terms.

d) Survivors benefits shall be payable during the period between regular school years if the benefit recipient was a full-time student the preceding semester term or quarter term (or their equivalent).

e) To verify that an eligible child is a full-time student, the System must receive a certification signed by an official of the educational institution confirming that the student is a full-time student as provided in subsection (a) above.

f) Payment of survivor benefits under this Section will begin on the 15th of the month preceding the start of the full-time student's first semester or quarter of matriculation.

History

• Source: Amended at 24 Ill. Reg. 2440, effective January 27, 2000

80 Ill. Adm. Code 1650.580 Evidence of Eligibility

Beneficiaries receiving monthly benefits shall furnish evidence of eligibility to receive such benefits when requested to do so by the System. The System shall request evidence of eligibility when it receives any information indicating the beneficiary is not eligible to receive a benefit. Failure to do so will result in suspension of payments until evidence of eligibility is received, whereupon payments will be resumed from the date of the last payment.

History

• Source: Amended at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.590 Comptroller Offset

Prior to the referral of any debt owed the System to the Office of the Comptroller for collection through the Comptroller Offset System as authorized under Section 10.05 of the State Comptroller Act [15 ILCS 405/10.05] and Section 5 of the Illinois State Collection Act [30 ILCS 210/5], the System shall provide the debtor:

a) Written notice that the debt is being referred to the Comptroller for offset. The notice shall set forth the amount of and basis for the debt. The notice shall further advise the debtor of the debtor's right to a hearing to contest the debt by filing a written request with the System within 30 days after receipt of the notice by the debtor. Failure to request a hearing within the 30 days provided shall terminate any right to a hearing before the System.

b) A hearing with the System, if requested by the debtor, to allow the debtor an opportunity to establish the debt has been paid or is not owed. The hearing shall be held before a three-member panel appointed by the System's Executive Director.

c) A written decision advising the debtor of the basis for the panel's decision.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.595 Overpayments

a) When the System determines benefits, except for an impermissible refund as defined in Section 1650.240, have been paid erroneously in an amount greater than $50 to a member, annuitant or beneficiary (recipient), the System shall record such overpayment as an accounts receivable and make demand upon the recipient for the amount due.

b) Interest shall accrue on overpayments at the rate of 0.83% per month beginning on the first day of the month following 30 days from the date of notification to the recipient of the overpayment.

c) The System shall use its best efforts to ensure repayment of overpayments within 36 months after such overpayment.

d) If the recipient of an overpayment fails to repay the amount due plus any applicable interest within 36 months, the System will collect any amount plus applicable interest outstanding at the time the recipient next receives a benefit from the System by withholding 10% of the recipient's gross payment, if a periodic payment, including any reciprocal system payments, or 100% if a lump sum payment.

e) The System shall retain the option to refer any debt due the System to the Attorney General, the Debt Collection Board, the Comptroller's Offset System, or private collection agencies at any time it deems appropriate.

History

• Source: Added at 22 Ill. Reg. 7243, effective April 9, 1998

80 Ill. Adm. Code 1650.605 Policy of the Board Concerning Attorney Generals' Opinion (repealed)

History

• Source: Repealed at 9 Ill. Reg. 20885, effective December 17, 1985

80 Ill. Adm. Code 1650.610 Staff Responsibility

a) The administrative staff of the System shall be responsible for the daily functioning of the System including interpretation of the Illinois Pension Code (Code) and processing all claims for benefits or service credit.

b) Generally, a final staff determination or disposition occurs when a claim for benefits, refund, or other payment has been issued by the System; contributions or payment due to the System have been assessed; staff provide an interpretation of the Code; or take any administrative action that impacts the rights or benefits of a member, beneficiary, annuitant, or employer.

c) Upon receipt of a written request for administrative review under Section 1650.620(a) and in advance of referring the matter to the Presiding Hearing Officer, TRS staff will assess whether the proffered claim: meets the requirements per Section 1650.630 or may be resolved between the System and the aggrieved party at the staff level.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.620 Right of Appeal

a) Any member, beneficiary, annuitant or employer may appeal a final staff determination or disposition of a claim or interpretation of the Code to the Board of Trustees within 90 days after the staff disposition or interpretation, by filing a written request for an administrative review with the Executive Director. The appeal will be scheduled to be heard at the next meeting of the Board's Claims Hearing Committee (Committee) as administratively practicable and having space on the agenda for such hearing.

b) The Committee shall be composed of three members of the Board of Trustees(Board), all elected by the Board. The Board shall also elect an alternate Trustee who shall serve only when a Committee member is unable to participate in an appeal. The alternate Trustee is counted for purposes of quorum and voting only when serving in place of a regular Committee member.

c) The System shall retain an attorney to serve as the Committee's Presiding Hearing Officer. The Presiding Hearing Officer shall attend all meetings of the Committee and serve as a neutral advisor to the Committee to conduct the hearing, guide deliberations, and perform the duties and responsibilities of the Presiding Hearing Officer as set forth in this Subpart H.

d) Any members of the Committee may be disqualified or recuse themselves from hearing an appeal due to bias or conflict of interest in the appeal, in which instance the designated alternate Trustee hears the appeal in place of the disqualified or recused Committee member.

e) If the System identifies a member, beneficiary, annuitant, or employer not a party to an administrative review whose participation is relevant or material to the proceeding, the System may request the Presiding Hearing Officer to invite that member, beneficiary, annuitant, or employer to be joined as a party of record to the administrative proceeding. In determining whether to request joinder, the System will consider whether the other party will be affected or impacted by the outcome of the administrative review proceeding, or whether the matter cannot be resolved without that party's participation. The invited member, beneficiary, annuitant, or employer shall receive notice that they have been joined as a party to the proceeding. Should the joined member, beneficiary, annuitant, or employer decline or fail to participate in the administrative proceeding after receiving the notice, that party will be bound by the decision of the Committee, and will be a party of record for purposes of an administrative review under Article III of the Code of Civil Procedure [735 ILCS 5/3-107(a)].

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.630 Form of Written Request

A written request for an administrative review shall include the following:

a) the name and address of the petitioner;

b) the name and address of their authorized representative if applicable;

c) a complete explanation of the factual and/or legal basis for the request, including relevant documentation supporting the petitioner's position;

d) a detailed statement explaining how TRS has misapplied applicable provisions of the Code and/or administrative rules governing the System; and

e) the relief sought by the petitioner.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.635 Presiding Hearing Officer - Duties and Responsibilities

The Presiding Hearing Officer of the Claims Hearing Committee shall have the following powers and duties and shall perform the following functions during administrative review proceedings.

a) Pre-hearing:

1. The Presiding Hearing Officer shall monitor and supervise the pre-hearing proceedings to ensure that the Committee is presented with the information necessary to make an informed and legally supported decision on the matters being presented for administrative review.

2. The Presiding Hearing Officer shall facilitate cooperation between the petitioner and the System's Legal Counsel in the preparation of issue and fact statements. Whenever appropriate, the Presiding Hearing Officer shall encourage the use of stipulated materials to enhance the efficiency of the proceedings.

3. The Presiding Hearing Officer shall ensure the timely exchange of exhibits, witness lists and testimony summaries, and shall prepare the administrative record for hearing.

4. The Presiding Hearing Officer shall rule on discovery requests and procedural matters. The rules of civil procedure shall not be strictly applied; however, the Presiding Hearing Officer shall make necessary and appropriate legal or evidentiary rulings to ensure that both parties receive fair and timely consideration of all pre-hearing motions and discovery requests.

5. The Presiding Hearing Officer shall establish pre-hearing position statements and briefing schedules.

6. The Presiding Hearing Officer shall make any necessary and appropriate inquiries or requests of the parties in order to assure that the Committee has the requisite information to rule on the issues raised by the claim.

7. The Presiding Hearing Officer shall develop hearing procedures that assure that the hearing process remains focused on pertinent issues while providing a full and fair hearing for the petitioner and the System. Whenever appropriate, the Presiding Hearing Officer shall encourage the parties to submit the matter to the Committee on the written record.

8. When appropriate, the Presiding Hearing Officer shall facilitate settlement of the claim prior to hearing.

9. When appropriate, the Presiding Hearing Officer shall provide notice to any party that is joined as a party of record to the proceeding as provided in Section 1650.620(e).

b) Hearing:

1. The Presiding Hearing Officer shall preside at the administrative review hearing and shall assure that the proceedings remain focused on the issues to be decided by the Committee and that both the petitioner and the System are treated fairly and equally in the presentation of their respective positions.

2. The Presiding Hearing Officer shall ensure that the agreed upon hearing format is followed.

3. The Presiding Hearing Officer shall ensure that repetitious and irrelevant arguments and evidence are excluded.

4. The Presiding Hearing Officer shall make necessary and appropriate legal or evidentiary rulings.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.640 Prehearing Procedure

a) Upon written notice by the Presiding Hearing Officer, the petitioner, or his or her attorney, and counsel for the System shall make themselves available at mutually agreeable times for pre-hearing conferences for the following purposes:

1. The simplification of issues;

2. The amendment of pleadings;

3. The making of admissions of facts or stipulations for the purpose of avoiding the unnecessary introduction of evidence;

4. Establishing the procedure at the hearing;

5. The limitation of the number of witnesses;

6. The disclosure of all witnesses (expert and non-expert) to be called to testify at hearing;

7. Disclosure of the substance of the testimony of all witnesses to be called;

8. The submission of all exhibits to be introduced at hearing;

9. Establishing briefing schedules for the submission of position statements and accompanying documentation; and

10. Such other matters as may aid in the simplification of the evidence and disposition of the proceeding.

b) To the extent that the parties are unable to agree or stipulate to matters at the pre-hearing conference, the Presiding Hearing Officer shall make the rulings and determinations necessary to assure that the issues, discovery, witnesses, evidence, and procedures prior to and at hearing remain focused on relevant and material matters. Failure to attend a pre-hearing conference or failure to adhere to rulings, schedules or agreements made at the pre-hearing conference may, in the discretion of the Presiding Hearing Officer, result in delay of the hearing or limitations on the presentation of certain positions or the use of certain evidence at the hearing.

c) Upon agreement of the parties or with the express consent of the Presiding Hearing Officer, the parties may undertake discovery, which may include interrogatories, requests for production of documents, discovery depositions, and evidence depositions. If the parties are unable to agree to all or any form of discovery, any party may submit a written request to the Presiding Hearing Officer with a copy to all other parties setting forth with sufficient particularity the information sought and the form of discovery requested. The Presiding Hearing Officer shall grant such request upon determining the information is necessary to the requesting party's case and the Committee's full understanding of the issues presented. Any additional witnesses or exhibits identified during further discovery must be exchanged in writing by certified mail at least 14 days prior to hearing.

d) Any witnesses not disclosed or exhibits not submitted at the prehearing conference or 30 days prior to hearing, if additional discovery is allowed, shall be barred at hearing unless good cause is shown for such failure to provide. At the discretion of the Presiding Hearing Officer, a hearing may be postponed in the interest of fairness to allow a party time to investigate and prepare to respond to newly submitted evidence.

e) The parties may agree to submit the matter for the Committee's decision solely on the written record.

f) Either party may file motions necessary to resolve matters and to focus the remaining issues for hearing. The motions may include motions to dismiss and motions for summary judgment, where appropriate. Procedural matters may be resolved by the Presiding Hearing Officer. Substantive matters will be submitted to the Claims Hearing Committee for ruling.

g) If, in the judgment of the Presiding Hearing Officer, the petitioner has not diligently pursued his or her claim, the Presiding Hearing Officer may find the petitioner to be in default and dismiss the petitioner's claim. Prior to dismissing a claim, however, the Presiding Hearing Officer shall provide the petitioner with an opportunity to show cause why the claim should not be dismissed. A dismissed claim may be re-filed within 90 days after the date of its dismissal, but shall be barred thereafter. A claim may not be re-filed after a second dismissal.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.641 Claims Hearing Committee Hearing Packet

a) A hearing packet shall be submitted to the members of the Committee prior to the hearing on the claim, or alternatively, prior to submission of the matter for decision based solely upon the record. The hearing packet shall contain:

1. An agreed statement of issues, and if not agreed, the proposed issues statement of each party.

2. An agreed statement of facts, and if not agreed, the proposed statement of facts of each party.

3. The position statements of the parties, including the legal arguments being made and all applicable statutory, regulatory and case law in support of those arguments, and an analysis of all relevant documentary evidence and testimony to be given in support of each party's respective positions.

4. Witness affidavits, if agreed by the parties to be admissible.

5. All exhibits to be presented at hearing.

b) The System's position statement may also include an analysis of the results or consequences of a decision affirming or overturning the original staff disposition of the matter.

History

• Source: Amended at 26 Ill. Reg. 11476, effective July 11, 2002

80 Ill. Adm. Code 1650.650 Hearing Procedure

a) All administrative review hearings shall be recorded by a court reporter.

b) The Presiding Hearing Officer of the Claims Hearing Committee shall preside over the hearing and shall assure that the proceedings are consistent with any agreements or rulings on issues, evidence, witnesses or hearing format established prior to the hearing.

1. All agreed to or stipulated issues, facts, documents or exhibits shall be considered as evidence in the proceeding.

2. Witnesses, exhibits, evidence, issues or legal arguments not disclosed prior to the hearing shall be barred unless good cause is shown for the failure to provide such information to the other party. At the discretion of the Presiding Hearing Officer, the hearing may be postponed in order to allow a party time to investigate and prepare to respond to the new information.

c) The Presiding Hearing Officer shall make the necessary and appropriate procedural and evidentiary rulings to ensure that the proceedings remain focused on the issues to be resolved by the Committee.

d) The rules of evidence shall not be strictly applied; however, the Presiding Hearing Officer shall apply the rules of evidence to assure production of relevant and material evidence and shall further assure that testimony is subjected to such examination and cross-examination as is necessary for a full and fair disclosure of the facts.

1. Irrelevant or unduly repetitious evidence shall be excluded.

2. All individuals testifying at the hearing shall be sworn.

e) Order of Presentation. Unless otherwise agreed to by the parties:

1. The petitioner or his or her attorney will present the petitioner's position and supporting evidence subject to cross-examination and legal challenge.

2. The System's legal counsel will present the System's position and supporting evidence subject to cross-examination and legal challenge.

3. In the event of the admission of a party of record to the proceedings, the party of record or its attorney will have an opportunity to present its position and supporting evidence subject to cross-examination and legal challenge.

4. The parties may make closing arguments if they so desire.

5. Following the presentations of the System and the petitioner, as well as any party of record, any member of the Committee may ask questions necessary to clarify the Committee's understanding of the facts or law.

f) Upon conclusion of all arguments, the Committee may deliberate over the evidence and testimony in closed session under Section 2(c)(4) of the Open Meetings Act [5 ILCS 120]. The Presiding Hearing Officer shall attend the Committee's deliberations serving as a neutral advisor, providing legal and factual guidance to assist the Committee in reaching a Recommended Decision. Only Trustees serving on the Committee shall attend the deliberations.

g) The Committee shall take action in open session on the appeal, making one of the three following recommendations to the Board:

1. A recommendation to affirm the staff's decision.

2. A recommendation to reverse the staff's decision.

3. A recommendation to remand the proceedings back to the staff for further consideration.

h) The Committee shall direct that a Recommended Decision reflecting the Committee's decision be prepared by the Presiding Hearing Officer for consideration by the Board. The Recommended Decision shall be served upon all parties by third-party commercial carrier or by registered or certified mail, return receipt requested.

i) Any party adversely affected by the Committee's Recommended Decision shall have 15 days after the date of mailing of the Recommended Decision to file with the Board exceptions and a brief in support of their exceptions.

j) At its next regular meeting following the time for filing exceptions, the Board of Trustees shall act on the Recommended Decision by either:

1. Adopting the Recommended Decision; or

2. Rejecting, in whole or in part, the Recommended Decision and directing that:

A) A revised Recommended Decision be prepared to reflect the Board's decision;

B) The matter be remanded to the Committee for further consideration; or

C) The matter be remanded to the System staff for further consideration.

k) The decision of the Board of Trustees shall be a final administrative decision which is reviewable under the provisions of the Illinois Administrative Review Law [735 ILCS 5/3-101] and 40 ILCS 5/16-200.

l) The decision of the Board of Trustees shall be served upon the parties in writing after the meeting at which the recommendation of the Committee was acted upon, by a third-party commercial carrier or by registered or certified mail, return receipt requested.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.660 Rules of Evidence (repealed)

History

• Source: Repealed at 25 Ill. Reg. 203, effective December 22, 2000

80 Ill. Adm. Code 1650.710 Amendments

The Bylaws and Rules may be altered or amended by a majority vote of all members of the Board of Trustees provided such alterations or amendments shall not be inconsistent with all provisions of the law, and provided further that notice of any proposed alteration or amendment shall be given each member of the Board of Trustees by the Director at least ten days prior to the regular or special meeting at which the amendment is to be considered.

80 Ill. Adm. Code 1650.810 Parliamentary Procedure

The rules of parliamentary practice contained in "Robert's Rules of Order," latest edition, shall govern the business before the Board of Trustees provided they are not inconsistent with the Bylaws or Rules of the Board.

80 Ill. Adm. Code 1650.910 Summary and Purpose (repealed)

History

• Source: Repealed at 34 Ill. Reg. 4900, effective March 22, 2010

80 Ill. Adm. Code 1650.920 Definitions (repealed)

History

• Source: Repealed at 34 Ill. Reg. 4900, effective March 22, 2010

80 Ill. Adm. Code 1650.930 Submission of Requests

a) Public record requests made in accordance with the Freedom of Information Act (FOIA) [5 ILCS 140] should be submitted via the System’s Public Records Center, accessible on the TRS website: trsil.org. Record requests may also be sent to the attention of the FOIA Officer, Teachers' Retirement System of the State of Illinois, P.O. Box 19253, 2815 West Washington, Springfield, Illinois 62794-9253, FOIAOfficer@trsil.org.

b) The request must be in writing and include the following information:

1. A specific description of the public records requested.

2. Whether the requestor seeks copies or personal inspection of the public records.

3. Whether the public record is being obtained for a commercial purpose.

History

• Source: Amended at 47 Ill. Reg. 9473, effective June 22, 2023

80 Ill. Adm. Code 1650.940 Form and Content of Foia Requests (repealed)

History

• Source: Repealed at 34 Ill. Reg. 4900, effective March 22, 2010

80 Ill. Adm. Code 1650.950 Appeal of a Denial (repealed)

History

• Source: Repealed at 34 Ill. Reg. 4900, effective March 22, 2010

80 Ill. Adm. Code 1650.960 Executive Director's Response to Appeal (repealed)

History

• Source: Repealed at 34 Ill. Reg. 4900, effective March 22, 2010

80 Ill. Adm. Code 1650.970 Response to Foia Requests (repealed)

History

• Source: Repealed at 34 Ill. Reg. 4900, effective March 22, 2010

80 Ill. Adm. Code 1650.980 Inspection of Records at System Office

a) Public records not exempt from disclosure under FOIA may be inspected at the System's Springfield Office. Records may be inspected during normal business hours through prior arrangement with the System's General Counsel's Office.

b) Documents the requestor wishes to have copied shall be segregated during the course of the inspection. All copying shall be done by System employees, except that, if work load requires, the System may refer the copying to an outside printer or copy service.

c) An employee of the System may be present throughout the inspection. A requestor may be prohibited from bringing bags, briefcases or other containers into the inspection room.

History

• Source: Amended at 34 Ill. Reg. 4900, effective March 22, 2010

80 Ill. Adm. Code 1650.990 Copies of Public Records

a) Copies of public records not exempt from disclosure under FOIA will be provided unless the requestor makes arrangements to personally inspect the public records as provided in Section 1650.980. The first 50 pages are provided free of charge. The System reserves the right to charge fees to reimburse its actual cost for reproducing public records exceeding 50 pages, as allowed by FOIA.

b) If the System incurs extraordinary shipping expenses for sending copies of public records to the requestor, the System reserves the right to seek reimbursement of those actual shipping expenses from the requestor.

c) Charges may be reduced or waived for requests in the public interest, as allowed by FOIA.

History

• Source: Amended at 34 Ill. Reg. 4900, effective March 22, 2010

80 Ill. Adm. Code 1650.995 Materials Immediately Available

Detailed information about the System is publicly and immediately available at the TRS website: trsil.org. The TRS website provides contact information, a description of purpose, membership, key statutory provisions, benefits, funding, administrative structure and budget, the most recent Annual Comprehensive Financial Report (ACFR), member brochures and publications, employer services, legislative matters, investments, board of trustees, board and committee meeting minutes, administrative review decisions, administrative rules, an online pressroom, and vendor information.

History

• Source: Amended at 47 Ill. Reg. 9473, effective June 22, 2023

80 Ill. Adm. Code 1650.1000 Nomination of Candidates

a) Any candidate for a vacant teacher position on the System's Board of Trustees shall be nominated by a petition in a format prescribed by the System or a petition with electronic signatures submitted via an independent, secure, third-party vendor selected by the System, signed by no fewer than 500 individuals who, as of the date of signing, were teachers as defined in Section 16-106 of the Illinois Pension Code (Pension Code).

b) Any candidate for a vacant annuitant position on the System's Board of Trustees shall be nominated by a petition in a format prescribed by the System or a petition with electronic signatures submitted via an independent, secure, third-party vendor selected by the System, signed by no fewer than 500 individuals who, as of the date of signing, were annuitants as defined in Section 16-111.1 of the Pension Code.

c) An individual eligible to sign a petition nominating a candidate for a vacant teacher position on the Board may sign petitions for as many candidates as desired.

d) An individual eligible to sign a petition nominating a candidate for a vacant annuitant position on the Board may sign petitions for as many candidates as desired.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.1001 Election Date/Election Day – Defined

a) For a regular election, the term "election date" or "election day" shall mean May 1.

b) For a special election as provided in Section 1650.1090, the term "election date" or "election day" shall mean the date prescribed by the Board's secretary.

c) If the election day falls on a Saturday, Sunday, or holiday observed by the System, the election will be held the next day on which the System is open for business.

History

• Source: Amended at 30 Ill. Reg. 11728, effective June 23, 2006

80 Ill. Adm. Code 1650.1010 Petitions

a) Petition forms may be obtained as directed on the System's website (trsil.org). For a regular election, petitions will be available for signature beginning November 1 immediately preceding the election date. For a special election, petitions will be available for signature beginning on the date that the Board's secretary announces on the System's website that a special election will be held and for a two-week period thereafter.

b) A valid petition nominating a candidate for a vacant teacher position or a vacant annuitant position on the System's Board of Trustees must bear the requisite number of signatures of individuals eligible to nominate the candidate pursuant to Section 1650.1000(a) or (b).

c) The petition filing period is as follows:

1. For a regular election, not less than 90 nor more than 120 days prior to the election day.

2. For a special election as provided in Section 1650.1090, beginning with the Board's secretary's announcement that a special election will be held and no later than 45 days prior to the election day.

3. Petitions filed before or after the prescribed petition-filing period will not be accepted.

d) The System shall determine the validity of petition signatures for regular elections not less than 75 days prior to the election day, and for special elections not less than 20 days prior to the election day.

e) Any individual may, upon reasonable notice to the System, examine the petitions that have been filed with the System with respect to the election to take place. The System will arrange for such examination through the System's designated election service provider, provided, however, that the signing teachers' and annuitants' privacy and confidentiality shall be protected during such examination. Petitions, including any information in the petition, shall not be subject to production or disclosure under the Illinois Freedom of Information Act (FOIA) [5 ILCS 140].

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.1020 Eligible Voters

a) An individual is eligible to vote for a vacant teacher position on the Board of Trustees of the System if he or she was a "teacher", as defined in Section 16-106 of the Illinois Pension Code (Pension Code), determined as of the following dates:

1. For a regular election, March 1 of the year in which the election is held.

2. For a special election as provided in Section 1650.1090, the date the Board's secretary determines the validity of petitions.

b) An individual is eligible to vote for a vacant annuitant position on the Board of Trustees of the System if he or she was an "annuitant", as defined in Section 16-111.1 of the Pension Code, determined as of the following dates:

1. For a regular election, March 1 of the year in which the election is held.

2. For a special election as provided in Section 1650.1090, the date the Board's secretary determines the validity of petitions.

c) A person who is eligible to vote for a vacant teacher position pursuant to subsection (a) of this Section is not eligible to vote for a vacant annuitant position.

d) A person who is eligible to vote for a vacant annuitant position pursuant to subsection (b) of this Section is not eligible to vote for a vacant teacher position.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.1030 Election Materials

a) To receive electronic election materials, an eligible voter must provide the System with a valid electronic mail address. Election materials will be provided to the latest email address on file with the System. Eligible voters will receive electronic election materials at least 20 days prior to the election day. The System's ballot and voting processes may be conducted via an independent, secure, third-party vendor selected by the System and shall conform in all material aspects with the balloting provisions provided in Section 16-165 of the Illinois Pension Code (Pension Code).

b) An eligible voter who does not wish or is unable to vote electronically may request that manual election materials be sent to the eligible voter via U.S. mail in accordance with the manual balloting provisions provided in Section 16-165 of the Pension Code.

c) An eligible voter who has not provided the System with a valid electronic mail address will receive manual election materials via U.S. mail as provided in Section 16-165 of the Pension Code.

d) An eligible voter who has not received any or all of the election materials must contact the System at least 15 days prior to the election day, to request that the System send manual election materials to the eligible voter. After verifying that the requesting individual is an eligible voter as provided in Section 1650.1020, the System shall send a written certification of nonreceipt in the form prescribed by the System and the manual election materials via U.S. mail.

e) If previously mailed manual election materials are returned to the System undelivered at least 15 days prior to the election day and a forwarding address has been provided, the System shall mail manual election materials to the forwarding address via U.S. mail.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.1040 Marking of Ballots

A valid ballot must conform to the following requirements:

a) All choices of candidates must be clearly indicated as prescribed by the instructions accompanying the ballot. If the marking of the ballot does not conform to all instructions accompanying the ballot, the ballot is invalid and will not be counted.

b) Each eligible voter is entitled to only one vote for any particular candidate.

c) When there are two trustees to be elected, each eligible voter may vote for only one candidate for each position to be elected. If more than two candidates are selected, the ballot is invalid and will not be counted. If only one candidate is selected, the selection will count as only one vote.

d) Manual entries of candidates not listed on the ballot are invalid and will not be counted.

History

• Source: Amended at 47 Ill. Reg. 9473, effective June 22, 2023

80 Ill. Adm. Code 1650.1050 Return of Ballots

a) For written ballots, upon receipt of the election materials specified in Section 1650.1030, the eligible voter shall complete the ballot in accordance with the instructions provided with the election materials.

b) Ballots must be received at or prior to 10:00 a.m. on the election day. Ballots received after 10:00 a.m. on the election day are invalid and will not be counted.

c) All eligible voters must return their ballots as prescribed by the System or electronically via the independent, secure, third-party vendor selected by the System, or for written ballots, individually to the address provided by the System in the election materials via U.S. mail or express delivery service. Ballots returned to the System in bulk, via hand delivery, or delivery other than as specified in this subsection, are invalid and will not be counted.

d) Ballots that do not conform to all instructions accompanying the ballot are invalid and will not be counted.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.1060 Observation of Ballot Counting

Any person may observe the ballot counting process virtually on the election day as specifically designated by the System on its website (trsil.org). Observer identification will be verified by the System. An observer who attempts to challenge or disrupt the ballot counting process will be removed from observation.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.1070 Certification of Ballot Counting

The System's ballot tabulating program shall be certified in writing by an independent consultant. Such certification shall provide that the System's ballot tabulation process correctly tabulates ballots.

History

• Source: Added at 20 Ill. Reg. 3118, effective February 5, 1996

80 Ill. Adm. Code 1650.1080 Challenges to Ballot Counting

a) Any person who observed the ballot counting, as provided in Section 1650.1060, may submit to the System, within seven days after the election day, a written statement identifying the specific aspect or aspects of the ballot counting process that are being challenged.

b) The System shall consider the challenge and notify the challenger and all candidates of the results within 30 days after the election day.

History

• Source: Amended at 37 Ill. Reg. 5150, effective April 4, 2013

80 Ill. Adm. Code 1650.1090 Special Election to Fill Un-Expired Term of Elected Trustee

a) On the date that an elected trustee position becomes vacant, if more than six months remain until the term expires, the Board's secretary will hold a special election in accordance with this Subpart L; provided, however, that if the Board's secretary determines there is inadequate time to hold a special election so as to allow the newly elected trustee to participate in at least one regularly scheduled Board meeting, then no special election will be held and the vacancy will remain until the next regular election.

b) The Board's secretary will notify the System's membership via the TRS website that a special election will be held as soon as administratively feasible upon receiving notice of a vacancy and will announce the schedule for the special election, which will include the following:

1. The date the vacancy occurred;

2. The time period for nominating petitions;

3. The deadline for filing petitions with the System;

4. The date the Board's secretary will verify the validity of petitions;

5. The date ballots will be sent to eligible voters;

6. The election date; and

7. The date results of the election will be announced.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.1110 Definitions

a) The definitions in Section 1-119(a) of the Illinois Pension Code (the "Act") [40 ILCS 5/1-119(a)] shall apply to this Subpart.

b) The phrase "death benefit" in Section 1-119(a)(2) of the Act [40 ILCS 5/1-119(a)(2)] includes:

1. A refund of any remaining accumulated contributions;

2. A refund payable to a deceased member's designated beneficiary because the member elected a 2.2 upgrade and dies before making the full upgrade contribution; or

3. A survivor benefit under Section 16-141 or Section 16-142 of the Act [40 ILCS 5/16-141, 16-142] if and only if payable as a lump sum.

c) The phrase "member's refund" in Section 1-119(a)(5) of the Act [40 ILCS 5/1-119(a)(5)] does not include an "error refund" as defined in subsection (d) of this Section.

d) The phrase "error refund" as used in this Subpart includes:

1. A refund paid to a member as the result of an error in a payment to the System; or

2. A refund payable to a living member resulting from an overpayment made by a TRS-covered employer for a 2.2 upgrade.

e) The phrase "disability benefit" in Section 1-119(a)(3) of the Act [40 ILCS 5/1-119(a)(3)] includes:

1. A disability benefit under Section 16-149 of the Act [40 ILCS 5/16-149];

2. An occupational disability benefit under Section 16-149.1 of the Act [40 ILCS 5/16-149.1]; or

3. A disability retirement annuity under Section 16-149.2 of the Act [40 ILCS 5/16-149.2].

f) The phrase "member's retirement benefit" as used in this Subpart means the total amount of the "retirement benefit" as defined in Section 1-119(a)(8) of the Act [40 ILCS 5/1-119(a)(8)] that would be payable to the member in the absence of a QILDRO.

g) The phrase "partial member's refund" as used in this Subpart includes:

1. A refund of survivor benefit contributions;

2. A partial refund of retirement contributions as provided under Section 16-152(d) of the Act [40 ILCS 5/16-152(d)];

3. An upgrade contribution refund payable to a living member who has elected a 2.2 upgrade, because:

A) The member has creditable service in excess of 34 years;

B) The member is entitled to a 1% reduction in the upgrade contribution for every three full years of creditable service;

C) An actuarial calculation provides a greater benefit than an upgraded final average salary calculation; or

D) The member failed to make the full upgrade contribution in a timely fashion;

4. A refund of contributions for excess optional service as provided in Section 1650.410(b); or

5. A refund of contributions for the Early Retirement Option under Section 16-152(e) of the Act [40 ILCS 5/16-152(e)].

h) The phrase "effective date of the QILDRO" or any similar phrase as used in this Subpart means the date that a retirement benefit, refund, or lump-sum death benefit to which the QILDRO applies becomes payable.

i) The phrase "valid receipt date" or any similar phrase as used in this Subpart means the date the System received a valid court order.

j) The phrase "valuation procedures established by the retirement system" in Section 503(b)(2) of the Illinois Marriage and Dissolution of Marriage Act [750 ILCS 5/503(b)(2)], with respect to the Teachers' Retirement System, means the benefit information provided by the System for divorce purposes in accordance with Section 1650.1122.

k) The phrase "percentage QILDRO" or any similar phrase as used in this Subpart means any portion of the QILDRO that expresses an amount payable to the alternate payee as a percentage rather than a specified dollar amount.

l) The phrase "alternate payee share" or any similar phrase as used in this Subpart means that portion of any benefit or refund allocated to the alternate payee in the QILDRO.

History

• Source: Amended at 32 Ill. Reg. 4073, effective February 28, 2008

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.1111 Requirements for a Valid Qualified Illinois Domestic Relations Order

The System will accept a court order as a valid Qualified Illinois Domestic Relations Order, or "QILDRO", that meets all of the following requirements:

a) The order must be accompanied by a $50 non-refundable processing fee, by check payable to the Teachers' Retirement System.

b) If the order applies to a person who became a member of the System before July 1, 1999, the order must be accompanied by the original Consent to Issuance of QILDRO signed by the member. If the original has been filed with the court, a certified copy of the original is acceptable.

c) The order must be a certified copy of the original.

d) The order must have been issued by an Illinois court of competent jurisdiction in a proceeding for declaration of invalidity of marriage, legal separation, or dissolution of marriage that provides for the distribution of property, or any proceeding to amend or enforce such a property distribution, prior to the death of the member.

e) The order must contain the name, mailing address, and Social Security number of the member.

f) The order must contain the name, mailing address, and Social Security number of the alternate payee.

g) If the full Social Security number is not shown on the face of the order, the order must be accompanied by a Notice of Confidential Information Within Court Filing in the form adopted by the System containing the full Social Security numbers omitted from the order.

h) The order must identify the Teachers' Retirement System as the retirement system to which it is directed.

i) The order must apply only to benefits that are statutorily subject to QILDROs as provided in Section 1-119(b)(1) of the Act [40 ILCS 5/1-119(b)(1)].

j) The order and, if applicable, the Consent to Issuance of QILDRO must be in the form adopted by the System as of the valid receipt date of the order.

k) No language may be added to, or omitted from, the QILDRO form or the consent form adopted by the System.

l) All required portions of the order must be filled out completely and consistently with all directions provided in the form.

m) If a consent form is required, the names and Social Security numbers identified in the consent form must match the names and Social Security numbers identified in the order or in an accompanying Notice of Confidential Information Within Court Filing.

History

• Source: Amended at 39 Ill. Reg. 5259, effective March 20, 2015

80 Ill. Adm. Code 1650.1112 Requirements for a Valid QILDRO Calculation Order

The System will accept a court order as a valid QILDRO Calculation Order that meets all of the following requirements:

a) The order must be accompanied by a $50 non-refundable processing fee, by check payable to the Teachers' Retirement System.

b) The order must be a certified copy of the original.

c) The order must have been issued by an Illinois court of competent jurisdiction in a proceeding for declaration of invalidity of marriage, legal separation, or dissolution of marriage that provides for the distribution of property, or any proceeding to amend or enforce such a property distribution.

d) The order must contain the name, mailing address, and Social Security number of the member.

e) The order must contain the name, mailing address, and Social Security number of the alternate payee.

f) If the full Social Security number is not shown on the face of the order, the order must be accompanied by a Notice of Confidential Information Within Court Filing in the form adopted by the System containing the full Social Security numbers omitted from the order.

g) The order must identify the Teachers' Retirement System as the retirement system to which it is directed.

h) The order must be in the form adopted by the System as of the valid receipt date of the order.

i) No language may be added to, or omitted from, the form adopted by the System.

j) All required portions of the order must be filled out completely and consistently with all directions provided in the form.

k) The order must correspond with a valid underlying QILDRO that has been filed with the System applicable to the same member, the same alternate payee, and the same benefits and refunds.

History

• Source: Amended at 39 Ill. Reg. 5259, effective March 20, 2015

80 Ill. Adm. Code 1650.1113 Required Forms

a) A QILDRO, a Consent to Issuance of QILDRO, a Calculation Order, or a Notice of Confidential Information Within Court Filing must be in the form adopted by the System as of the valid receipt date.

b) The forms adopted by the System are available on the System's web site, trsil.org, or upon request.

c) A QILDRO, a Consent Form, a Calculation Order, or a Notice of Confidential Information Within Court Filing that is not in the form adopted by the System as of the receipt date is invalid.

d) Re-typed forms and obsolete forms will be returned, unprocessed, to the sender.

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.1114 Filing a Qildro or a Calculation Order with the System

a) A QILDRO or a Calculation Order must be sent to the System's General Counsel's Office, each accompanied by the $50 non-refundable processing fee.

b) A QILDRO or a Calculation Order will be deemed received by the System on the date that a certified copy of the order accompanied by the processing fee and, if applicable, Consent to Issuance of QILDRO and/or Notice of Confidential Information Within Court Filing, is received in the System's General Counsel's Office.

c) Within 45 calendar days after receipt, the System will review the order and notify the member and each alternate payee by first class mail that it has received the order, and whether the order is a valid QILDRO or Calculation Order. If the System determines that the order is not valid, the notice will specify the reason or reasons.

d) A QILDRO or a Calculation Order that has been amended by the issuing court must be submitted in the same manner as the original order. A separate $50 non‑refundable processing fee is required for each new or amended order.

History

• Source: Amended at 39 Ill. Reg. 5259, effective March 20, 2015

80 Ill. Adm. Code 1650.1115 Benefits Affected by a QILDRO

a) A QILDRO may apply only to the following benefits administered by the System:

1. A monthly retirement benefit;

2. A single sum retirement benefit;

3. A termination refund;

4. A partial member's refund;

5. A return of accumulated contributions payable to a member's designated beneficiary upon death; and

6. A survivor benefit, if and only if payable as a lump sum.

b) If a QILDRO applies to any partial member's refund that becomes payable, the aggregate amount paid to the alternate payee from all partial member's refunds shall not exceed the amount specified in the QILDRO. The QILDRO must not differentiate between the type of partial member's refund. The partial member's refund will be administered as follows:

1. The alternate payee will always receive payment first, up to the full amount designated in the QILDRO, before the member receives any portion of a partial member's refund that becomes payable.

2. If the first partial member's refund that becomes payable is less than or equal to the amount designated in the QILDRO, the alternate payee will receive the entire refund payable.

3. If the first partial member's refund is insufficient to satisfy the full amount designated in the QILDRO, any subsequent partial member's refunds that become payable will be paid first to the alternate payee, up to the full amount designated in the QILDRO, with any remaining balance paid to the member.

c) A QILDRO shall not apply to any of the following:

1. A monthly survivor benefit;

2. A disability benefit as defined in Section 1650.1110(e) of this Subpart;

3. A Teachers' Retirement Insurance Program ("TRIP") benefit or any other health insurance benefit;

4. An error refund as defined in Section 1650.1110(d) of this Subpart; or

5. A Supplemental Savings Plan (SSP) account (see 40 ILCS 5/16-204); except as provided in a valid SSP QILDRO duly issued by a court of competent jurisdiction.

d) If a benefit or refund subject to a QILDRO is also subject to tax lien or withholding order, the System will deduct the amount due pursuant to the tax lien or withholding order prior to deducting the amount due pursuant to the QILDRO, until the System receives different instructions from a court of competent jurisdiction. It is the member's or alternate payee's responsibility to obtain clarification from the court if the QILDRO should take priority ahead of a competing tax lien or withholding order.

History

• Source: Amended at 49 Ill. Reg. 3382, effective March 3, 2025

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.1116 Effect of a Valid Qildro

a) If the QILDRO applies to a member who is not an annuitant of the System, the QILDRO will be placed in the member's file and will not be implemented until an affected benefit or refund to which the QILDRO applies becomes payable.

b) If the QILDRO applies to a member who is an annuitant of the System, payment to the alternate payee will begin with the first benefit or refund to which the QILDRO applies that falls at least 30 days after the valid receipt date of the QILDRO.

c) If the QILDRO expresses any amount payable to the alternate payee as a percentage, the System cannot pay the alternate payee such amount until the System receives a valid Calculation Order corresponding to the percentage in the underlying QILDRO.

1. When a retirement benefit subject to a percentage QILDRO on file with the System becomes payable and the System has not received a valid Calculation Order corresponding to the retirement benefit, the System will determine an anticipated payment to the alternate payee based on information in the QILDRO, if it is possible to do so. The System will hold the alternate payee's anticipated payment and begin paying the member's retirement benefit, less the amount held for the alternate payee, until the System receives a valid Calculation Order corresponding to the retirement benefit.

2. When a member's refund, partial member's refund, or lump-sum death benefit subject to a percentage QILDRO on file with the System becomes payable and the System has not received a valid Calculation Order corresponding to that refund or lump-sum death benefit, the System will hold the refund or lump-sum death benefit until the System receives a valid Calculation Order corresponding to that benefit or refund.

3. Once the System receives a Calculation Order, the System will adjust the amounts payable in accordance with the Calculation Order and begin paying the alternate payee.

4. If it is not possible for the System to determine an anticipated payment based only on the percentage QILDRO, then neither the member nor the alternate payee will be paid until the System receives a valid corresponding Calculation Order.

d) If the System receives a valid QILDRO that purports to apply to a member's refund, partial member's refund, or lump-sum death benefit that will be paid within 30 days after the valid receipt date, but the payment has not yet been vouchered, the System will hold the portion of the refund or lump-sum death benefit that would be payable to the alternate payee until it receives clarification from the court as to whether the QILDRO applies to that refund or lump-sum death benefit. It is the member's or alternate payee's responsibility to obtain such clarification from the court and to notify the System of the court's clarification.

e) If payment has already been vouchered when the System receives a QILDRO that purports to apply to the refund or lump-sum death benefit, the QILDRO shall not apply to that payment.

f) "Vouchered" as used in this Section means that the voucher has been signed and dated, even though the warrant has not been issued by the Office of the State Comptroller.

History

• Source: Amended at 32 Ill. Reg. 4073, effective February 28, 2008

80 Ill. Adm. Code 1650.1117 Qildros Against Persons Who Became Members Prior to July 1, 1999

a) A QILDRO that applies to a person who became a member of the System prior to July 1, 1999 must be accompanied by the original Consent to Issuance of QILDRO signed by the member. If the original has been filed with the court, a certified copy of the original is acceptable.

b) The Consent to Issuance of QILDRO must be in the form adopted by the System as of the valid receipt date of the QILDRO. The required consent form is available from the System on the System's website trsil.org, or upon request. A consent form that is not in the form adopted by the System is invalid.

c) In accordance with Section 1-119(m)(1) of the Act [40 ILCS 5/1-119(m)(1)], a consent form must be signed by the member to whom the QILDRO applies. A consent form signed by a judge or any person other than the member is invalid. In the event of a dispute regarding the validity of a member’s consent to issuance of a QILDRO, the System may, in its sole discretion, require a consent form bearing the member’s notarized signature.

History

• Source: Amended at 47 Ill. Reg. 9473, effective June 22, 2023

80 Ill. Adm. Code 1650.1118 Alternate Payee's Address

a) An alternate payee is responsible to report to the System in writing of each change in his or her name and mailing address.

b) When a member's retirement benefit, lump-sum death benefit, or refund subject to a QILDRO becomes payable, the System will send notice to the last address of the alternate payee reported to the System that the benefit or refund is payable. Other than sending such notice, the System shall have no duty to take any other action to locate an alternate payee.

c) The 180-day period during which the System will hold the retirement benefit, lump-sum death benefit, or refund as provided in Section 1-119(e)(2) of the Act [40 ILCS 5/1-119(e)(2)] begins on the date that the notice described in subsection (b) of this Section is sent to the last address of the alternate payee reported to the System, or on the date that the retirement benefit, lump-sum death benefit, or refund becomes payable, whichever is later.

d) If the System does not receive written confirmation of the alternate payee's current mailing address within the 180-day period, any amounts held will be paid to the regular payee, except for the situation described in subsection (e) of this Section.

e) For partial member's refunds as defined in Section 1650.1110(g), if the System knows the alternate payee's current mailing address but does not receive a completed withholding election form within the 180-day period, any amount held will be paid to the alternate payee, subject to mandatory 20 percent federal income tax withholding.

History

• Source: Amended at 32 Ill. Reg. 13534, effective August 6, 2008

80 Ill. Adm. Code 1650.1119 Electing Form of Payment

a) A member's election either to receive or forego a proportional annuity under Section 20 of the Retirement Systems Reciprocal Act [40 ILCS 5] is not a prohibited election under Section 1-119(j)(1) of the Code.

b) A member's election to take a refund is not a prohibited election under Section 1-119(j)(1) of the Code. However, a member's election to roll over a refund payment does not affect the alternate payee's right to payment of the amount designated in the QILDRO.

c) A member's election of a form of payment of annuity that reduces the member's total benefit, while still allowing full payment to the alternate payee under a QILDRO at the date of the election, is not a prohibited election under Section 1-119(j)(1) of the Code.

d) A member's failure to elect a 2.2 upgrade, or failure to make all upgrade contributions in a timely fashion, is not a prohibited election under Section 1-119(j)(1) of the Code.

e) A dependent beneficiary's election to receive monthly survivor benefits is not a prohibited election under Section 1-119(j)(1) of the Code.

f) A member's election of the Accelerated Annual Increase (AAI) provided in Section 16-190.6 of the Code, or the Accelerated Pension Benefit (APB) provided in Section 16-190.5 of the Code, is a prohibited election under Section 1-119(j)(1) of the Code, if so provided in Section 1650.3330.

g) The System may, in its sole discretion, hold a proposed election until clarification is obtained from a court of competent jurisdiction as to whether the proposed election is a prohibited election under Section 1-119(j)(1) of the Code. It shall be the duty of the member or alternate payee to obtain such clarification upon request of the System.

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

80 Ill. Adm. Code 1650.1120 Automatic Annual Increases

a) The alternate payee will or will not receive a proportionate share of any automatic annual increase in the member's retirement benefit under Section 16-136.1 of the Act [40 ILCS 5/16-136.1], according to the designation in the QILDRO.

b) Except as provided in subsection (c) of this Section, the initial increase in the amount due the alternate payee under the QILDRO is payable with the next succeeding increase due the member after the effective date of the QILDRO.

c) In the event that the effective date of the QILDRO is in the same month that the member's benefit is increased, the alternate payee's initial increase is not payable until the next succeeding increase in the member's benefit.

d) The System will calculate the amount of any increase payable to the alternate payee under the QILDRO.

e) The amount of any increase payable to the alternate payee (other than any increase resulting from the member's initial automatic annual increase) is the percentage of increase due the member under Section 16-133.1 or Section 16-136.1 of the Act [40 ILCS 5/16-133.1, 16-136.1], multiplied by the alternate payee's monthly benefit as of the date of the increase.

f) The amount of any increase payable to the alternate payee resulting from the member's initial automatic annual increase is the percentage of increase due the member under Section 16-133.1 or Section 16-136.1 of the Act [40 ILCS 5/16-133.1, 16-136.1], multiplied by the alternate payee's monthly benefit as of the date of the increase, multiplied by the following fraction:

1. The numerator is the number of months elapsed between:

A) The later of the effective date of the QILDRO or the date of retirement, and

B) The date that the initial increase becomes payable; and

2. The denominator is the number of months elapsed between:

A) The date of retirement, and

B) The date that the initial increase becomes payable.

History

• Source: Amended at 27 Ill. Reg. 1668, effective January 17, 2003

80 Ill. Adm. Code 1650.1121 Reciprocal Systems Qildro Policy Statement (repealed)

History

• Source: Repealed at 30 Ill. Reg. 17525, effective October 18, 2006

80 Ill. Adm. Code 1650.1122 Providing Benefit Information for Divorce Purposes

a) Within 45 days after receiving a subpoena or request from a member, the System will comply by providing a statement for divorce purposes regarding the value of a member's retirement benefit through June 30 of the last completed school year for which data are on file with the System, that contains the information prescribed by 40 ILCS 5/1-119(h). If requested, the System will also provide the TRS Member Guide, the TRS QILDRO publication, and this Subpart.

b) Within 45 days after receiving a percentage QILDRO, if the System receives the percentage QILDRO before the member has commenced receiving retirement benefits, the System will provide a statement including the following information:

1. School year of initial membership in the System;

2. Amount of permissive and regular service credit;

3. Non-reduced monthly retirement benefit estimate;

4. Earliest date when non-reduced monthly retirement benefit will become payable;

5. Permissive service credit purchased;

6. 2.2 upgrade information;

7. Refund upon termination of employment;

8. Survivor benefit contribution refund;

9. Lump-sum death benefit amount;

10. Whether the member has filed a retirement application; and

11. Intended retirement date, if the member has filed a retirement application.

c) Within 45 days after receiving a valid percentage QILDRO that designates an alternate payee share of the retirement benefit, and after the System receives all information necessary to determine the actual benefit payable, if the System receives the percentage QILDRO after the member has applied for or commenced receiving retirement benefits, the System will provide a statement including the following information:

1. Effective date of retirement;

2. Date retirement benefits commenced (or will commence);

3. Amount of permissive and regular service credit;

4. Actual monthly retirement benefit;

5. Survivor benefit contribution refund;

6. 2.2 upgrade refund; and

7. Lump-sum death benefit amount.

d) Within 45 days after the effective date of retirement of a member subject to a valid percentage QILDRO on file with the System that designates an alternate payee share of the retirement benefit, and after the System receives all information necessary to determine the actual benefit payable, the System shall provide a statement including the following information:

1. Effective date of retirement;

2. Date retirement benefits commenced (or will commence);

3. Amount of permissive and regular service credit;

4. Actual monthly retirement benefit;

5. Survivor benefit contribution refund;

6. 2.2 upgrade refund;

7. Lump-sum death benefit amount; and

8. If the QILDRO expresses any alternate payee share as a percentage, the notice will specify that the System must receive a valid corresponding Calculation Order before the System can implement that portion of the QILDRO.

e) Within 45 days after receiving notice of the death of a member, if lump-sum death benefits are subject to a valid QILDRO on file with the System, the System shall provide a statement indicating the lump-sum death benefit amount.

f) Information provided by the System for divorce purposes does not include the value of a member's retirement benefit accrued during a school year for which data are not yet on file with the System.

g) Information provided by the System for divorce purposes does not reflect an actuarial opinion as to the present values of a member's retirement benefit, refund, or other interests.

h) Information provided by the System for divorce purposes reflects the member's total service career for which service credit in the System has accrued, does not include reciprocal service accrued with another retirement system, and is not isolated as to the marital period only.

i) The System does not calculate the amount of a member's retirement benefit or refund that would be payable to a former spouse pursuant to a divorce decree or dissolution judgment.

j) While the System makes every effort to provide accurate information for divorce purposes, benefit estimates are by their nature approximate and subject to revision due to errors, omissions, erroneous assumptions, or future changes in the rules and laws governing the System.

k) In accordance with Section 1650.160 of this Part pertaining to the confidentiality of member records, the System does not disclose information for divorce purposes to spouses, former spouses, relatives, or other third parties, including the member's attorney, except in response to the member's written authorization to release such information, in response to a subpoena, or as provided in this Section 1650.1122.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

80 Ill. Adm. Code 1650.1123 Suspension and Expiration of a QILDRO

a) If a member who is an annuitant of the System subject to a valid QILDRO re-enters active TRS membership, payments to the alternate payee will be suspended for the same period of time that the member's retirement benefits are suspended. Resumption of the alternate payee's payments will be subject to the same limitations that apply to resumption of the member's benefits.

b) A QILDRO expires:

1. Upon the death of the alternate payee, in which case the right to receive the affected benefit or refund will revert to the member or the member's designated beneficiaries once the System has been provided with sufficient documentation to verify the death. In the case of a percentage QILDRO, if the death of the alternate payee occurs prior to the System's receipt of a valid Calculation Order, the interest of the alternate payee in any amounts subject to the QILDRO shall be extinguished.

2. Upon the death of the member and payment of all amounts subject to the QILDRO. In the case of a percentage QILDRO, if the death of the member occurs prior to the System's receipt of a valid Calculation Order, the interest of the alternate payee in any amounts subject to the QILDRO shall be extinguished, with the exception of any interest the alternate payee may have in a portion of any lump sum death benefit payable upon the death of the member.

3. When the member takes a refund that terminates membership in the System, even if the member's refund is paid to an alternate payee. A QILDRO that expires because the member took a refund is not revived by the member's subsequent return to membership in the System.

4. In accordance with the provisions of a valid court order terminating the QILDRO.

5. After payment of all amounts provided in the QILDRO.

6. Upon receipt of a valid QILDRO applicable to the same member and same alternate payee as provided in subsection (c).

c) Only one valid QILDRO may be in effect at any given time for the same member and same alternate payee. If the System has a valid QILDRO on file and subsequently receives another valid QILDRO applicable to the same member and same alternate payee, the subsequently received valid QILDRO shall supersede and replace the immediately preceding valid QILDRO, and the immediately preceding valid QILDRO shall be deemed expired. A QILDRO that expires due to receipt of a subsequent valid QILDRO is not automatically revived by a court order vacating or terminating the subsequent QILDRO. Any subsequent QILDRO must be submitted to the System as provided in Section 1650.1114.

History

• Source: Amended at 50 Ill. Reg. 4774, effective March 13, 2026

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.1124 Income Tax Reporting

For tax reporting of income received pursuant to a QILDRO, if the alternate payee is the annuitant's spouse or former spouse, the System will report income to the recipient and the nontaxable portion of the member's benefit will be allocated pro rata between the annuitant and the alternate payee. However, if the alternate payee is the annuitant's child or other dependent, the System will report income received by the child or other dependent to the annuitant, and the nontaxable portion of the member's benefit will be allocated to the annuitant.

History

• Source: Amended at 39 Ill. Reg. 5259, effective March 20, 2015

80 Ill. Adm. Code 1650.1125 Lump-Sum Death Benefit Allocation to Alternate Payee

The alternate payee share of any lump-sum death benefit will be satisfied as follows:

a) First, from any refund of accumulated or excess contributions, prior to any distribution to the designated beneficiaries.

b) Second, from any survivor benefit payable as a lump sum, prior to any distribution to the designated beneficiaries, subject to the following:

1. All eligible dependent beneficiaries will first elect whether to receive the survivor benefit in monthly payments or in a lump-sum payment.

2. If monthly payments are elected, no amount is payable to the alternate payee from those monthly survivor benefit payments.

3. If any portion of the survivor benefit is payable as a lump sum, the balance of any alternate payee share not paid from the refund of accumulated or excess contributions will be paid from the lump-sum survivor benefit, prior to any distribution to the designated beneficiaries.

c) If the refund of accumulated or excess contributions and the lump-sum survivor benefit are insufficient to satisfy the alternate payee share, no further amount is payable to the alternate payee.

d) The aggregate amount distributed to the alternate payee from any refund of accumulated or excess contributions and any lump-sum survivor benefit shall not exceed the alternate payee share.

e) All benefit overpayments will be deducted from any refund of accumulated or excess contributions and any lump-sum survivor benefit prior to paying the alternate payee share.

History

• Source: Added at 32 Ill. Reg. 4073, effective February 28, 2008

80 Ill. Adm. Code 1650.1200 Payroll Deduction Program Guidelines (repealed)

History

• Source: Repealed at 41 Ill. Reg. 718, effective January 11, 2017

80 Ill. Adm. Code 1650.1201 Employer Responsibility Under the Payroll Deduction Program (repealed)

History

• Source: Repealed at 41 Ill. Reg. 718, effective January 11, 2017

80 Ill. Adm. Code 1650.1202 Payroll Deduction Agreements – Suspensions and Terminations (repealed)

History

• Source: Repealed at 41 Ill. Reg. 718, effective January 11, 2017

80 Ill. Adm. Code 1650.1203 Payroll Deduction Program – Full-Time Employment Defined (repealed)

History

• Source: Repealed at 41 Ill. Reg. 718, effective January 11, 2017

80 Ill. Adm. Code 1650.1204 Payroll Deduction Program – Disability Defined (repealed)

History

• Source: Repealed at 41 Ill. Reg. 718, effective January 11, 2017

80 Ill. Adm. Code 1650.1205 Employer Payment of Member's Optional Service, Refund and/or Upgrade Contribution Balance (repealed)

History

• Source: Repealed at 41 Ill. Reg. 718, effective January 11, 2017

80 Ill. Adm. Code 1650.2900 Excess Benefit Arrangement

a) Adoption and Nature of the Arrangement.

1. The Arrangement. The Teachers' Retirement System of the State of Illinois, pursuant to the authority granted to it by 40 ILCS 5/1-116, hereby adopts the Teachers' Retirement System Excess Benefit Arrangement, effective January 1, 1997.

2. Nature of the Arrangement. This Arrangement is a portion of a governmental plan (as that term is defined in section 414(d) of the Internal Revenue Code of 1986, as amended, and Section 3(32) of the Employee Retirement Income Security Act of 1974, as amended), and is administered as a qualified governmental excess benefit arrangement pursuant to the provisions of Code section 415(m) (26 USC 415(m)).

b) Definitions. Each word or phrase defined in this subsection (b) shall have the following meaning whenever such word or phrase is capitalized and used herein, unless a different meaning is clearly required by the context of the Arrangement. The definition of any term in the singular may also include the plural.

1. "Annuitant" shall mean a person described in 40 ILCS 5/16-111.1.

2. "Arrangement" shall mean the Teachers' Retirement System Excess Benefit Arrangement, as from time to time amended or restated.

3. "Code" shall mean the Internal Revenue Code of 1986, as amended.

4. "Disability Retirement Annuity" shall mean the annuity payable to an Annuitant pursuant to 40 ILCS 5/16-149.2.

5. "Excess Benefit" shall mean the monthly equivalent of the difference between the Unrestricted Benefit and the Maximum Benefit.

6. "Maximum Benefit" shall mean the monthly equivalent of the maximum benefit permitted by Code section 415 to be paid an Annuitant or beneficiary under the Retirement Plan during any limitation year of the Retirement Plan.

7. "Member" shall mean a person who is a Member as that term is defined in 40 ILCS 5/16-107.

8. "Retirement Annuity" shall mean an annuity payable to an Annuitant pursuant to 40 ILCS 5/16-132 through 16-136.4.

9. "Retirement Plan" shall mean the retirement plan administered by the Teachers' Retirement System pursuant to 40 ILCS 5/Art. 16.

10. "Survivor Benefit Annuity" shall mean an annuity payable from the Retirement Plan to a beneficiary or beneficiaries of a Member or Annuitant as a result of the death of the Member or Annuitant pursuant to 40 ILCS 5/16-141 through 16-143.2.

11. "System" shall mean the Teachers' Retirement System of the State of Illinois.

12. "Unrestricted Benefit" shall mean the maximum monthly Retirement Annuity, Disability Retirement Annuity, or Survivor Benefit Annuity benefit payable under Article 16 of the Illinois Pension Code [40 ILCS 5/Art. 16], whichever is applicable, determined without regard to the limitation of the Code imposed under Code section 415.

c) Excess Benefits.

1. An Annuitant who is receiving a Retirement Annuity as provided under the Retirement Plan shall be entitled to receive an Excess Benefit for any month in which the Annuitant receives a Retirement Annuity benefit payment.

2. An Annuitant who is receiving a Disability Retirement Annuity as provided under the Retirement Plan shall be entitled to receive an Excess Benefit for any month in which the Annuitant receives a Disability Retirement Annuity benefit payment.

3. Upon the death of a Member or Annuitant whose beneficiary or beneficiaries are eligible for an annuity under the Retirement Plan, the Member's or Annuitant's beneficiary or beneficiaries who are receiving a Survivor Benefit Annuity shall be entitled to receive an Excess Benefit for any month in which the beneficiary or beneficiaries are receiving a Survivor Benefit Annuity.

4. Benefit Payment: A benefit payable under this subsection (c) shall be paid at such time or times and in such form to the Annuitant or his or her beneficiary as the benefit under the Retirement Plan would be paid. The Annuitant shall have the right to receive as a portion of his or her first payment hereunder an amount equal to the sum of the Excess Benefits otherwise payable to him or her since January 1, 1995, had this arrangement been in effect as of January 1, 1995.

d) Administration of the Arrangement.

1. Administrator: The Arrangement shall be administered by the System, which shall have the authority to interpret the Arrangement and issue such regulations as it deems appropriate. The System shall have the duty and responsibility to maintain records, making the requisite calculations and disbursing the payments under the Arrangement through the Comptroller of the State of Illinois. The System's interpretations, determinations, regulations, and calculations shall be final and binding on all persons and parties concerned.

2. Amendment and Termination: The System may amend or terminate the Arrangement at any time, provided, however, that no such amendment or termination shall adversely affect a benefit to which a Member or an Annuitant or his or her beneficiary is entitled under subsection (c) prior to the date of such amendment or termination unless the Member or Annuitant becomes entitled to an amount equal to such benefit under another arrangement, plan or practice adopted by the System.

3. Payments: The System will pay all benefits arising under the Arrangement and all costs, charges, and expenses relating to the Arrangement through appropriations received from the State of Illinois, except those costs normally borne by other agencies or offices of the State of Illinois.

4. Non-assignability of Benefits: The benefits payable under this Section or the right to receive future benefits under the Arrangement may not be anticipated, alienated, pledged, encumbered, or subjected to any charge or legal process.

5. Status of Arrangement: Nothing contained in this Section shall be construed as providing for assets to be held in trust or escrow or any other form of asset segregation for the Annuitant or for any other person or persons to whom benefits are to be paid pursuant to the terms of the Arrangement, the Annuitant's only interest under this Section being the right to receive the benefits set forth in this Section. To the extent the Annuitant or any other person acquires a right to receive benefits under the Arrangement, such right shall be no greater than the right of any unsecured, general creditor of the State of Illinois.

6. Applicable Law: All questions pertaining to the construction, validity, and effect of the Arrangement shall be determined in accordance with the laws of the United States and, to the extent not pre-empted by such laws, by the laws of the State of Illinois.

7. Forfeiture Provisions: All rights to any benefits payable under the Arrangement, including the payment of any unpaid benefit installments, shall be immediately forfeited if the Member's or Annuitant's right to receive an annuity benefit under the Retirement Plan is terminated in accordance with 40 ILCS 5/16-199.

History

• Source: Amended at 26 Ill. Reg. 11476, effective July 11, 2002

80 Ill. Adm. Code 1650.3000 Summary and Purpose

This Subpart P implements the provisions of Public Act 96-6 to ensure investment transparency and objective consideration of potential investment managers and consultants, as authorized by the Illinois Pension Code [40 ILCS 5/1-113.14]. Procurement of all investment services by the Teachers' Retirement System of the State of Illinois is conducted in accordance with the competitive selection procedures set forth in this Subpart.

History

• Source: Added at 34 Ill. Reg. 7787, effective May 21, 2010

80 Ill. Adm. Code 1650.3005 Definitions

a) The definitions in Articles 1 and 16 of the Illinois Pension Code [40 ILCS 5/Arts. 1 and 16] apply to this Subpart.

b) The definition of "investment services" in the Illinois Pension Code [40 ILCS 5/1‑113.14(a)] applies to this Subpart.

c) "System" means the Teachers' Retirement System of the State of Illinois.

d) "Consultant" means the independent investment consulting firm or firms contractually engaged by the System to provide general or specialty investment consulting services for the prudent administration of the System's investment portfolio.

e) "Board" means the Board of Trustees of the Teachers' Retirement System of the State of Illinois.

f) "Investment Committee" means the investment committee of the Board of Trustees of the Teachers' Retirement System of the State of Illinois.

g) "Manager Database" means an industry database of institutional quality registered investment management firms utilized by the consultant as described in this Subpart.

h) "Oversight Committee" refers to the applicable internal staff governance committee, including, but not limited to, the following:

1. Public Markets Oversight Committee (PMOC)

2. Private Capital Oversight Committee (PCOC)

3. Real Asset Oversight Committee (RAOC)

4. Diversifying Strategies Oversight Committee (DSOC)

5. Real Estate Oversight Committee (REOC)

6. TRS Staff Investment Committee (TRSIC)

i) "Staff" means the professional investment staff of the Teachers' Retirement System responsible for the applicable asset class.

History

• Source: Amended at 39 Ill. Reg. 14989, effective October 30, 2015

80 Ill. Adm. Code 1650.3010 Public Markets Manager Database

a) The consultant makes use of an industry database (Manager Database) containing institutional quality firms that are registered investment managers. No fee is required to participate in the Manager Database.

b) The Manager Database serves as the primary pool from which the System identifies candidates for public market investment manager searches.

c) To be considered in a public market search, all interested investment managers not currently in the Manager Database should ensure that all required information has been submitted to the Manager Database prior to the screening dates specified in the candidate profiles described in Sections 1650.3017, 1650.3020 and 1650.3025. Should a search be conducted for which a developed database does not exist or is incomplete, investment managers may also submit or be requested to submit a written Request for Information (RFI).

d) The consultant's contact information is available on the TRS website (https://www.trsil.org).

History

• Source: Amended at 42 Ill. Reg. 13666, effective June 29, 2018

80 Ill. Adm. Code 1650.3015 Emerging Investment Managers

a) The System's Emerging Manager Program is broadly available across all asset classes. The program is open to any firm meeting the definition of "emerging investment manager" as defined in Section 1-109.1(4) of the Illinois Pension Code and to any other younger, growing investment firms with smaller asset bases and developing track records. Any firm interested in participating in the Emerging Manager Program may submit the appropriate questionnaire provided on the TRS website (https://www.trsil.org). All responses are reviewed by staff and included in the System's emerging manager database.

b) Staff screens the System's database for emerging manager candidates across all asset classes and actively pursues other potential candidates not included within the database through industry participation and other networking channels.

c) Based on review of the database and submitted questionnaires, staff meets to identify managers that appear to have the highest probability of success over the next three to five years and the potential for graduation from the Emerging Manager Program into the main portfolio.

d) Staff and the consultant conduct in-person interviews of managers at the System's offices or an alternate location agreed upon by the System and the manager.

e) Following favorable results of the in-person interviews, staff identifies finalist firms for on-site due diligence at the candidate firm's offices. On-site visits and finalist recommendations must be approved by the applicable Oversight Committee.

f) After on-site due diligence is completed, staff initiates fee and contract negotiations with the finalist firms. All contracts and related documentation relative to hiring an investment manager, including any open items relating to fee or contract terms, must be disclosed and negotiated in final form prior to final commitment.

g) Any finalist firm that successfully passes staff due diligence review (including approval of the applicable Oversight Committee) and fee and contract negotiations is eligible for final commitment from staff and may be invited to present to the Investment Committee.

History

• Source: Amended at 42 Ill. Reg. 13666, effective June 29, 2018

80 Ill. Adm. Code 1650.3017 Candidate Profile for Investment Manager Searches

a) The candidate profile described in this Subpart P is a customized written document prepared by staff that specifically defines the detailed requirements of a given investment manager search and the investment manager qualifications and characteristics that are sought in the particular search.

b) To ensure accessibility to the public, whenever an investment manager search is initiated, the candidate profile document is posted to the TRS website. To ensure global transparency, all investment manager searches are available on the Illinois Procurement Policy Board website via a link to the TRS website.

c) The candidate profile document delineates all relevant information and metrics particular to the given search. The information and metrics are specific to each manager search, and customized based on the necessary qualifications for the search. Evaluation criteria and minimum qualifications will generally be comprised of the following:

1. Manager style;

2. Manager type;

3. Minority investment manager inclusion;

4. Amount to be allocated;

5. Investment vehicles;

6. Process for identification of candidates;

7. Process for selection of semi-finalist candidates;

8. Process for selection of finalists;

9. Minimum asset requirement;

10. Minimum professional investment experience;

11. Stability of professional staff;

12. Geographic location;

13. Involvement with other business;

14. Financial well-being of firm;

15. Long range plan;

16. Investment style;

17. Investment research;

18. Minimum performance record;

19. Performance preferred attributes;

20. Performance comparisons;

21. Client communications and rapport;

22. Fees;

23. Compliance with Illinois State law and divestment restrictions; and

24. Manager guidelines and investment management agreement.

History

• Source: Amended at 42 Ill. Reg. 13666, effective June 29, 2018

80 Ill. Adm. Code 1650.3020 Public Market Searches

a) The Board authorizes the System's asset allocation targets and asset class structure by recorded vote in a business meeting of the Board conducted in accordance with the Open Meetings Act [5 ILCS 120]. Staff may initiate searches as necessary to implement the System's asset allocation and/or manager structure.

b) At each meeting of the Investment Committee, staff will notify the Board of search activity, including the outcome of all completed searches.

c) With the initiation of a search, staff, working with the consultant, prepares a written candidate profile that lists specific requirements for each search, as described in Section 1650.3017. The candidate profile identifies specific quantitative and qualitative factors, such as:

1. Minimum assets under management;

2. Minimum track record;

3. Risks relative to benchmarks;

4. Return relative to benchmarks over various time periods;

5. Size and tenure of professional staff;

6. Investment strategy and process; and

7. Organizational stability and strength.

d) The candidate profile is posted on the TRS website to allow all interested candidates to review the search criteria and understand how to participate in the search.

e) The candidate profile identifies a specific screening period during which the consultant will screen the Manager Database or other candidate information to identify all managers meeting the criteria of the candidate profile.

f) During the screening period identified in the candidate profile, staff and the consultant identify all candidates in the Manager Database that meet the quantitative criteria specified in the candidate profile.

g) Staff and the consultant review the candidate list to eliminate any managers that fail to meet qualitative screens. All emerging managers, as defined in Section 1‑109.1(4) of the Illinois Pension Code, that meet the minimum criteria of the search will be identified and the most promising emerging manager candidates will be included in the selection process described in this Section.

h) Staff and the consultant further refine the candidate list to identify semi-finalist firms that, based on criteria in the candidate profile, appear to have the highest probability of success over the next three to five years. In the event more information is necessary to narrow the semi-finalist list, a standardized Request for Information (RFI) may be issued to the pool of eligible semi-finalists to facilitate further in-depth analysis by staff and the consultant. Semi-finalists in this case are selected from the RFI submissions.

i) Staff conducts in-person interviews of semi-finalist firms at the System's offices or an alternate location agreed upon by the System and the firm. Semi-finalist candidates must be approved by the applicable Oversight Committee.

j) Following favorable results of the in-person interviews, staff identifies finalist firms for formal due diligence meetings, typically at the candidate firm's offices. Due diligence meetings and finalist recommendations must be approved by the applicable Oversight Committee.

k) Following favorable due diligence review and successful contract and fee negotiations, a finalist candidate is, or candidates are, presented to the applicable Oversight Committee for final approval.

l) Documentation to the applicable Oversight Committee will include a timeline of the search process, a summary of that process, and confirmation that the search was conducted in accordance with TRS policy.

m) With approval of the applicable Oversight Committee, staff is authorized to implement the recommendation.

n) At the next scheduled meeting of the Investment Committee following the commitment, staff will provide the Committee a report of commitment activity.

o) If any eligible managers, as defined in Section 1-109.1(4) of the Illinois Pension Code, meet the minimum criteria of the search, the most qualified emerging candidate will be invited to present as a finalist to the Investment Committee at its next scheduled meeting.

History

• Source: Amended at 42 Ill. Reg. 13666, effective June 29, 2018

80 Ill. Adm. Code 1650.3025 Small and Mid Cap Equity Searches

a) The Board has authorized and directed staff to continuously monitor the investment manager universe for attractive small and mid cap public equity candidates. Staff and the consultant formally screen the full manager universe on a semi-annual basis following the end of each fiscal and calendar year.

b) Following the semi-annual screening of the small cap and/or mid-cap equity database, the search process continues in a manner consistent with the public search process in Section 1650.3020.

History

• Source: Amended at 36 Ill. Reg. 7688, effective May 4, 2012

80 Ill. Adm. Code 1650.3030 Private Market and Commingled Fund Searches

a) Funds and managers are opportunistically reviewed as they are available in the market based on the System's tactical plans and quality of the fund's or manager's team, process and strategy.

b) Each year, staff, working with the consultants, prepare tactical plans for private market investments to the Investment Committee. The annual tactical plans establish allocation targets for opportunistic investments within the private equity, real estate, and diversifying strategies asset classes for the upcoming year. Tactical plans also establish investment guidance for segments of the System's real assets and income asset classes.

c) Summaries of the System's annual tactical plans are posted on the TRS website (https://www.trsil.org) following Board approval. Investment focus for the fiscal year is specified in the annual tactical plan summaries for all interested funds and managers to review.

d) Funds and managers interested in participating in the System's alternative investment program and meeting the investment focus specified in the annual tactical plans may identify themselves to the System or its consultants via email, as instructed on the TRS website.

e) Over the course of the tactical plan period, staff reviews all information received from funds and managers that best position the System's investment portfolio for its intended strategic allocation targets.

f) Staff eliminates any investment opportunities that fail to meet the System's qualitative requirements and/or do not fit into a strategic allocation defined in the annual tactical plans.

g) Any fund or manager meeting the criteria set forth in the annual tactical plan and deemed to be a complementary fit to the portfolio may be invited to interview with staff in person or via conference call.

h) Following favorable interview results and staff research into the fund offering or manager, the fund or manager may be asked to complete the System's standardized comprehensive due diligence questionnaire.

i) Following continued favorable review, staff proceeds with formal due diligence meetings, typically at the candidate firm's offices. Any recommendation for due diligence meetings must be approved by the applicable staff Oversight Committee.

j) After due diligence is completed, staff initiates fee and contract negotiations with the finalist firm. All contracts and related documentation relative to hiring a fund or manager, including any open items relating to fee or contract terms, must be disclosed and negotiated in final form prior to final commitment.

k) Any finalist firm that successfully passes due diligence review and fee and contract negotiations is presented to the applicable Oversight Committee. With applicable Oversight Committee approval, staff is authorized to implement the recommendation.

l) At the next scheduled meeting of the Investment Committee following the commitment, staff will provide the Committee a report of commitment activity.

History

• Source: Amended at 42 Ill. Reg. 13666, effective June 29, 2018

80 Ill. Adm. Code 1650.3032 Co-Investment Opportunities

a) The System's alternative investment relations will often present opportunities for co-investment alongside fund investments. When these investments are complementary to the portfolio, it is advantageous to the System to participate in these opportunities as they provide return enhancement at lower fee structures.

b) Co-investment opportunities are typically presented to TRS staff from existing alternative investment managers. Staff conducts their own separate due diligence on each co-investment opportunity.

History

• Source: Added at 36 Ill. Reg. 7688, effective May 4, 2012

80 Ill. Adm. Code 1650.3035 Private Market Real Estate Separate Account Searches

a) Each year, staff, working with the consultants, prepares an annual tactical plan for the management and allocation of the System's real estate portfolio. The tactical plan establishes investment guidelines, including the allocation to TRS's separate account advisors. The Board approves the annual tactical plan by recorded vote in a business meeting of the Board conducted in accordance with the Open Meetings Act [5 ILCS 120].

b) Staff may initiate searches as necessary to implement the System's real estate tactical plan and/or fill vacancies within the manager structure.

c) Following authorization by the applicable Oversight Committee, staff, working with the consultant, prepares a standardized RFI that lists specific requirements for the search. The RFI identifies specific quantitative and qualitative factors, such as:

1. Minimum assets under management;

2. Minimum track record;

3. Risks relative to benchmarks;

4. Return relative to benchmarks over various time periods;

5. Size and tenure of professional staff;

6. Investment strategy and process; and

7. Organizational stability and strength.

d) The RFI is posted on the TRS website (https://www.trsil.org) to allow all interested candidates to review the search criteria and understand how to participate in the search.

e) The RFI identifies a specific timeline for interested candidates to submit their responses to the RFI.

f) Following the RFI deadline, staff and the consultant identify and rank all candidates' submissions that meet the quantitative criteria specified in the RFI.

g) Staff and the consultant review the candidate list to eliminate any managers that fail to meet qualitative screens. All emerging managers, as defined in Section 1‑109.1(4) of the Illinois Pension Code, that meet the minimum criteria of the search will be identified and the most promising emerging manager candidates will be included in the selection process described in this Section.

h) Staff and the consultant further refine the candidate list to identify semi-finalist firms that, based on criteria in the RFI, appear to have the highest probability of success over the next three to five years.

i) Staff conducts in-person interviews of semi-finalist firms at the System's offices or an alternate location agreed upon by the System and the firm. Semi-finalist candidates must be approved by the applicable Oversight Committee.

j) Following favorable results of the in-person interviews, staff identifies finalist firms for formal due diligence meetings, typically at the candidate firm's offices. Due diligence meetings and finalist recommendations must be approved by the applicable Oversight Committee.

k) Any finalist firm that successfully passes due diligence review and fee and contract negotiations is presented to the Oversight Committee for consideration.

l) At the next scheduled meeting of the Investment Committee following the commitment, staff will provide the Committee a report of commitment activity.

m) If any eligible emerging managers, as defined in Section 1-109.1(4) of the Illinois Pension Code, meet the minimum criteria of the search, the most qualified emerging manager candidate will be invited to present as a finalist to the Investment Committee.

History

• Source: Amended at 42 Ill. Reg. 13666, effective June 29, 2018

80 Ill. Adm. Code 1650.3040 Consultant Searches

a) In accordance with Section 1-113.14(d) of the Illinois Pension Code, investment consultants may serve for a maximum five-year term. Any incumbent consultant is eligible to submit a proposal for the new engagement.

b) Staff may initiate a search to provide general or specialty investment consulting services to the System through a formal Request for Proposal (RFP) process.

c) Following initiation of a search, staff prepares an RFP containing the following information:

1. The type of services required;

2. An estimate of when and for how long the services will be required;

3. The contract to be used;

4. The date and time by which proposals must be submitted; and

5. A statement of the information the proposal must contain.

d) The RFP is posted on the TRS website (https://www.trsil.org) to allow any interested candidate to review the search criteria. The RFP notice posted on the TRS website summarizes the services sought, tells how and where to submit proposals, specifies the deadline for submitting proposals, and tells when and where proposals will be publicly opened and how to obtain paper copies of the RFP.

e) Proposals submitted in response to an RFP must comply with all requirements set forth in the RFP and submitted within the time frame specified in the RFP. Proposals are date and time stamped upon receipt. Proposals that arrive late for any reason will not be considered.

f) Proposals are publicly opened at the date and time specified on the TRS website. Staff reviews all proposals timely received to ensure all required information is included. Proposal information is publicly available following execution of a contract with the successful firm.

g) Staff identifies and ranks all proposals meeting all minimum qualifications specified in the RFP to identify semi-finalist firms.

h) Staff conducts in-person interviews of semi-finalist firms at the System's offices or alternate location agreed upon by the System and the firm.

i) Following favorable results of the in-person interviews, staff identifies finalist firms for formal due diligence meetings, typically at the candidate firms' offices.

j) After due diligence is completed, staff initiates fee and contract negotiations with finalist firms. All contracts and related documentation relative to hiring a consultant must be negotiated in final form prior to Investment Committee consideration. Contracts for consultant services may not exceed five years in duration.

k) Any finalist firm that successfully passes due diligence review and fee and contract negotiations is presented to the Investment Committee for consideration.

History

• Source: Amended at 42 Ill. Reg. 13666, effective June 29, 2018

Chapter III Teachers' Retirement System of the State of Illinois

Part 1650 The Administration and Operation of the Teachers' Retirement System

80 Ill. Adm. Code 1650.3045 Evaluation by Investment Committee

a) The Investment Committee ensures that the decision and process to hire a particular investment manager or consultant, or to approve a specific investment, is well-reasoned, thoroughly considered and prudent.

b) The Investment Committee may review written supporting documentation to assure the greatest possible disclosure of all relevant issues; that the search process, investment sourcing and related due diligence was fair; and that the screening process was consistently applied.

c) Upon approval by the Investment Committee, any recommendation to hire a particular investment manager or consultant, or to approve a specific investment, is submitted to the Board for decision.

History

• Source: Amended at 42 Ill. Reg. 13666, effective June 29, 2018

80 Ill. Adm. Code 1650.3100 Summary and Purpose

a) This Subpart Q is intended to implement compliance requirements imposed on the Teachers' Retirement System of the State of Illinois (System) by the United States Internal Revenue Service (IRS). On April 13, 2011, the System received a favorable determination letter reflecting the view of the IRS that the System complies in form with the applicable requirements for qualification under the Internal Revenue Code of 1986, as amended (26 USC). In connection with the determination letter application, the System submitted to the IRS proposed amendments to the provisions of Article 16 of the Illinois Pension Code [40 ILCS 5/16]. The IRS approved those proposed amendments by issuing a compliance statement, and adoption of the proposed amendments is necessary for continued reliance on the IRS compliance statement and favorable determination letter. While the System worked diligently to seek legislative enactment, the proposed amendments to Article 16 of the Illinois Pension Code have not yet been enacted by action of the Illinois General Assembly and signature by the Illinois Governor.

b) The System therefore requested, and the IRS has issued, a revised compliance statement approving adoption of the proposed amendments to be made to the Illinois Administrative Code, rather than to the Illinois Pension Code. To ensure the continued qualification of the retirement plan administered by the System and continued reliance on the IRS compliance statement and favorable determination letter, the purpose of this Subpart Q is to promulgate the required amendments to the System regarding the plan qualification requirements.

History

• Source: Added at 35 Ill. Reg. 19541, effective November 18, 2011

80 Ill. Adm. Code 1650.3105 Exclusive Benefit Rule

Prior to the satisfaction of all liabilities to members or their beneficiaries, no part of the corpus or income of the System shall be used for, or diverted to, purposes other than for the exclusive benefit of the System's members, annuitants and beneficiaries.

History

• Source: Added at 35 Ill. Reg. 19541, effective November 18, 2011

80 Ill. Adm. Code 1650.3110 Userra (uniformed Services Employment and Reemployment Rights Act (38 Usc 4301-4335)) Compliance

The provisions of 40 ILCS 5/1-118 (veterans' rights) shall be effective with respect to the System beginning December 12, 1994.

History

• Source: Added at 35 Ill. Reg. 19541, effective November 18, 2011

80 Ill. Adm. Code 1650.3115 Required Minimum Distributions

The provisions of 40 ILCS 5/1-116.1 (required distributions) shall be effective with respect to the System beginning January 1, 1987.

History

• Source: Added at 35 Ill. Reg. 19541, effective November 18, 2011

80 Ill. Adm. Code 1650.3120 Federal Contribution and Benefit Limitations

The System shall comply with the applicable contribution and benefit limitations imposed by section 415 of the Internal Revenue Code. This Section is effective for years beginning January 1, 1976 through January 14, 1991 (the effective date of 40 ILCS 5/1-116).

History

• Source: Added at 35 Ill. Reg. 19541, effective November 18, 2011

80 Ill. Adm. Code 1650.3125 Mortality Tables and Interest Rates

The mortality tables and interest rates adopted by the Board of Trustees of the System from time to time in accordance with 40 ILCS 5/16-122 shall apply to 40 ILCS 5/16 as though such provisions were fully set forth in 40 ILCS 5/16. This Section applies beginning July 1, 1984.

History

• Source: Added at 35 Ill. Reg. 19541, effective November 18, 2011

80 Ill. Adm. Code 1650.3200 Definitions

For purposes of this Subpart R, "Tier II" means the provisions of Section 1-160 of the Illinois Pension Code that apply to certain members and annuitants of the Teachers' Retirement System of the State of Illinois (the "System") as defined therein.

History

• Source: Added at 40 Ill. Reg. 14099, effective September 28, 2016

80 Ill. Adm. Code 1650.3220 Automatic Increase in Tier Ii Disability Benefits

a) A Tier II member or annuitant receiving a disability benefit under the provisions of Section 16-149, 16-149.1 or 16-149.2 of the Code shall receive a 7% increase in the member's or annuitant's initial disability benefit on the January 1 following the fourth anniversary of the granting of the disability benefit.

b) On each January 1 following the 7% increase, the member's or annuitant's Tier II disability benefit shall be increased by 3% or one-half the annual unadjusted percentage increase (but not less than zero) in the consumer price index-u for the 12-month period ending with the September preceding each November 1, whichever is less, of the initial disability benefit.

c) If the annual unadjusted percentage change in the consumer price index-u preceding November 1 is zero or there is a decrease, the Tier II member's or annuitant's disability benefit shall not be increased.

d) For persons receiving a disability retirement annuity under Section 16-149.2 of the Code, any prior annual increases shall cease as soon as the person is eligible to receive the annual increase provided in Section 1-160(e) of the Code.

History

• Source: Added at 40 Ill. Reg. 14099, effective September 28, 2016

80 Ill. Adm. Code 1650.3221 Tier Ii Disability Retirement Annuity Final Average Salary

Final average salary for the purpose of determining a Tier II disability retirement annuity under Section 16-149.2 of the Illinois Pension Code shall be:

a) For a Tier II member with less than 8 years of creditable service, the average salary during the member's entire period of creditable service.

b) For a Tier II member with 8 or more years of creditable service, the average salary for the highest 8 consecutive years within the last 10 years of creditable service as determined under Section 1-160(b) of the Code.

History

• Source: Added at 40 Ill. Reg. 14099, effective September 28, 2016

80 Ill. Adm. Code 1650.3222 Tier Ii Disability Retirement Annuity Calculation

a) The Tier II disability retirement annuity shall be equal to the larger of:

1. 35% of the most recent annual contract salary rate or, for part-time and substitute members, the most recent annualized salary rate; or

2. If the disability commences prior to the member's attainment of age 62, the amount computed in accordance with Section 16-133 of the Code, provided the amount computed under Section 16-133(a)(B) shall be reduced by ½ of 1% for each month that the member is less than age 62; or

3. If the disability commences after the member's attainment of age 62, and the member is not receiving a retirement annuity under Section 16-133 of the Code, the amount computed in accordance with Section 16-133.

b) The Tier II disability retirement annuity shall be reduced by ½ of 1% for each month that the member is less than age 67 at the time the retirement annuity begins. However, this reduction shall not apply if the member retires on account of disability under Section 16-149.2 of the Code with at least 10 years of creditable service.

History

• Source: Added at 40 Ill. Reg. 14099, effective September 28, 2016

80 Ill. Adm. Code 1650.3230 Contributions for Tier Ii Members with Reciprocal Earnings

The annual Tier II salary limitations set forth in Section 1-160(b-5) of the Illinois Pension Code shall be applied by the System without regard to whether a member has earnings in a reciprocal system as defined in Article 20 of the Code in that plan year.

History

• Source: Added at 40 Ill. Reg. 14099, effective September 28, 2016

80 Ill. Adm. Code 1650.3300 General Provisions

The following terms, phrases, and requirements shall apply to the System's administration of the buyout programs established under Sections 16-190.5 and 16-190.6 of the Code.

a) Definitions

"Accelerated Annual Increase Buyout" or "AAI Buyout" means the accelerated pension benefit payment for a reduction in annual retirement annuity and survivor's annuity increases provided in Section 16-190.6 of the Code.

"Accelerated Pension Benefit Buyout" or "APB" means the accelerated pension benefit payment in lieu of any pension benefit provided for in Section 16-190.5 of the Code.

"Article 16" means Article 16 of the Pension Code (Teachers' Retirement System of the State of Illinois).

"Buyout Payment" means an accelerated pension benefit payment issued under Section 16-190.5 or 16-190.6 of the Code.

"Buyout Programs" means the provisions of Section 16-190.5 allowing for member election of an accelerated pension benefit payment in lieu of any pension benefit, and the provisions of Section 16-190.6 allowing for member election of an accelerated pension payment for a reduction in annual retirement annuity and survivor's annuity increases.

"Code" means the Pension Code [40 ILCS 5].

"Effective Date of the Election" means the date the System receives the member's election to receive a buyout payment in the form prescribed by the System.

"Election Window" means a period of time of not less than 90 days designated by start and end dates determined by the System during which an eligible member may elect the buyout.

"Factor" refers to actuarial assumptions, as determined by the System's actuaries pursuant to Section 16-176 of the Code, specifically developed to calculate buyout payments in accordance with Sections 16-190.5 and 16-190.6.

"Terminated", as used in Section 16-190.5, means an inactive member who has separated from service with a TRS-covered employer for at least four consecutive months, as provided in Section 16-151 of the Code.

"Valid Election" means the System has received the member's buyout application form prescribed by the System, proof of birth if not already on file with the System, and the alternate payee's written consent if required by Section 1650.3330.

b) Assumptions, Information and Payments

1. For purposes of calculating buyout payments and administering the buyout programs in a reasonable and efficient manner within the constraints imposed by the Code, the System will apply uniform assumptions as determined by the System for all eligible members using the TRS rate of return for discounting future benefit streams and the member's actual age, but irrespective of individual demographic characteristics such as marital status, gender, dependents, etc.

2. The System will use its best efforts to provide accurate and sufficient information to allow an eligible member to make an informed decision whether to elect either of the buyout programs. The member is solely responsible for his or her decision and is encouraged to seek personal financial, legal or other professional advice as necessary and appropriate given individual circumstances. In no event will the System bear any liability for the member's buyout decision.

3. All buyout payments will be funded from the State Pension Obligation Acceleration Bond Fund (see Sections 16-190.5(f) and 16-190.6(d-5) of the Code). The System will administer buyout payments as long as bond proceeds are available (see Section 7.7 of the General Obligation Bond Act [30 ILCS 330]). To protect the System's tax-qualified status as contemplated in Sections 16-190.5(h) and 16-190.6(f), under no circumstances, including unavailability or depletion of bond proceeds, will trust assets of the System be used for any buyout payment.

4. If bond proceeds from the State Pension Obligation Acceleration Bond Fund are depleted or otherwise unavailable to fund buyout payments, the buyout election will be cancelled and any benefits or refunds due the member or member's designated beneficiaries will be calculated according to Articles 1 and 16 of the Code that would apply in the absence of the buyout election.

c) Rollover Distributions

1. All buyout payments will be issued in accordance with Section 1650.470.

2. Notwithstanding the language contained in Sections 16-190.5(e) and 16-190.6(d) of the Code, in order for the System to maintain its tax-qualified status as contemplated in Sections 16-190.5(h) and 16-190.6(f), the member may elect to have a portion of the buyout payment paid to an eligible retirement plan in a direct rollover and to have the remainder paid as a direct distribution to the member.

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

80 Ill. Adm. Code 1650.3310 Accelerated Annual Increase Buyout Program

a) In accordance with Section 16-190.6(b) of the Code, to be eligible for the AAI buyout, a member's retirement date for TRS benefit purposes and the effective date of the AAI buyout election must both occur within the effective dates of the buyout program.

b) The System will notify each eligible member, when applying for a retirement benefit, of the AAI buyout. It is the member's responsibility to comply with all instructions and requirements to achieve a valid election.

c) A member's election of the AAI buyout becomes irrevocable when the member becomes an annuitant as defined in Section 1650.221.

d) The AAI buyout payment will be calculated as follows:

1. Calculate the member's monthly retirement benefit under the applicable provisions of Article 16. If the member has elected a reversionary annuity under Section 16-136, calculate the monthly benefit after the reversionary reduction.

2. Multiply the result by the 70% of Difference in Monthly Benefit Factor.

e) Under Section 16-138(2) of the Code, the amount payable upon the death of the annuitant will be reduced by the amount of any buyout payment issued to the annuitant.

f) The annual increases for a reversionary annuity under Section 16-136 for beneficiaries of a member who received an AAI buyout payment will be calculated pursuant to Section 16-190.6(b-6). If the reversionary beneficiary pre-deceases the annuitant, the buyout payment will not be adjusted.

g) A member currently receiving, or who has ever received, a disability retirement annuity under Section 16-149.2 of the Code is not eligible to elect the AAI buyout.

h) If the System determines after issuance that an AAI buyout payment was more than should have been paid by an amount greater than $100, the System shall assert a claim for the overpayment in accordance with Section 1650.595 against future benefits to be paid the annuitant or his or her beneficiaries.

i) If the System determines after issuance that an AAI buyout payment was less than should have been paid by an amount greater than $100, the System shall request additional funds from the State Pension Obligation Acceleration Bond Fund to process an additional buyout payment for the difference. To protect the System's tax-qualified status (see Section 16-190.6(f)), under no circumstances, including unavailability or depletion of bond proceeds, will trust assets of the System be used for any additional buyout payment.

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

80 Ill. Adm. Code 1650.3320 Accelerated Pension Benefit Buyout Program

a) Each year of the APB program, the System will notify all known eligible terminated members about the buyout and instructions for electing the APB buyout and the dates of the applicable election window, unless the member was notified in a prior year. The System will notify that member if the termination refund payable under Section 16-151 of the Code exceeds the amount of the APB buyout payment calculated by the System in accordance with this Section. It is the member's responsibility to comply with all TRS instructions and requirements to achieve a valid election. A member may not revoke the election after the close of the applicable election window.

1. During each year of the program, eligible members receiving an offer will be notified of the window to elect the buyout. An otherwise eligible member who fails to elect the APB during that year's election window must contact the System to be included in any subsequent year's election window.

2. If the actual amount of APB buyout payment is less than the amount of the offer by a factor of 10% or more, the member may withdraw the election before the applicable election window closes and revert to the provisions of Article 16 that would apply in the absence of the APB buyout election.

b) The APB buyout payment will be calculated as follows:

1. Calculate the member's monthly retirement benefit under the applicable provisions of Article 16 at the member's retirement age as determined by the System, based on the member's service credit, age at separation, and current age as of June 30 of the same calendar year as the start date of the applicable election window. If the member is eligible for an actuarial benefit under Section 16-133(a)(A), the retirement benefit will be calculated as of the member's retirement age as determined by the System, or as of June 30 of the same calendar year as the start date of the applicable election window, whichever is later.

2. Multiply the result by the applicable 60% of Monthly Benefit Factor.

c) A member's APB election will be canceled prior to issuance of the buyout payment and any benefits or refunds due the member or the member's designated beneficiaries will be calculated according to the provisions of Article 16 that would apply in the absence of the buyout election, when any of the following events occur:

1. The member has not complied with all requirements to constitute a valid election by the expiration of the APB program.

2. The member dies after electing the APB but prior to the issue date of the buyout payment.

3. A Required Minimum Distribution (RMD) is payable to the member in accordance with federal law.

4. The System determines the member is ineligible to participate in the buyout program.

5. The member withdrew the election as provided in this Section.

d) The calculation of the APB buyout payment becomes final as of the payment issue date and will not be adjusted for any reason.

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

80 Ill. Adm. Code 1650.3330 Qildro Administration with Buyout Programs

a) The System will administer Qualified Illinois Domestic Relations Orders (QILDROs) issued in accordance with Section 1-119 of the Code as follows with respect to the buyout programs. The definitions and other provisions of Subpart M are applicable unless otherwise provided in this Subpart S.

b) A member's buyout election is a prohibited election requiring the alternate payee's written consent, in accordance with Section 1-119(j)(1), if the alternate payee would be entitled to receive a share of the buyout payment under the most recent valid QILDRO on file with the System as of the effective date of the election as defined in Section1650.3300(a). If the alternate payee does not provide the written consent by the expiration of the applicable buyout program, the buyout election will be cancelled and any benefits or refunds due the member or the member's designated beneficiaries will be calculated according to the provisions of Article 16 that would apply in the absence of the buyout election, and the QILDRO will be administered as if the member did not elect the buyout.

c) AAI Buyouts

1. If an alternate payee is eligible to share in the member's AAI buyout payment under this Section, the alternate payee's share will be determined from the "partial member's refund" (see Section 1-119 of the Code, Subpart M of this Part, and Section VI (Partial Refund) of the QILDRO and corresponding provision of any Calculation Order (Section (3)(c) or Section (4)(C)) on file with the System on the date payment is vouchered (see Section 1650.1116(f)).

2. If QILDRO Section III (Monthly Retirement Benefit) is blank, the member's AAI buyout election may proceed without alternate payee consent, and the alternate payee will not share in the buyout payment.

3. If QILDRO Section III (Monthly Retirement Benefit) is completed but Section IV (Post-Retirement Increases) does not allocate a share to the alternate payee, the member's AAI buyout election may proceed without alternate payee consent, and the alternate payee will not share in the buyout payment.

4. If QILDRO Section III (Monthly Retirement Benefit) is completed and QILDRO Section IV (Post-Retirement Increases) allocates a share to the alternate payee, alternate payee consent to the member's AAI buyout election is required.

5. If QILDRO Section III (Monthly Retirement Benefit) is completed and Section IV (Post-Retirement Increases) allocates a share to the alternate payee and the alternate payee has consented to the member's AAI buyout election, the alternate payee is entitled to share in the AAI buyout payment in the amount indicated in Section VI (Partial Refund).

d) APB Buyouts

1. If an alternate payee is eligible to share in the member's APB buyout payment as provided in this Section, the alternate payee's share will be determined from the "refund upon termination" or "termination refund" (see Section 1-119, Subpart M of this Part, and Section V (Termination Refund) of the QILDRO and corresponding provision of any Calculation Order (Section (3)(b) or Section (4)(B)) on file with the System on the date payment is vouchered (see Section 1650.1116(f)).

2. If QILDRO Section III (Monthly Retirement Benefit) is blank, the member's APB buyout election may proceed without alternate payee consent, and the alternate payee will not share in the buyout payment.

3. If QILDRO Section III (Monthly Retirement Benefit) is completed, alternate payee consent to the member's APB buyout election is required.

4. If QILDRO Section III (Monthly Retirement Benefit) is completed and the alternate payee has consented to the member's APB buyout election, the alternate payee is entitled to share in the APB buyout payment in the amount indicated in Section V (Termination Refund).

History

• Source: Amended at 44 Ill. Reg. 7905, effective April 24, 2020

Chapter IV General Assembly Retirement System

Part 1700 General Assembly Retirement System

80 Ill. Adm. Code 1700.10 Contributions by Participants

a) Basis and Rate. Each participant shall make contributions for retirement annuity purposes, covering service as a member on and after November 1, 1947. Such contributions shall be made as a deduction from salary and shall accrue in the case of any participant beginning as of November 1, 1947. Each male participant shall also make contributions for widows' annuity purposes, covering service as a member on and after August 2, 1949, which contributions shall be made as a deduction from any salary to be received by such participant. Widows' annuity contributions shall accrue as of that date in the case of any male participant.

b) Advance Payments of Salary. Any participant who shall receive an advance payment of salary shall contribute to the System the prescribed percentage of the total amount of such payment of salary at the time such salary is received. All contributions by members shall, where possible, be made as a deduction from salary at the time the same is paid to the member.

80 Ill. Adm. Code 1700.20 Basic Records and Accounts

a) Membership Record. Every participant shall be required to execute a Membership Record and other documents with respect to his date and place of birth, age, periods of creditable service, beneficiary, and any other such information as may be necessary for the effective operation of the System.

b) Claims Record. Claims received by the Board for annuities, benefits and refunds shall be properly recorded with respect to type of claim, dates approved or disapproved by the Board, amounts paid, and other essential facts.

c) Individual Accounts. A separate account shall be established and maintained for each individual participant, showing the amounts of contributions and other pertinent data in such form as shall be specified by the Actuary as being necessary for a complete accounting of such contributions and for required calculations and valuations.

d) General Books of Account. Proper books of account that will reflect accurately the income of the System from various sources, and its disbursements for the different purposes, and investments made by the Board, shall be established and maintained in accordance with recognized and modern accounting standards and techniques.

e) Statistics. Such other records as will provide the statistical data required for the annual actuarial valuations and make available information for periodic analyses of the operating results of the System shall be created and maintained.

f) Confidential Nature of Records. The information contained in the records and accounts established for the proper administration of the System, as herein provided, shall be considered of a trust and confidential nature and shall be used by any officer, trustee or employee of the System for the sole and exclusive purposes of the System, and for no other purposes whatsoever.

80 Ill. Adm. Code 1700.30 Filing of Claims

a) Superannuation Retirement. Any participant claiming an annuity from the System, for superannuation retirement, shall file an application therefor in the form prescribed by the Board of Trustees. This application, together with the Membership Record showing age, service and salary data, a verified report on all creditable service claimed by the applicant, and such other information as may have been compiled by the System during the membership of the participant, shall constitute the complete record on the applicant, forming the basis for the allowance of the annuity. No such annuity shall be allowed in any case in which the applicant shall be indebted to the System for contributions required to be made by him as provided in the Act and under the Rules and Regulations of the Board, and any action on any such application, and the commencement of annuity payments shall be deferred until such indebtedness shall have been fully discharged.

b) Disability Retirement. The same requirements as prescribed for superannuation retirement shall apply to and govern an application for a disability retirement annuity. In addition, every applicant for disability retirement shall file with the Secretary proof of his claim, on forms prescribed by the Board. The application of the participant shall also show the nature and extent of the disability, and the name and names and addresses of attending physicians. Such application shall be accompanied by a report or reports of the attending physicians showing, among other things, the date and place of the first examination, the cause and nature of disability, information regarding surgical work or laboratory tests, and a prognosis of the disability. An applicant shall be examined by a physician or physicians designated by the Board, as promptly as possible following the filing of an application, to determine if the applicant is totally and permanently disabled to render service as a member. Medical examinations shall be made thereafter, at least once each year, during the continuance of disability prior to age 60, by one or more licensed physicians designated by the Board. No further examinations shall be made after the retirant has attained the age of 60 years.

c) Refunds. Any participant eligible to receive a refund of his contributions shall, if he so elects, make a written request therefor upon a form prescribed by the Board. A request for a refund shall not be considered valid unless the participant has ceased to be a member.

d) Death Benefits. A participant may designate a beneficiary to receive this death benefit, consisting of all contributions made by the participant, provided no widow's annuity is payable. If no special designation is made, the widow of the participant, if one survives who is not eligible for a widow's annuity, shall receive such benefit, but if there be no such widow surviving, the contributions shall be paid to the estate of the participant. Any person claiming a benefit on account of the death of a participant shall file with the Board a written application for such benefit, on a form prescribed by the Board. In all such cases, the application shall be accompanied by a certified copy of the Death Certificate or other public record of such death, or a physician's certificate. Where an inquest is held, the Board shall be furnished with a certified copy of the record of such inquest. Any person or persons applying for a death benefit shall, when requested by the Board, furnish such proof of identification as the Board may direct.

80 Ill. Adm. Code 1700.40 Amendments

a) Changes or amendments to the Rules may be proposed by any trustee, shall be submitted to the Secretary of the Board in writing, and shall be acted upon in the following manner:

b) Upon receipt of a proposal for an amendment, the Secretary of the Board shall mail to each trustee a notice setting forth in full the proposed change or amendment to the Rules, at least ten (10) days prior to the date of any regular or special meeting at which the proposed change or amendment shall be submitted for consideration.

c) At the next regular or special meeting following the mailing of such notice, or at any meeting thereafter to which consideration of such change or amendment has been postponed by the Board, such change or amendment may be adopted by a vote of at least five trustees voting in favor of its adoption. At such meeting the proposed change or amendment may be altered or modified before being acted upon, without the necessity of any further notice to the trustees, provided, however, that the said change or amendment as modified or altered shall be applicable only to those portions of the Rules to which the notice specifically referred, and provided further that any such change shall be approved by at least five trustees of the Board.

Chapter V Judges Retirement System

Part 1750 Retirement System

80 Ill. Adm. Code 1750.10 Authority

a) Article 18 of the Illinois Pension Code also provides that:

"A retirement system is created to be known as the 'Judges Retirement System of Illinois'. It shall be a trust separate and distinct from all other entities, maintained for the purpose of securing the payment of annuities and benefits as prescribed herein".(Section 18-101).

b) The responsibility for the management and direction of the affairs of the System, except as otherwise provided by law, including the determination of policy and the maintenance of adequate and effective operating procedures, are vested in a Board of Trustees, which shall hereinafter be referred to as the "Board".

80 Ill. Adm. Code 1750.20 Trustees

Oath of Office. Each person appointed to the office of Trustee or becoming a Trustee, ex officio, shall take an oath of office before a Judge of the State of Illinois which shall qualify him as a Trustee upon his filing with the Secretary of the Board a certified copy of such oath. The oath shall state:

"I, ......................, do solemnly swear that I will support the Constitution of the United States, and the Constitution of the State of Illinois; and that I will faithfully discharge the duties of Trustee of the Judges Retirement System of Illinois to the best of my ability; and will diligently and honestly administer the affairs of this Retirement System; and will not knowingly violate or willfully permit to be violated any of the provisions of the Judges Retirement Act."

80 Ill. Adm. Code 1750.30 General Office

The Board shall have offices at Chicago and Springfield in the State of Illinois. Regular and special meetings shall be held in Chicago except upon 10-day notice as provided in these rules, the Chairman may designate the office at Springfield as the place of the meeting. For effective and efficient operating purposes, all accounts, records, files, books, reports, correspondence and other data or documents of the System and the administrative personnel shall be maintained in an office in Springfield, Illinois.

80 Ill. Adm. Code 1750.40 Retirement for Disability

a) Application for Disability Retirement. An application for retirement for disability filed by a participant between scheduled meetings of the Board and prior to a participant's termination of service, may be accepted with the understanding that certificates or statements from physicians certifying to the disability of the applicant may be required and that final approval of an application would be conditioned upon the member's resignation from service as a Judge.

b) Conditions for Retirement. A Judge shall be considered permanently disabled and eligible for retirement for disability if:

1. the disability occurred during employment as a Judge;

2. the disability is of such nature as to prevent him from reasonably performing the duties of his office; and

3. the Board has been furnished a written statement by at least 2 licensed and practicing physicians designated by the Board certifying that the Judge is disabled for service as a Judge and that his disability is likely to be permanent.

c) Administration of Disability Claims.

1. The Board shall cause to be made at least once each year medical examinations of disability retirement beneficiaries to determine the continued existence of permanent disability for judicial service and to establish their continued entitlement to benefit payments. The physicians to be used for this purpose shall be appointed by the Board and the cost of the examinations shall be assumed by the Board.

2. Outside investigational services shall be utilized by the Board from time to time, as the occasion requires, for the purpose of establishing that a disability retirement beneficiary is permanently disabled and unable to perform the duties of a Judge, with the cost thereof to be paid by the Board.

3. Should the Board decide as the result of medical examinations or other disclosures that the disability beneficiary is no longer disabled for the performance of duty, the Board shall notify in writing the disability beneficiary and provide him the opportunity to submit within 30 days from the date of said notice written evidence as to why benefits should not be terminated. Thereupon the Board shall consider the said matter at its next regular meeting and the Secretary shall notify the disability beneficiary that he may appear at said meeting and be heard on such question. Thereafter the Board may discontinue payment of benefits and the appropriate agency or officer of the State shall be notified regarding such action.

80 Ill. Adm. Code 1750.50 Miscellaneous Provisions

Refunds to Withdrawing Participants. An application from a participant for a refund of the participant's contribution credits following termination of judicial service shall be acted upon by the Board at any regular or special meeting for approval of the application and authorization of payment.

Chapter I Board of Ethics

Part 2000 Procedures of the Board of Ethics

80 Ill. Adm. Code 2000.10 Definitions

For the purpose of this Part, the following terms shall have the following meanings, respectively:

a) "Agency" A department, agency, board, authority or commission to which the Governor appoints the director or a majority of the members.

b) "Director" The director, chief administrator or chairman of an Agency.

c) "Board" The Board of Ethics

d) "E.O. 3" Executive Order 3 (1977)

e) "Included Person" A person required to file a Statement of Economic Interest under E.O. 3.

f) "Statement" A Statement of Economic Interest

g) "Immediate Family" The parents, children, brothers and sisters of, and living with, an Included Person.

80 Ill. Adm. Code 2000.20 Agency Recommendations

Each Director shall report to the Board initially by May 9, 1977, and yearly thereafter no later than March 15th, the name and title of each employee in such Director's Agency who, in the judgment of such Director, is required to file a Statement. The Board shall review the names and positions recommended for filing by each Director and shall determine the names of those who must file. A current list of Included Persons shall be maintained and updated by the Board. On January 31st and August 31st of each year, each Director shall advise the Board of any recommended additions to, or deletions from, the list of Included Persons for such Director's Agency.

80 Ill. Adm. Code 2000.30 Time for Filing Statements

Included Persons shall file Statements between April 15th and April 30th of each year provided that, in 1977, Statements need not be filed until August 8, 1977, and provided, further, that any Included Person who becomes such in any calendar year during the period between the thirtieth day prior to the due date for filing of Statements and the end of such year shall file a Statement within 30 days after such person becomes an Included Person.

80 Ill. Adm. Code 2000.40 Extension of Time to File Statement

Any Included Person who desires to request an extension of time to file a Statement may do so by submitting to the Board, on or before the due date for such Statement, a written request specifying the reasons for the extension and the date by which the Statement will be filed. The Executive Director of the Board may grant an extension for a period not exceeding 30 days. Any request for extension beyond 30 days may only be granted by the Board.

80 Ill. Adm. Code 2000.50 Objection to Filing of Statement

Any individual who desires to object to being an Included Person may file a written objection with the Board. Such objection must contain a statement giving the reasons why the individual is not in any category of personnel required to file a Statement together with such supporting documents as such individual deems appropriate. The Board will notify each such individual, in writing, of its decision on the objection and such decision shall not become effective until 10 days after written notice has been mailed to such individual by the Board. Until a decision is made by the Board sustaining an individual's objection, such individual shall not be excused from filing a Statement, but such Statement shall not be open to public inspection. In the event the Board sustains an individual's objection, any Statement filed by such individual shall be returned.

80 Ill. Adm. Code 2000.60 Public Inspection

a) Any person wishing to inspect a Statement filed with the Board shall complete and sign a form listing:

1. the name of the person requesting the inspection and his or her business or residence address,

2. the name of any person or organization for whom the person requesting the inspection is acting,

3. the name of the Included Person whose Statement is to be inspected,

4. the date of the inspection.

b) A copy of the form shall be maintained in the file of the person whose Statement is inspected. The form shall be available for inspection only by the Included Person to whom it relates, the Board, and the Board's staff. Public inspection of Statements shall be during normal business hours. No inspection shall occur between April 15th and May 21st except that in 1977, no inspection shall occur until August 29, 1977.

80 Ill. Adm. Code 2000.70 Request for Board's Position on Particular Ethical Problems

a) Any person subject to Executive Order No. 3, 1977, who may be involved in a situation that he or she believes might appear to raise an ethical problem relating to his or her State duties, may request from the Board a determination as to whether such situation would cause the Board, under paragraph 8(f) of the Order, to recommend to the Governor any remedial action against the individual making the request. Such procedure shall afford the opportunity for the requester to be apprised of what his or her obligations may be on the matter with respect to Board jurisdiction. The facts set out in the request may be either actual or proposed.

b) The request shall be signed by the requester and shall set out fully and objectively the facts of the situation in question. The requester also may include supporting documents.

c) All requests and all Board responses to such requests shall be in writing. A request may be granted only on the basis of the facts stated therein.

d) In granting a request, the Board shall state that on the basis of the facts presented, it would not propose to recommend to the Governor any remedial action against the individual as it is empowered to do under the Order.

e) In denying a request, the Board shall state that it is unable to express a view as to whether it should make no recommendation of remedial action. A denial may also include an explanation of such denial and any recommendations or directions to the individual that the Board deems appropriate.

f) All such requests and responses shall be confidential as to the identity of the requester unless he or she specifies otherwise.

g) The Board shall take no action on any denied request without first consulting the individual on the matter.

History

• Source: added at 2 Ill. Reg. 27, p. 287, effective July 10, 1978

80 Ill. Adm. Code 2000.80 Undue Hardship

If the spouse or member of the immediate family of an Included Person believes that any required disclosure would constitute an undue hardship to him or her, then, prior to the due date for the filing of the Statement (including any extensions thereof), such Included Person shall file a written objection with the Board. The objection shall identify, by name, the Included Person, the spouse or immediate family member or members raising objection, and the reason why such disclosure constitutes undue hardship.

a) Undue Hardship - includes, but is not limited to, the following:

1. threat of harm against person or property;

2. unwarranted invasion of privacy, or

3. such other facts or circumstances as in the judgment of the Board of Ethics constitute undue hardship.

b) If the Board sustains the objection on grounds of undue hardship, the Statement of the Included Person will not be required to disclose information with respect to the objecting spouse or immediate family member, provided that, prior to the due date for the filing of the Included Person's Statement (including any extensions thereof), there is filed with the Board the following:

1. A Statement of the Included Person containing all information required to be disclosed with respect to such person. The Statement shall also contain all information pertaining to the spouse or immediate family members with respect to which no objection to disclosure was made.

2. An affidavit, in such form as may be approved by the Board, signed under oath by the spouse or immediate family member with respect to which an objection to disclosure was made, setting forth any position or ownership interest in any corporation, partnership or sole proprietorship (including not for profit entities other than those of a religious nature but excluding publicly held corporations of which less than 1% of the outstanding capital stock is owned) which does business with, receives or is entitled to receive grants from, or is regulated by the Agency of the Included Person.

3. A Statement of the spouse or immediate family member with respect to which an objection was made disclosing all information which would have been required to be included in the Statement of the Included Person but for the provisions of this Section 2000.80.

c) The Statement and affidavit referred to in paragraphs b(1) and b(2) above, shall be open to public inspection in accordance with Section 2000.60. The Statement referred to in paragraph b(3) above, shall not be open to public inspection but shall be available for inspection only by the Board and the Board's staff.

d) In the event the Board does not sustain an undue hardship objection, it shall notify the Included Person of its determination and such Included Person shall have thirty (30) days from the date of such notification in which to file a full and complete Statement.

History

• Source: Added at 2 Ill. Reg. 44, p. 208, effective November 6, 1978

Chapter I Department of Central Management Services

Part 2100 State of Illinois Premium Payment Plan

80 Ill. Adm. Code 2100.10 Summary

The rules adopted in this part shall constitute the State of Illinois Premium Payment Plan, which is hereby established as a plan within the meaning of Section 125 of the Internal Revenue Code (26 U.S.C. 125) and proposed Internal Revenue Service Regulations (49 FR 19321).

80 Ill. Adm. Code 2100.20 Purpose of Plan

The purpose of this Plan is to provide eligible Employees a means of obtaining benefit coverage on a favorable tax basis.

80 Ill. Adm. Code 2100.30 Applicability of Plan

The provisions of this Plan are applicable only to the Employees of the Employer in current employment on or after the effective date.

80 Ill. Adm. Code 2100.40 Definitions

a) Whenever used in the Plan, the following terms shall have the meanings set forth below unless otherwise expressly provided, and when the defined meaning is intended, the term is capitalized.

"Code" means the Internal Revenue Code (26 U.S.C. 125 [1985[) and regulations promulgated thereunder, or any successor statute.

"Department" means the Department of Central Management Services.

"Effective Date" means March 14, 1986.

"Employee" means an Employee of the Employer.

"Employer" means the State of Illinois which includes all officers, boards, commissions, and agencies created by the Illinois Constitution, whether in the executive, legislative or judicial branch, all officers, departments, boards, commissions, agencies, institutions, authorities, universities, bodies politic and corporate of the State, administrative units or corporate outgrowths of the State government which are created by or pursuant to statute other than units of local government and their officers, school districts and boards of election commissioners, and all administrative units and corporate outgrowths of the above as may be created by executive order of the Governor.

"Member" means an Employee who meets the conditions of Section 2100.110 of this Part.

"Plan" means the State of Illinois Premium Payment Plan, as set forth in these rules, and as may be amended from time to time in compliance with the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.).

"Plan Year" shall be the fiscal year for the State of Illinois.

"Premium Dollars" means those dollar amounts specified in Section 2100.210 of this Part. Premium Dollars differ from contributions for benefits not made under this Plan in that Premium Dollars are not included in an Employee's gross income for tax purposes.

b) Gender and Number. Except when otherwise indicated by context, any masculine terminology shall also include the feminine, and the definition of any term in singular shall also include the plural.

80 Ill. Adm. Code 2100.110 Membership

a) Any Employee who is eligible to participate in any of the following coverages maintained by the Department shall become a Member in the Plan on the first day of such eligibility, but not before the Effective Date.

1. Group Health (including an available Health Maintenance Organization)

2. Optional Group Term Life Insurance subject to combined maximum Employer provided and Employee elected limit of $50,000 (26 U.S.C. 79), or

3. Any group health, life or dental coverage maintained by a unit of the Employer and approved by the Department for inclusion under this Plan.

b) The coverage maintained by a unit of the Employer shall be approved by the Department for inclusion if:

1. the cost of the proposed benefit coverage does not exceed the cost of like benefits offered by the Department and the coverages do not exceed the scope and cost of like policies offered in the industry, and

2. the proposed coverage presents no undue administrative burden by imposing more than a de minimis increase in cost or duties upon the State.

3. the unit of the Employer:

A) provides written certification to the Department and Comptroller which states that the amount of Premium Dollars deducted for each Employee is for the approved coverage, and

B) maintains current membership lists for the approved coverages or requires the submission of them from the insurance carriers to assure accurate submission of payroll vouchers by the unit of the Employer.

4. the proposed coverage qualifies for the tax exemption provisions of Section 125 of the Code (26 U.S.C. 125), and

5. inclusion of the proposed coverage would not constitute discrimination under Section 125 of the Code (26 U.S.C. 125).

c) A list of the approved coverages is available upon request to the Department.

80 Ill. Adm. Code 2100.120 Duration

A Member shall cease to be a Member when he or she is no longer eligible for any of the coverages set forth in Section 2100.110 of this Part.

80 Ill. Adm. Code 2100.210 Premium Dollars

a) A Member's Premium Dollars each pay period of the Plan Year shall be equal to the contribution that would, but for this Plan, be required of the Member to have the level and type of coverage of benefits elected under Section 2100.240 of this Part.

b) The Member shall incur a reduction in his or her salary upon commencement of participation in this Plan equal to the amount of his or her Premium Dollars for each pay period of the Plan Year.

c) The maximum reduction is equal to the highest costing combination of coverages included in the Plan under Section 2100.110 of this Part.

d) The reduction in salary will not affect the amount paid into a Member's pension or Social Security, nor reduce benefits received from those sources.

80 Ill. Adm. Code 2100.220 Benefits

A Member's Premium Dollars may be applied toward payments that would, but for this Plan, be required of the Member for coverage of the Member and/or his or her dependents under the benefits set forth in Section 2100.110 of this Part.

80 Ill. Adm. Code 2100.230 Commencement of Participation

Participation will commence the first pay period the Employee is a Member.

80 Ill. Adm. Code 2100.240 Election of Benefits Coverage

a) Upon the commencement of participation in the Plan and prior to the beginning of each Plan Year, a Member shall elect, on a form (IL 401-0677 or its equivalent) provided by the Employer, the desired level and type of coverage of benefits specified in Section 2100.110 of this Part.

b) Elections under this section shall be irrevocable during a Plan Year except for:

1. conditions stipulated in the benefit contracts, or

2. on the occasion of a change in family status (e.g. marriage, divorce, birth or adoption of a child, death of spouse or child, and termination of employment of spouse).

80 Ill. Adm. Code 2100.310 Responsibilities of the Department

a) In administering the Plan, the Department may establish internal management procedures which are consistent with, and necessary to implement and maintain, this Part.

b) The Department, on behalf of the State of Illinois, shall distribute necessary forms to each Agency for all Members.

c) Material describing this Plan and outlining the options and opportunities available shall be distributed to all Employees.

80 Ill. Adm. Code 2100.320 Expenses of Administration

Any expense incurred relative to the administration of the Plan shall be paid by the Employer.

80 Ill. Adm. Code 2100.330 Contributions and Financing

a) All premium payments will be made by payroll reduction.

b) In the event sufficient Premium Dollars are not available for the payment of all of the premiums for any reason including a change in job status, then the Member's right to participate in the Plan shall be suspended.

c) In the event of suspension, the Member's participation will be automatically resumed when there are sufficient funds.

d) A Member's suspension from the Plan shall not affect the Employee's rights to participate in the Group Insurance Programs, but the Employee shall not be eligible for the favorable tax basis provided herein.

80 Ill. Adm. Code 2100.410 Right to Amend and Terminate Reserved

a) The Department reserves the right to

1. amend this Plan from time to time, or

2. terminate this Plan.

b) Such termination or amendment shall be made in accordance with the provisions of the Illinois Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, pars. 1001-1 et seq.).

80 Ill. Adm. Code 2100.510 Illegality of a Particular Provision

The illegality of any provision of this Plan shall not affect the other provisions of the Plan and the Plan shall be construed in all respects as if such invalid provision were omitted.

80 Ill. Adm. Code 2100.520 Applicable Law

To the extent not preempted by federal law, the Plan shall be governed by and construed according to the laws of the State of Illinois.

80 Ill. Adm. Code 2100.530 Assignment

This Plan shall not give to any person any assignable or exchangeable interest or right or thing of exchangeable value in advance of the time distribution is to be made to such person.

80 Ill. Adm. Code 2100.540 Rights Against the Employer

Neither the establishment of the Plan nor any modification thereof, nor any distributions hereunder shall be construed as giving to any Member any legal or equitable rights against the Employer, the Department, State officers or administrators, as such, or as giving any person the right to be retained in the employ of the Employer.

Part 2106 Financial Incentive for Non-Medicare Annuitants Who Opt Out of the State Employees Group Health Plan

80 Ill. Adm. Code 2106.110 Governing Authority

The financial incentive for non-Medicare annuitants to opt out of the State Employees Group Insurance Health Plan will be governed by PA 94-0109, PA 98-0019, the State Employees Group Insurance Act of 1971 [5 ILCS 375] (see specifically Section 8(d-5) and (d-6)), and this Part.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

80 Ill. Adm. Code 2106.120 Purpose

The purpose of this Part is to provide for administration of an Opt Out Incentive for non‑Medicare annuitants who elect not to participate in the Health Plan provided by Section 8(d-5) and (d-6) of the Act.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

80 Ill. Adm. Code 2106.130 Definitions of Terms

Unless the context otherwise requires, the following words and phrases as used in the Act shall have the following meanings for the purpose of implementing and administering the Opt Out Incentive:

"Act" means the State Employees Group Insurance Act [5 ILCS 375].

"Annuitant" means a retiree or annuitant who is receiving an annuity from one of the five State retirement systems.

"Benefit Choice Period" means a designated time when members may change benefit coverage elections.

"CMS" means the Illinois Department of Central Management Services.

"Director" means the Director of CMS.

"Health Plan" means the health, dental and vision benefits offered by the program to eligible persons.

"Major Medical Coverage" refers to policies that provide coverage for most health-related expenses that can be incurred. Coverage included in a major medical insurance policy usually includes prescription drugs; casts and other necessary equipment needed for bone breaks or fractures; x-rays; both outpatient and inpatient services as a result of required medical care; diagnostic tests and examinations; ambulance services; and necessary medical supplies and therapies. This coverage may include deductibles, coinsurance and co-payment requirements.

"Member" means an employee, annuitant, retired employee or survivor, as defined in the Act.

"Opt Out/In Qualifying Change in Status" means an event that effects eligibility for Health Plan coverage, including but not limited to the following: member becomes eligible for non-State administered health benefits coverage; marriage; loss or gain of Medicare for any reason; coordination of spouse's open enrollment period; spouse gains or loses non-State administered health benefits.

"Opt Out Incentive" means the retiree/annuitant insurance opt out incentive authorized by Section 8(d-5) and (d-6) of the Act, which provides a financial incentive for each annuitant who is not eligible for benefits under the federal Medicare health insurance program who elects not to participate in the Health Plan on or after January 1, 2006 under Section 8(d-5) of the Act and, on or after July 1, 2013, under Section 8(d-6) of the Act.

"Program" means the group life insurance, health and other benefits designed and/or contracted for by CMS that are provided under the Act.

"SERS" means the State Employees' Retirement System.

"Special Enrollment Period" means a designated time period defined by the Director of CMS for certain members to change specific benefit coverage elections when special circumstances occur that affect only those members.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

80 Ill. Adm. Code 2106.140 Records and Certifications

Records and other necessary certifications will be furnished to the Director as may be necessary for the administration of this opt out incentive. These records and certifications will be retained and provided as necessary by the applicable retirement system and CMS.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

80 Ill. Adm. Code 2106.150 Severability

If any provision of the Act or this Part or application thereof to any person or circumstance is held invalid, such invalidity does not affect other provisions or applications of the Act or this Part that can be given effect without the invalid application or provision. To this end, the provisions of the Act or this Part are declared to be severable.

80 Ill. Adm. Code 2106.210 Cms Responsibility

CMS will be responsible for administering the opt out incentive and shall:

a) Develop and distribute materials and information to members and the retirement systems, including any and all necessary forms with requirements, policies and procedures related to the opt out incentive.

b) Maintain eligibility for the opt out incentive in a centralized, computerized file, properly storing and retrieving confidential information, processing updates and administering security access in accordance with confidentiality laws.

c) Authorize payments to annuitants participating in the opt out incentive. No partial monthly or retroactive payments will be made.

d) Assist members with opt out incentive questions and/or issues, and respond to oral and written inquiries concerning the opt out incentive.

e) Comply with the federal Health Insurance Portability and Accountability Act (HIPAA), when applicable.

f) Enroll and terminate annuitants in compliance with this Part.

g) Identify and collect opt out incentive payments paid in error to annuitants and deposit the money into the Health Insurance Reserve Fund.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

80 Ill. Adm. Code 2106.220 Annuitant Responsibility

The annuitant shall:

a) Furnish proof of major medical coverage from a source other than CMS at the time of initial application and on an annual basis as required by CMS.

b) Timely report Medicare eligibility changes.

c) Report all eligibility status changes within 60 days after the event, including but not limited to Medicare eligibility.

d) Return to CMS all payments made in error or for fraudulent acts. Failure to repay payments as required will result in termination of the financial incentive and disallowance of future coverage in the Health Plan. Fraudulent acts include, but are not limited to, the following:

1. failure to timely report changes and/or Opt Out/In Qualifying Changes in Status;

2. falsifying information in order to receive opt out incentive payments.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

80 Ill. Adm. Code 2106.310 Eligibility Requirements

Opt out incentive administration shall be in compliance with Section 8(d-5) and (d-6) of the Act and shall:

a) Allow annuitants who elect not to participate in the Health Plan to receive a financial incentive not to exceed $500 per month if all of the following conditions are met:

1. the annuitant is enrolled in the Health Plan on the effective date of PA 98-0019, at the time of a Special Enrollment Period or subsequent Benefit Choice Periods, or when an Opt Out/In Qualifying Change in Status occurs;

2. the annuitant is not eligible for and/or receiving benefits under the federal Medicare health insurance program (42 USC 1395 et seq.); and

3. the annuitant has 20 or more years of creditable service with the State of Illinois.

b) Allow annuitants who elect not to participate in the Health Plan and meet the requirements of subsections (a)(1) and (a)(2) but fail to meet the requirements of subsection (a)(3) to receive a financial incentive not to exceed $150 per month.

c) Provide for a Special Enrollment Period from November 1 through November 30, 2005 for SERS annuitants enrolled in the Health Plan to elect to participate in the opt out incentive. The opt out incentive elected by SERS annuitants during this Special Enrollment Period will have an effective date of January 1, 2006.

d) Provide that annuitants who previously elected not to participate in the Health Plan may choose to enroll in the Health Plan during the Benefit Choice Period or with an Opt Out/In Qualifying Change in Status. Once enrolled, they may take advantage of the opt out incentive during a subsequent Benefit Choice Period or with a subsequent Opt Out/In Qualifying Change in Status. Annuitants will not be permitted to enroll and opt out during the same Benefit Choice Period or based on the same Opt Out/In Qualifying Change in Status.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

80 Ill. Adm. Code 2106.320 Participation Limits

Opt out incentive participation shall cease when the non-Medicare annuitant:

a) reaches age 65, unless written proof of Medicare ineligibility is submitted to CMS;

b) becomes Medicare eligible for any reason; or

c) elects to participate in the Health Plan.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

80 Ill. Adm. Code 2106.330 Enrollment

Eligible annuitants participating in the Health Plan may enroll in the opt out incentive through September 30, 2013, the annual Benefit Choice Period or with an Opt Out/In Qualifying Change in Status by completing appropriate forms and furnishing proof of eligibility as outlined in Section 2106.310.

History

• Source: Amended at 37 Ill. Reg. 17575, effective October 24, 2013

Part 2110 State of Illinois Dependent Care Assistance Plan

80 Ill. Adm. Code 2110.10 Summary and Purpose of Plan

This Plan is intended to qualify as a dependent care assistance program under Section 129(d) of the Internal Revenue Code (26 USC 129[d]) (Code) and is to be interpreted in a manner consistent with the requirements of Section 129(d). The purpose of the Plan is to enable Participants to elect to receive Reimbursements of their Dependent Care Expenses that are excludable from the Participants' taxable Compensation under Sections 125 and 129(d) of the Code.

80 Ill. Adm. Code 2110.20 Plan Number

The number of this Plan for purposes of reporting statistical information to the Internal Revenue Service is 501.

80 Ill. Adm. Code 2110.30 Definitions

a) Wherever used in the Plan, the following terms have the following meanings and when the defined meaning is intended, the term is capitalized:

"Anticipated Payroll" means those payrolls in which the Participant is issued a paycheck during the Pay Period that the deduction is taken.

"Change in Family Status" means marriage, divorce, death of Spouse or child, adoption of child, return to work after birth of a child, termination of employment of Spouse, or any other events the Department determines constitute a Change in Family Status.

"Code" means the Internal Revenue Code of 1954 (26 USC 1 et seq.) and applicable regulations, or any successor statute.

"Compensation" means wages, salaries and other employee Compensation received by a Participant or Spouse, including the net earnings from self-employment within the meaning of section 1402(a) of the Code.

"Delayed Payroll" means those payrolls in which the Participant is issued a paycheck following the Pay Period that the deduction is taken.

"Department" means the Illinois Department of Central Management Services.

"Dependent" means a Participant's Qualifying Child, Spouse or Qualifying Relative.

"Dependent Care Expenses" mean expenses incurred by a Participant that:

are incurred for the well-being and protection of a Dependent of the Participant,

are paid to a Dependent Care Service Provider, and

are incurred to enable the Participant and his or her Spouse to be gainfully employed.

Dependent Care Expenses may be for household services if part of the services are for the care of the Dependent.

Dependent Care Expenses do not include expenses paid or incurred for services provided by:

a child of the Participant who is under the age of 19 at the close of the Plan Year; or

an individual who the Participant or Spouse can claim as an exemption on his or her income tax form.

Examples of eligible expenses are:

Day care centers. The centers must comply with all applicable laws and regulations of a State or unit of local government.

Nursery schools and pre-schools (private or public).

Before and after-school care.

Babysitters or nurses or grandparents or any other Dependent Care Service Providers inside or outside the Participant's home.

Household services. The services of a housekeeper, maid, or cook are eligible expenses if performed partly for the benefit of the Dependent.

Work-related expenses. Any work-related expenses that allow the Participant (and Spouse, if married) to work. Examples are meals and lodging for a housekeeper and Social Security and Federal unemployment taxes paid on wages.

Summer day camps (full day camps used as day care) and special instruction camps (i.e., dance, music, sports).

Examples of expenses that are not eligible are:

The cost of schooling for children in kindergarten or higher.

Chauffeur or gardener services.

Expenses claimed on the Participant's income tax return or by another taxpayer.

Transportation related to dependent care services.

Summer camp (not day care and usually includes an overnight stay).

Expenses not allowed by the Internal Revenue Service for the child and dependent care credit on an income tax return.

"Dependent Care Service Provider" means a person or institution that provides care or other services described in the definition of Dependent Care Expenses.

"Eligible Employee" means any employee working fulltime or not less than half time who is eligible to participate in the Health Plan authorized by the State Employees Group Insurance Act of 1971 [5 ILCS 375]. It includes those employees who have lost eligibility to participate in the Health Plan because of a reduction in hours worked but have chosen continuation coverage through payroll deduction as authorized by the Consolidated Omnibus Budget Reconciliation Act (COBRA) (P.L. 99-272) as long as there is no break in coverage or payroll deductions. An Eligible Employee of the Employer excludes independent contractors, temporary employees and retirees who return to work for not longer than 75 days per year after they retire.

"Employer" means the State of Illinois, which includes all officers, boards, commissions, and agencies created by the Illinois Constitution, whether in the executive, legislative or judicial branch; all officers, departments, boards, commissions, agencies, institutions, authorities, universities, bodies politic and corporate of the State; administrative units or corporate outgrowths of the State government that are created by or pursuant to statute, other than units of local government and their officers, school districts and boards of election commissioners; and all administrative units and corporate outgrowths of the above as may be created by executive order of the Governor.

"Enrollment Form" means the form provided by the Department for the purpose of filing an election and Compensation reduction agreement and for making changes authorized by the Plan.

"Health Plan" means health, dental and vision coverage offered by the Department to eligible persons.

"Highly Compensated Participant" means any Participant who was in either of the following categories at any time during the current year:

an officer of the State or its administrative units or corporate outgrowths who has annual total Compensation greater than $75,000, or

a Participant who receives Compensation in excess of $50,000 and is in the top 20% of all State employee salaries.

"Participant" means each Eligible Employee who participates in the Plan in accordance with Section 2110.210 of this Part.

"Pay Period" means a regular accounting period established by the State of Illinois for measuring and paying Compensation earned by employees. A Pay Period may be monthly, semi-monthly or biweekly.

"Plan" means the State of Illinois Dependent Care Assistance Plan as set forth in this Part, and as may be amended from time to time in compliance with the Illinois Administrative Procedure Act [5 ILCS 100].

"Plan Administrator" means an organization, company or other entity designated by the Director to perform certain duties related to the administration of a specific plan in accordance with the terms of the contract between the organization and the Department.

"Plan Year" means the 12-consecutive-month period comprising the State fiscal year beginning July 1.

"Qualifying Child" means an individual who has a specified family-type relationship to the Participant, lives in the Participant's household for more than half of the taxable year, is 12 years old or younger and has not provided more than one-half of his or her own support for the taxable year.

"Qualifying Relative" means an individual who is physically and/or mentally incapable of self care, is not someone else's Qualifying Child, lives in the Participant's household for more than half of the taxable year, spends at least eight hours per day in the Participant's home, has a gross income less than the exemption allowed under section 151(d) of the Internal Revenue Code, and receives more than one-half of his or her support from the Participant during the tax year.

"Reimbursement" means to pay a Participant in this Plan for Dependent Care Expenses from his or her dependent care assistance account.

"Spouse" means the person to whom the Participant is married. Spouse does not include a person separated from the Participant under a decree of divorce. A Participant is entitled to receive Reimbursement for Dependent Care Expenses for the Spouse if the Spouse is physically or mentally incapable of self care, lives in the Participant's household for more than half of the taxable year and spends at least 8 hours per day in the Participant's home.

"Termination" means the permanent severance of the Participant's employment relationship with the Employer as provided by the appropriate rules of the Employer.

b) A pronoun or adjective in the masculine gender includes the feminine gender and the singular includes the plural, unless the context clearly indicates otherwise.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.110 Role of the Department/Plan Administrator

a) The Plan shall be administered by the Plan Administrator.

b) The Department reserves the right to enter into agreements with other agencies to delegate various record keeping and other administrative functions to the employing agencies of Participants.

c) It shall be a principal duty of the Department to see that the Plan is carried out for the exclusive benefit of persons entitled to participate in the Plan without discrimination among them.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.120 Expenses of Administration

Any expenses incurred relative to the administration of the Plan shall be paid by the Department.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.210 Date of Participation

a) An Eligible Employee will become a Participant upon an election under this Plan to receive dependent care assistance.

b) New Eligible Employees may become Participants upon an election to receive dependent care assistance that is made within 60 days after becoming an employee.

c) Eligible Employees who experience a Change in Family Status may elect to participate at any time during the Plan Year. The election must be made within 60 days after the Change in Family Status.

d) Elections from new Eligible Employees or those who have had a Change in Family Status will be effective the first Pay Period after the signature date of the Participant on the Enrollment Form or the date of the Change in Family Status, whichever is later.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.220 Insufficient Salary

a) Participation can only be through payroll deduction.

b) In the event the Participant has no salary or insufficient salary in a particular Pay Period because of a temporary change in job status, including, but not limited to, reductions in work hours and leaves of absence, no deduction will be taken and the Participant's participation in the Plan will be revoked.

c) The revoked Participant described in this Section can request Reimbursement of Dependent Care Expenses in accordance with Subpart F of this Part.

d) The revoked Participant described in this Section can re-enroll the next election period or upon experiencing a Change in Family Status.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.230 Errors

a) Participants are responsible for monitoring their accounts and notifying the Employer of any payroll or other errors.

b) In the event a deduction is missed or an incorrect amount is deducted because of payroll or other processing errors, the error must be corrected on a later payroll, or direct billed to the Participant if he or she is off payroll.

c) If the correction of the error causes an economic hardship for the Participant, the funds sufficient to correct the error will be deducted from the Participant's paycheck over the two months immediately following the discovery of the error.

d) In the event of overpayment because of error, the Participant will be asked to refund to the Department the excess Reimbursement.

e) If the Participant refuses, the Department will request the Comptroller to withhold the required amount from the Participant's next available paycheck pursuant to 74 Ill. Adm. Code 285. If the Participant is off payroll, the overpayment will be added as income to the Participant's W-2.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.240 Reinstatement of Former Participant (repealed)

History

• Source: Repealed at 12 Ill. Reg. 17283, effective October 14,1988

80 Ill. Adm. Code 2110.310 Election Procedure

a) An Eligible Employee may elect to receive dependent care assistance under this Plan by making an election and Compensation reduction agreement on an Enrollment Form provided by the Department.

b) The enrollment period will be at a time to be determined by the Department prior to the beginning of the Plan Year. The enrollment period shall be sufficient to allow Eligible Employees to enroll in the Plan and shall in no case be less than 30 days prior to the beginning of the Plan Year.

c) The election must be for a specified annual dollar amount evenly divisible by the number of Pay Periods remaining in the Plan Year.

d) The Participant must re-enroll each year to continue participation.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.320 Irrevocability of Election

a) An election to participate shall be irrevocable during the Plan Year unless a Change in Family Status has occurred.

b) A Change in Family Status, including marriage, divorce, death of a Spouse or child, adoption of a child, return to work following the birth of a child, termination of employment of a Spouse, and any other events that the Department determines constitute a Change in Family Status, will permit a change or revocation of an election during a Plan Year under the Code.

c) Any new election under this Section shall be effective the first Pay Period after the signature date of the Participant on the Enrollment Form or the date of the Change in Family Status, whichever is later.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.330 Maximum Dependent Care Assistance

a) The maximum amount for which the Participant may be reimbursed under this Plan during the Plan Year shall be the least of:

1. the Participant's taxable Compensation for the Plan Year,

2. the actual taxable or deemed Compensation of the Participant's Spouse for the Plan Year, or

3. $5,000.

b) The combined maximum for a Participant and Spouse who are both participating in plans of this type is $5,000.

c) The maximum for a married Participant filing a separate return is $2,500.

d) The Pay Period maximum is the annual maximum divided by the number of Pay Periods in the Plan Year. This Pay Period maximum cannot be exceeded even if there is a Change in Family Status.

e) Any amount reimbursed under this Plan during the tax year reduces, dollar for dollar, the amount of expenses eligible for the dependent care credit on the Participant's federal income tax form.

f) A Spouse shall be deemed to have Compensation of $250 per month if the Participant has one Dependent and $416.66 per month if the Participant has two or more Dependents if the Spouse is:

1. a student at an educational institution, or

2. is physically or mentally incapable or caring for himself or herself.

g) A Participant shall be considered married for the whole Plan Year if the Participant is married during the Plan Year.

h) A Participant shall be considered single if he or she is divorced from the Spouse at the close of the Plan Year.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.340 Minimum Dependent Care Assistance

The minimum level of participation in this Plan is $20 per month.

80 Ill. Adm. Code 2110.410 Establishment of Accounts

The Plan Administrator will establish and maintain a dependent care assistance account for each Plan Year for each Participant who has enrolled for the Plan Year.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.420 Crediting of Accounts

a) There shall be credited to a Participant's dependent care assistance account for each Plan Year, as of each Pay Period, an amount equal to the reduction made in the Participant's Compensation in accordance with the Participant's election.

b) All amounts credited to each dependent care assistance account shall be the property of the State until paid out pursuant to Subpart F of this Part.

c) No interest will be paid on balances in the dependent care assistance accounts.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.430 Debiting of Accounts

A Participant's dependent care assistance account for each Plan Year shall be debited as of the date the Reimbursement is processed by the Plan Administrator under Section 2110.520 of this Part.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.440 Forfeiture of Accounts

a) The amount credited to a Participant's dependent care assistance account for any Plan Year shall be used:

1. only to reimburse the Participant for Dependent Care Expenses incurred during the applicable Plan Year, and

2. only if the Participant applies for Reimbursement on or before September 30 of the next Plan Year.

b) If any balance remains in the Participant's dependent care assistance account for any Plan Year after all Reimbursements have been made, the balance shall not be carried over to reimburse the Participant for Dependent Care Expenses incurred during a subsequent Plan Year, and shall not be available to the Participant in any other form or manner.

c) Any remaining balance in the fund shall be distributed to the 202 Fund.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.510 Claims for Reimbursement

a) A Participant who has enrolled for a Plan Year may apply to the Plan Administrator for Reimbursement of Dependent Care Expenses incurred by the Participant between July 1 and June 30. Dependent Care Expenses are treated as incurred when the dependent care is provided and not when the Participant is billed or charged, or pays for the dependent care.

b) New Participants who enroll during the open enrollment period may apply for Reimbursement of Dependent Care Expenses incurred between the first day of the Plan Year and June 30. New Participants who enroll through a mid-year enrollment due to a Change in Family Status may apply for Reimbursement of Dependent Care Expenses incurred between the first day of the Pay Period following the signature date on the Enrollment Form, or the date of the Change in Family Status, whichever is later, and June 30.

c) Participants who revoke participation in accordance with Sections 2110.220 and 2110.320 before the end of the Plan Year may apply for Reimbursement of Dependent Care Expenses incurred between July 1 and, if on an Anticipated Payroll, the last day of the Pay Period that a deduction was taken or, if on a Delayed Payroll, the last day of the Pay Period following the Pay Period that the last deduction was taken.

d) The Participant may apply by submitting an application in writing to the Plan Administrator on a claim form provided by the Plan Administrator setting forth:

1. the amount, beginning and ending service date, and type of expense for which Reimbursement is requested;

2. the name and address of the Dependent Care Service Provider; and

3. bills, invoices, receipts or other statements showing the amounts of the expenses.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.520 Reimbursement of Participant

a) The Plan Administrator shall reimburse the Participant from the Participant's dependent care assistance account for Dependent Care Expenses incurred during the Plan Year for which the Participant submits documentation in accordance with Section 2110.510.

b) The Reimbursement schedule will be established by the Plan Administrator in a manner that allows the Participant to receive Reimbursement no less than once a month.

c) No Reimbursement under this Section shall at any time exceed the balance of the Participant's dependent care assistance account for the Plan Year at the time of the Reimbursement.

d) The Plan Administrator will reimburse Participants who have filed claims in the prescribed manner:

1. at least once a month if the claim equals or exceeds $5.00, and if there is enough money in the account,

2. at least once the twelfth month (or the final month of participation) regardless of the amount.

History

• Source: Amended at 37 Ill. Reg. 4235, effective March 22, 2013

80 Ill. Adm. Code 2110.530 Exclusions

A Participant shall not be reimbursed for any expense that would otherwise be a Dependent Care Expense if:

a) the expense was incurred at a time when the Participant was not a Participant in the Plan; or

b) a claim for Reimbursement of the expense has not been filed in accordance with the provisions of Section 2110.510; or

c) the expense was claimed as a credit or deduction on the Participant's federal or State income tax forms; or

d) the Participant does not report the Dependent Care Service Provider's name and address to the IRS or to the Plan Administrator as provided by applicable Code requirements.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.540 Statements

a) On or before January 31 of each year, the Department shall furnish to each Participant who was enrolled in the Plan during the prior calendar year a written statement showing the amount of contributions made by the Participant into his or her account.

b) The Plan Administrator shall also notify each Participant in writing, or electronically if the Participant has opted for communication, via a quarterly statement of the unused balance in his or her account.

History

• Source: Amended at 37 Ill. Reg. 4235, effective March 22, 2013

80 Ill. Adm. Code 2110.610 Termination or Death of Participant

a) In the event that a Participant terminates State service or dies, the Participant's participation shall terminate. Eligible expenses will include only those expenses incurred through the last day of the Pay Period that the last deduction was taken, if on an Anticipated Payroll, or, if on a Delayed Payroll, the last day of the Pay Period following the Pay Period that the last deduction was taken.

b) If the Participant returns to State service the same Plan Year, the Participant can re-enroll in accordance with the provisions of Section 2110.210. If reenrollment occurs within 30 days after the Termination or other separation from State service, the contribution amount per Pay Period must be the same as the amount contributed prior to the Termination.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.620 Fraud

In the event a Participant knowingly supplies the Department or Plan Administrator with false information or knowingly files a claim that is not qualified for Reimbursement, the Department or Plan Administrator shall exclude the Participant from further participation in the Plan for all subsequent Plan Years.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.710 Non-Discrimination

a) This Plan shall meet the requirements of Code sections 129 and 125 that require that all benefits provided for Participants who are highly compensated are provided for all other Participants and that establish benefits tests.

b) Unless otherwise determined by the Department, the special dependent care assistance test will be used for this Part. It:

1. requires that the average benefit of Participants must be at least 55 percent of the average benefit of Highly Compensated Participants, and

2. allows Participants with Compensation below $25,000 to be disregarded for purpose of this test.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.720 Illegality of a Particular Provision

The illegality of any provision of this Plan shall not affect the other provisions of the Plan and the Plan shall be construed in all respects as if the invalid provision were omitted.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.730 Applicable Law

To the extent not preempted by federal law, the Plan shall be governed by and construed according to the laws of the State of Illinois.

80 Ill. Adm. Code 2110.740 Rights Against the Employer

Neither the establishment nor any modification of the Plan nor any distributions made under the Plan shall be construed as giving to any Participant any legal or equitable rights against the Employer, the Department, State officers or administrators, or as giving any person the right to be retained in the employ of the Employer.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

80 Ill. Adm. Code 2110.750 Effect on Pension

Participation in this Plan will not affect the amount paid into a Participant's pension nor reduce benefits received.

80 Ill. Adm. Code 2110.760 Effect on Social Security

Participation in this Plan reduces a Participant's Social Security wages by the amount contributed and may therefore reduce the benefits received.

80 Ill. Adm. Code 2110.770 Benefits Solely from General Assets

The benefits provided by this Plan will be paid solely from the general assets of the State. The State will not be required to maintain any fund or segregate any amount for the benefit of any Participant, and no Participant or other person shall have any claim against, right to, or security or interest in, any asset of the State from which any payment under the Plan may be made.

80 Ill. Adm. Code 2110.780 Nonassignability of Rights

The right of any Participant to receive Reimbursement under the Plan shall not be alienable by the Participant by assignment or any other method. Any attempt to alienate a Participant's interest will not be recognized.

80 Ill. Adm. Code 2110.790 Tax Consequences

Once enrolled it shall be the obligation of each Participant to determine whether each payment under Section 2110.420 of this Part is excludable from the Participant's Compensation for federal and state income tax purposes. Participants should notify the Department if there is reason to believe that any payment is not excludable.

80 Ill. Adm. Code 2110.800 Indemnification of State by Participants

If any Participant receives Reimbursements under Section 2110.520 of this Part that are not for Dependent Care Expenses, such Participant shall indemnify and reimburse the State for any liability the State may incur for failure to withhold federal or state income tax.

80 Ill. Adm. Code 2110.810 Right to Amend and Terminate Reserved

a) The Department has established the Plan with the bona fide intention and expectation that it will be continued indefinitely, but the Department will have no obligation to maintain the Plan for any given length of time and may discontinue or terminate the Plan at any time without liability.

b) Upon termination or discontinuance of the Plan, all elections and reductions in Compensation relating to the Plan shall terminate, and the Department will pay any remaining balances to the Participants as additional taxable Compensation.

History

• Source: Amended at 31 Ill. Reg. 352, effective December 28, 2006

Part 2120 State of Illinois Medical Care Assistance Plan

80 Ill. Adm. Code 2120.10 Summary and Purpose of Plan

This Plan is intended to qualify as a medical care assistance program under Sections 105, 125, and 213(d) of the Internal Revenue Code (26 U.S.C. 105, 125, and 213(d)) (Code) and is to be interpreted in a manner consistent with the requirements of these Sections. The purpose of the Plan is to enable Participants to elect to receive Reimbursements of their Medical Care Expenses that are excludable from their taxable Compensation pursuant to Code Section 105(b).

80 Ill. Adm. Code 2120.20 Plan Number

The number of this Plan for purposes of reporting statistical information to the Internal Revenue Service is 502.

80 Ill. Adm. Code 2120.30 Definitions

a) Wherever used in the Plan, the following terms have the following meanings:

"Anticipated Payroll" means those payrolls in which the Participant is issued a paycheck during the pay period that the deduction is taken.

"Card" means the stored value card provided by the Plan Administrator that deducts funds electronically from a Participant's medical care assistance account to pay for eligible expenses.

"Change in Family Status" means marriage, divorce, death of spouse or dependent, birth or adoption of child, commencement or termination of employment of spouse, significant change in cost or benefits coverage of the Participant or spouse due to the spouse's employment, switch from full-time to part-time status of spouse, or from part-time to full-time, or unpaid leave of absence of Participant or spouse, or any other events that the Department determines constitute a change in family status.

"Code" means the Internal Revenue Code of 1954 (26 USC 1 et seq.) and applicable regulations, or any successor statute.

"Compensation" for purposes of this Plan is defined under Code section 414. It means wages, salaries and other employee compensation received by a Participant as reported on the Participant's W-2 from this employer. For purposes of discrimination testing, it may include or exclude all amounts not currently includible in the Participant's gross income.

"Delayed Payroll" means those payrolls in which the Participant is issued a paycheck following the pay period that the deduction is taken.

"Department" means the Illinois Department of Central Management Services.

"Dependent" means a Participant's spouse, qualifying child or qualifying relative as defined in Internal Revenue Code sections 152 and 213(d)(5).

"Discriminatory Excess" is the excess of any "Highly Compensated Participant" over the highest permitted benefit.

"Eligible Employee" means any employee working full time or not less than half-time who is eligible to participate in the Health Plan authorized by the State Employees Group Insurance Act of 1971. It includes those employees who have lost eligibility to participate in the Health Plan because of a reduction in hours worked but chosen continuation coverage through payroll deduction as authorized by the Consolidated Omnibus Budget Reconciliation Act (COBRA) (P.L. 99-272) as long as there is no break in coverage or payroll deductions. It also includes those employees who retire, terminate employment or go on an unpaid leave of absence, but choose to continue to make contributions to their MCAP for the balance of the Plan Year. An eligible employee of the employer excludes independent contractors, temporary employees, and retirees who return to work for not longer than 75 days per year after they retire.

"Employer" means the State of Illinois, which includes all officers, boards, commissions, and agencies created by the Illinois Constitution, whether in the executive, legislative or judicial branch, all officers, departments, boards, commissions, agencies, institutions, authorities, universities, bodies politic and corporate of the State; and administrative units or corporate outgrowths of the State government that are created by or pursuant to statute other than units of local government and their officers, school districts and boards of election commissioners, and all administrative units and corporate outgrowths of the above as may be created by executive order of the Governor.

"Enrollment Form" means the form provided by the Department for the purpose of filing an election and compensation reduction agreement and for making changes authorized by the Plan.

"Grace Period" means the period following the close of the Plan Year in which the Participant can incur a medical care expense eligible for reimbursement from his or her medical care assistance account from the just completed Plan Year. The grace period goes from July 1 until September 15 of each calendar year.

"Health Plan" means health, dental and vision coverage offered by the Department to eligible persons.

"Highly Compensated Participant" means any Participant who was in either of the following categories at any time during the current Plan Year:

an employee of the State or its administrative units or corporate outgrowths who has annual total compensation greater than $75,000 or any other amount established by the Internal Revenue Service; or

an employee of the State who receives compensation in excess of $50,000 or any other amount established by the Internal Revenue Service and is in the top 20% of all State employee salaries.

"Medical Care Expense" means any expense incurred by a Participant or dependent of the Participant that was paid for as a medical service expense eligible under Internal Revenue Code section 213(d). Expenses that result in a double deduction for tax purposes are not eligible. For example:

Premiums for health insurance coverage carried by the eligible employee, spouse or dependent; and

Premiums for other health coverage carried by the Participant.

"Participant" means each eligible employee who participates in the Plan in accordance with Section 2120.210 of this Part.

"Pay Period" means a regular accounting period established by the State of Illinois for measuring and paying compensation earned by employees. A pay period may be monthly, semi-monthly or biweekly.

"Plan" means the State of Illinois Medical Care Assistance Plan as set forth in this Part, and as may be amended from time to time in compliance with the Illinois Administrative Procedure Act [5 ILCS 100].

"Plan Administrator" means an organization, company or other entity designated by the Director to perform certain duties related to the administration of a specific plan in accordance with the terms of the contract between the organization and the Department.

"Plan Year" means the 12-consecutive-month period beginning July 1 comprising the State fiscal year.

"Qualifying Child" means an individual 26 years old or younger at the end of the taxable year who has a specified family-type relationship to the Participant, lives in the Participant's household for more than half of the taxable year and has not provided more than one-half of his or her own support during the taxable year. There is no age requirement if the individual is physically and/or mentally incapable of self care.

"Qualifying Relative" means an individual who has a specified family-type relationship with the Participant, is not someone else's qualifying child and receives more than one-half of his or her support from the Participant during the taxable year or, if no specified family-type relationship to the Participant exists, is a member of and lives in the Participant's household (without violating local law) for the entire taxable year and receives more than one-half of his or her support from the Participant during the taxable year.

"Reimbursement" means to pay a Participant in this Plan for medical care expenses from his or her medical care assistance account.

"Spouse" means the person to whom the Participant is married. Spouse does not include a person separated from the Participant under a decree of divorce.

"Termination" means the permanent severance of the Participant's employment relationship with the employer as provided by the appropriate rules of the employer.

"Unsubstantiated Expenses" are expenses for medical care paid for with the Card for which the Plan Administrator requires additional documentation to substantiate the expense.

b) A pronoun or adjective in the masculine gender includes the feminine gender and the singular includes the plural, unless the context clearly indicates otherwise.

History

• Source: Amended at 37 Ill. Reg. 4241, effective March 22, 2013

80 Ill. Adm. Code 2120.110 Role of the Department/Plan Administrator

a) The Plan shall be administered by the Plan Administrator.

b) The Department reserves the right to enter into agreements with other agencies to delegate various record keeping and other administrative functions to the employing agencies of Participants.

c) It shall be a principal duty of the Department to see that the Plan is carried out for the exclusive benefit of persons entitled to participate in the Plan without discrimination among them.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.120 Expenses of Administration

Any expenses incurred relative to the administration of the Plan shall be paid by the Department.

80 Ill. Adm. Code 2120.210 Date of Participation

a) An eligible employee will become a Participant upon an election under this Plan to receive medical care assistance.

b) New eligible employees may become Participants upon an election to receive medical care assistance that is made within 60 days after becoming an employee.

c) Employees who are eligible because they have chosen continuation coverage as authorized by COBRA must continue their medical assistance deductions. Otherwise, they will be considered revoked as described in Section 2120.220.

d) Eligible employees who experience a change in family status may elect to participate at any time within the Plan Year. The election must be made within 60 days after the change in family status.

e) Elections from new eligible employees or those who have had a change in family status will be effective the first pay period after the signature date of the Participant on the enrollment form or the date of the change in family status, whichever is later.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.220 Insufficient Salary

a) Participation can only be through payroll deduction except as specifically allowed in this Part.

b) In the event the Comptroller fails to make a deposit in the Participant's account because there are inadequate funds to satisfy the Participant's elected deduction, the Participant's deduction will be revoked.

c) The revoked Participant described in this Section can request reimbursement of medical care expenses in accordance with Subpart F of this Part.

d) The revoked Participant described in this Section can re-enroll the next election period in accordance with Section 2120.310.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.230 Errors

a) Participants are responsible for monitoring their accounts and notifying the employer of any payroll or other errors.

b) In the event a deduction is missed or an incorrect amount is taken because of payroll or other processing errors, the error must be corrected on a later payroll or direct billed to the Participant if he or she is off payroll.

c) If the correction of the error causes an economic hardship for the Participant, the funds sufficient to correct the error will be deducted from the Participant's paycheck over the two months immediately following the discovery of the error.

d) In the event of overpayment because of error, the Participant will be asked to refund to the Department the excess reimbursement.

e) If the Participant refuses to reimburse the Department for the overpayment, the Department will request the Comptroller to withhold the required amount from the Participant's next available paycheck pursuant to 74 Ill. Adm. Code 285. If the Participant is off payroll, the overpayment will be added as income to the Participant's W-2.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.310 Election Procedure

a) An eligible employee may elect to receive medical care assistance under this Plan by making an election and compensation reduction agreement on an enrollment form provided by the Department.

b) The enrollment period will be at a time to be determined by the Department prior to the beginning of the Plan Year. The enrollment period shall be sufficient to allow eligible employees to enroll in the Plan and shall in no case be less than 30 days prior to the beginning of the Plan Year.

c) Eligible employees must participate for a full 12-month period. Participants who terminate, retire or go on unpaid leave of absence may continue participation by making the elected monthly deduction via a personal check or money order. As the payments are not made through payroll deduction, no tax benefits are allowed. If continuation is not elected, eligible expenses will include only those expenses incurred through the date of the last pay period following the pay period in which the last deduction was made.

d) The election must be for a specified annual dollar amount evenly divisible by the number of pay periods in the Plan Year.

e) The Participant must re-enroll each year to continue participation.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.320 Irrevocability of Election

a) An election to participate shall be irrevocable during the Plan Year unless a change in family status has occurred.

b) A change in family status will permit a change or revocation of an election during a Plan Year under the Code. To the extent consistent with the Code, this provision shall be liberally construed by the Department to maximize the benefit to the Participant.

c) Election changes must be consistent with changes in family status.

d) The form requesting the change in the election must be filed with the Department within 60 days after the change in family status.

e) The Department shall require documentation substantiating the change in family status consisting of group insurance records maintained by the Department or personnel transaction records maintained by the employing agency or other documents substantiating the claimed change in family status.

f) Any new election under this Section shall be effective the first pay period after the signature date of the Participant on the enrollment form or the date of the change in family status, whichever is later.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.330 Maximum Medical Care Assistance

a) The maximum amount that the Participant may payroll deduct for use under this Plan during the Plan Year shall not exceed $2,500 for tax year 2013 and, after tax year 2013, an amount adjusted for cost of living to the extent provided under Section 125(i) of the Code (indexed to the CPI-U, with any increase that is not a multiple of $50 rounded to the next lowest multiple of $50).

b) The pay period maximum is the annual maximum divided by the number of pay periods in the Plan Year.

c) The pay period maximum cannot be exceeded if there is a change in family status, as provided in Section 2120.610 of this Part, or if there are circumstances requiring prepayment of the contributions for the balance of the year.

d) If the Department determines during the Plan Year that highly compensated Participants are benefiting from the Plan more than non-highly compensated Participants, the Department shall reduce the maximum deduction for the highly compensated Participants the minimal amount necessary to bring the Plan into compliance with the non-discrimination requirements of the Code (26 USC 125).

History

• Source: Amended at 37 Ill. Reg. 4241, effective March 22, 2013

80 Ill. Adm. Code 2120.340 Minimum Medical Care Assistance

The minimum level of participation in this Plan is $20 per month.

80 Ill. Adm. Code 2120.410 Establishment of Accounts

The Plan Administrator will establish and maintain a medical care assistance account for each Plan Year for each Participant who has enrolled for the Plan Year.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.420 Crediting of Accounts

a) There shall be credited to a Participant's medical care assistance account for each Plan Year, as of each Pay Period, an amount equal to the reduction made in the Participant's Compensation in accordance with the Participant's election.

b) All amounts credited to each such medical care assistance account shall be the property of the State until paid out pursuant to Subpart F of this Part.

c) No interest will be credited to the Participants Accounts on balances in the medical care assistance account.

80 Ill. Adm. Code 2120.430 Debiting of Accounts

A Participant's medical care assistance account for each Plan Year shall be debited as of the date the reimbursement is processed by the Plan Administrator under Section 2120.520.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.440 Forfeiture of Accounts

a) The amount credited to a Participant's medical care assistance account for any Plan Year shall be used:

1. only to reimburse the Participant for medical care expenses incurred during the applicable Plan Year or during the grace period (until September 15) following the close of the Plan Year; and

2. only if the Participant applies for reimbursement on or before September 30 following the close of the Plan Year.

b) If any balance remains in the Participant's medical care assistance account for any Plan Year after all reimbursements under the Plan, the balance shall not be carried over to reimburse the Participant for medical care expenses incurred during a subsequent Plan Year, with the exception of expenses incurred during the grace period, and shall not be available to the Participant in any other form or manner.

c) Any remaining balance shall be used to reimburse the Plan for any reimbursements to Participants in excess of deposits that were not recovered as provided in Section 2120.610.

d) Any remaining balance in the fund shall be distributed to the 202 Fund.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.510 Claims for Reimbursement

a) A Participant who has enrolled for a Plan Year may apply to the Plan Administrator for reimbursement of medical care expenses incurred by the Participant between July 1 of the Plan Year and September 15 of the following Plan Year. For purposes of this Part, expenses are treated as having been incurred when the Participant is provided with the medical care that gives rise to the expenses, and not when the Participant is formally billed, charged for, or pays for the medical care.

b) New Participants who enrolled during the open enrollment period may apply for reimbursement of medical care expenses incurred between the first day of the Plan Year (in accordance with Section 2120.210) and September 15 of the following Plan Year. New Participants who enroll through a mid-year enrollment due to a change in family status may apply for reimbursement of medical care expenses incurred between the first day of the pay period following the signature date on the enrollment form, or the date of the change in family status, whichever is later, and September 15 of the following Plan Year.

c) Participants who revoke participation in accordance with Sections 2120.220 and 2120.320 before the end of the Plan Year may apply for reimbursement of medical care expenses incurred between July 1 and, if on an anticipated payroll, the last day of the pay period that the last deduction was taken or, if on a delayed payroll, the last day of the pay period following the pay period when the last deduction was taken.

d) Participants who terminate, retire or go on unpaid leave of absence and choose to pay any contributions for the balance of the Plan Year, in accordance with Section 2120.310(c), will have coverage for the entire Plan Year and may apply for reimbursement of medical care expenses incurred between July 1 of the Plan Year and September 15 of the following Plan Year.

e) The Participant may apply for reimbursement by submitting an application in writing to the Plan Administrator on a claim form provided by the Plan Administrator setting forth:

1. the amount, beginning and ending service date and type of service for which reimbursement is requested;

2. the name of the person, organization or entity to which the expense was paid;

3. third party verification of the expense, such as bills, invoices, receipts, or other statements showing the amounts of such expenses; and

4. a statement that the medical expense has not been reimbursed and is not reimbursable under any health plan coverage.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.520 Reimbursement of Participant

a) The Plan Administrator shall reimburse the Participant from the Participant's medical care assistance account for medical care expenses incurred during the Plan Year through September 15 of the following Plan Year for which the Participant submits documentation in accordance with Sections 2120.510 and 2120.525.

b) The reimbursement schedule will be established by the Plan Administrator in a manner that allows the Participant to receive reimbursement no less than once a month.

c) The Plan Administrator will reimburse Participants who have filed claims in the prescribed manner:

1. at least once a month if the claim equals or exceeds $5, and if there is eligibility for reimbursement remaining in the account; and

2. at least once the twelfth month (or the final month of participation) regardless of the amount.

d) If a claim for reimbursement under this Section exceeds the balance of the Participant's medical care assistance account, the Participant will be paid the amount of the claim as long as the claim is no greater than the annual election amount less any reimbursements paid to date.

e) Claims for expenses incurred between July 1 and September 15 will be paid, first, from any funds remaining from the previous Plan Year and, then, from funds available under the current Plan Year.

History

• Source: Amended at 33 Ill. Reg. 11791, effective August 3, 2009

80 Ill. Adm. Code 2120.525 Electronic Card Reimbursement Program

a) A Participant may elect to pay medical care expenses through the use of a stored value card (Card) provided by the Plan Administrator. The Card deducts funds directly from the Participant's medical care assistance account and avoids any up-front, out-of-pocket expenses for the Participant.

b) In order to be eligible for the Card, the Participant must agree to abide by the terms and conditions associated with the Card as established by the Plan Administrator and provided to the participant prior to enrollment, limitations as to Card usage and the Plan Administrator's right to withhold and offset payment for unsubstantiated expenses. The Participant must further certify that the Card will be used only for eligible medical care expenses.

c) Use of this Card is limited to payments for Medical Care Expenses.

d) The maximum reimbursable amount under the Card is the full amount of the Participant's contribution to the medical care assistance account for the Plan Year, less any previously submitted reimbursements.

e) The Participant must obtain a receipt or third party statement (i.e., explanation of benefits form or invoice) each time the Card is used. The receipt must be retained for 1 year following the end of the Plan Year in which the expense was incurred and must be available for presentation to the Plan Administrator upon request. At a minimum, the receipt must contain the following information:

1. the type of service provided (i.e., office visit; prescription; over-the-counter purchase);

2. the date the medical care was provided (i.e., when the expense was incurred);

3. the amount of the expense;

4. the provider's or vendor's name; and

5. the patient's name.

f) If the Participant fails to provide the requested documentation to the Plan Administrator within the requested time frame, the expenses will be deemed unsubstantiated and the Participant will be required to repay the unsubstantiated expenses. Repayments may be made by either:

1. submitting payment to reimburse the Plan for the cost of the unsubstantiated expense. Payment must be in the form of a check payable to the State of Illinois, submitted to the Plan Administrator; or

2. submitting other paper claims for the fiscal year with third-party receipts in amounts equal to, or greater than, the unsubstantiated expenses. These paper claims will automatically be substituted to offset the outstanding Card transactions.

g) Failure to submit requested documentation or provide payment for unsubstantiated expenses will result in suspension of the Card and termination of future use of the Card. Participants may be subject to involuntary withholding for the unsubstantiated expenses or outstanding transactions may be reported to the IRS as income and the Participant's W-2 form adjusted accordingly.

h) Participants may elect the Card at any time during the Plan Year. Cards are automatically suspended upon termination or cancellation of participation in the Plan.

History

• Source: Amended at 37 Ill. Reg. 4241, effective March 22, 2013

80 Ill. Adm. Code 2120.530 Exclusions

A Participant shall not be reimbursed for any expense that would otherwise be a medical care expense if:

a) the expense was incurred at a time when the Participant was not a Participant in the Plan; or

b) a claim for reimbursement of the expense has not been filed in accordance with provisions of Section 2120.510; or

c) the expense was claimed as a credit or deduction on the Participant's federal or state income tax form; or

d) the expense is reimbursable under any other benefit plan maintained by the employer or purchased privately by the Participant.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.540 Statements

a) On or before January 31 of each year, the Department shall furnish to each Participant who was enrolled in the Plan during the prior calendar year a written statement showing the amount of contributions into his or her account during that year with respect to the Participant.

b) The Plan Administrator shall notify each Participant electing a Card in writing, or electronically if the Participant has opted for electronic communication, via a quarterly statement of the unused balance in his or her account. Any unsubstantiated expenses will be clearly delineated on the quarterly statement.

c) The Plan Administrator shall notify each Participant not activating a Card in writing, or electronically if the Participant has opted for electronic communication, via a quarterly statement of the unused balance in his or her account.

History

• Source: Amended at 37 Ill. Reg. 4241, effective March 22, 2013

80 Ill. Adm. Code 2120.610 Termination or Death of Participant

a) In the event that a Participant terminates State service or dies, the Participant's participation shall terminate unless continuation of coverage as authorized by COBRA has been elected. If COBRA is not elected, eligible medical care expenses will include only those expenses incurred through the last day of the pay period when the last deduction was taken, if on an anticipated payroll, or on the last day of the pay period following the pay period when the last deduction was taken, if on a delayed payroll.

b) If the Participant returns to State service the same Plan Year, the Participant can re-enroll in accordance with the provisions of Section 2120.210. If re-enrollment occurs within 30 days after termination or departure from State service, the contribution amount per pay period must be the same as the amount contributed prior to termination.

c) If the Participant's employment status has changed from full time or part time (equal to or greater than 50 percent of a normal work period) to a status that no longer allows participation in the State Employees Group Health Plan, the Participant will be considered revoked as described in Section 2120.220 unless the Participant has chosen continuation coverage as authorized by COBRA.

d) If participation continues in this Plan because of COBRA-qualification, the Participant shall be considered terminated from State service at the end of the 18-month period of COBRA-coverage or whenever COBRA-qualification ceases.

History

• Source: Amended at 37 Ill. Reg. 4241, effective March 22, 2013

80 Ill. Adm. Code 2120.620 Fraud

In the event a Participant knowingly supplies the Department or Plan Administrator with false information or knowingly files a claim that is not qualified for reimbursement as adjudicated by the Internal Revenue Service or a court of competent jurisdiction, the Department shall exclude the Participant from further participation in the Plan for all subsequent Plan Years.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.710 Non-Discrimination

a) This Plan shall meet the requirements of Code sections 125 and 414 that require that all benefits provided for Participants who are highly compensated are provided for all other Participants.

b) If this Plan fails to meet these requirements, the discriminatory excess will be included in the high compensated Participants' taxable income for the Plan Year.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.720 Illegality of a Particular Provision

The illegality of any provision of this Plan shall not affect the other provisions of the Plan and the Plan shall be construed in all respects as if the invalid provision were omitted.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.730 Applicable Law

To the extent not preempted by federal law, the Plan shall be governed by and construed according to the laws of the State of Illinois.

80 Ill. Adm. Code 2120.740 Effect on Pension

Participation in this Plan will not affect the amount paid into a Participant's pension nor reduce benefits received.

80 Ill. Adm. Code 2120.750 Effect on Social Security

Participation in this Plan reduces a Participant's Social Security wages by the amount contributed and may therefore reduce the benefits received.

80 Ill. Adm. Code 2120.760 Benefits Solely from General Assets

The benefits provided by this Plan will be paid solely from the general assets of the State. The State will not be required to maintain any fund or segregate any amount for the benefit of any Participant, and no Participant or other person shall have any claim against, right to, or security or interest in, any asset of the State from which any payment under the Plan may be made.

History

• Source: Amended at 21 Ill. Reg. 2955, effective February 21, 1997

80 Ill. Adm. Code 2120.770 Nonassignability of Rights

The right of any Participant to receive Reimbursement under the Plan shall not be alienable by the Participant by assignment or any other method. Any attempt to alienate a Participant's interest will not be recognized.

80 Ill. Adm. Code 2120.780 Tax Consequences

Once enrolled it shall be the obligation of each Participant to determine whether each payment under Section 2120.420 of this Part is excludable from the Participant's Compensation for federal and state income tax purposes. Participants should notify the Department if there is reason to believe that any payment is not excludable.

80 Ill. Adm. Code 2120.790 Indemnification of State by Participants

If any Participant receives reimbursements under Section 2120.520 or 2120.525 that are not for medical care expenses, the Participant shall indemnify and reimburse the State for any liability the State may incur for failure to withhold federal or state income tax or Social Security tax from the reimbursements.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

80 Ill. Adm. Code 2120.800 Right to Amend and Terminate Reserved

a) The Department has established the Plan with the bona fide intention and expectation that it will be continued indefinitely, but the Department will have no obligation to maintain the Plan for any given length of time and may discontinue or terminate the Plan at any time without liability.

b) Upon termination or discontinuance of the Plan, all elections and reductions in compensation relating to the Plan shall terminate, and the Department will pay any remaining balances to the Participants as additional taxable compensation.

History

• Source: Amended at 30 Ill. Reg. 15119, effective September 6, 2006

Part 2150 Service-Connected Days Benefit Administration

80 Ill. Adm. Code 2150.1 Definitions

"Accident" for the purpose of this Part means an illness or injury arising out of and within the scope of employment which precludes an employee from performance of job duties and requires time away from work.

"Agency" for the purpose of this Part refers to any State agency offering the Service-Connected days benefit as a part of their Workers' Compensation program.

"Compensable accident" for the purpose of this Part means any accident that falls under the coverages afforded by the Workers' Compensation Act (Ill. Rev. Stat. 1987, ch. 48, pars. 138 et seq.) or Workers' Occupational Diseases Act (Ill. Rev. Stat. 1987, ch. 48, pars. 172 et seq.), and is deemed to be a valid claim by the Department of Central Management Services (DCMS), Risk Management Division, other appropriate State claims administration units, or is ruled a compensable claim by the Illinois Industrial Commission through arbitration proceedings.

"Employee" for the purpose of this Part means any regular officer or employee who receives salary or wages for personal service rendered to the State of Illinois and is eligible for coverage under Section 1(b) of the Workers' Compensation Act or Section 1(b) of the Workers' Occupational Diseases Act.

"Physician Statement" for the purpose of this Part means a statement from a practitioner licensed to practice medicine in the State of Illinois (or who practices medicine in another state and meets the licensure requirements of that state).

"Service-Connected Day" for the purpose of this Part means an authorized absence from work at full salary paid from Personal Services appropriations when the absence is due to a compensable accident injury or illness as determined by the DCMS Risk Management Division (or other appropriate State claims administration units) and within the guidelines outlined in the Workers' Compensation Act or Workers' Occupational Diseases Act. The employee shall not be charged any accumulated benefit time such as sick leave, vacation time, compensatory time, or personal business days for this authorized absence.

History

• Source: Amended at 13 Ill. Reg. 19933, effective December 12, 1989

80 Ill. Adm. Code 2150.2 Entitlement

When an employee of an agency offering this benefit suffers an accident, and such accident is determined by the DCMS Risk Management Division (or other appropriate State claims administration units) to be compensable, the employee shall be entitled to up to a maximum of three Service-Connected days (except as otherwise provided for in bargaining unit agreements), subject to all provisions as outlined in Section 2150.5 below.

80 Ill. Adm. Code 2150.5 Policy

As defined in the above Sections, any employee of an agency offering Service Connected days suffering a compensable accident shall be allowed up to a maximum of three Service-Connected days (except as otherwise provided for in bargaining unit agreements) as long as the following criteria are met:

a) Approval or denial of Service-Connected days shall be solely decided by the agency Director or management personnel designated by such Director and subject to DCMS (or other appropriate State claims administration units) approval of the claim for Workers' Compensation benefits. DCMS personnel shall have no authority to approve or deny Service-Connected days apart from the determination of compensability for Workers' Compensation purposes.

b) Medical documentation in the form of a Physician Statement verifying the need for time off from work shall be required prior to the approval of Service-Connected days. Exceptions may be granted in the event the injury or illness is serious enough to preclude the employee from obtaining the required medical verification. However, every effort must be made by the employee to provide the necessary documentation as soon as is practical after the incident. Until such time as the claim for Workers' Compensation benefits has been approved by the DCMS Risk Management Division (or other appropriate State claims administration units), the employee shall be allowed to use accrued leave time (sick, vacation, compensatory, or personal days). Once approved, timekeeping personnel shall restore the benefit time used to the employee's account. If the employee chooses not to use accrued benefit time, he/she shall be docked for the time lost until a determination of eligibility for benefits is made.

c) For timekeeping purpose, the first Service-Connected day shall be the first regularly scheduled work day after the date of the accident. If, due to the nature of the injury or illness, time off is needed on the day of the accident, the employee must receive approval from his immediate supervisor. If approved, no accrued leave time shall be charged to the employee and he/she shall remain on the regular payroll for that portion of the day absent.

d) If an employee needs to use the Service-Connected time in noncontinuous or hourly increments, such as for doctor appointments or physical therapy, these absences shall be granted only if supported, in advance, by a Physician Statement verifying the need for the absence.

e) A Workers' Compensation file must be created by the agency in order to authorize Service-Connected days. Since medical verification is required, completion of the necessary Workers' Compensation forms (Illinois Industrial Commission form 45 and DCMS forms 900-1 through 900-7, as appropriate) will facilitate payment of any medical charges incurred as a result of the injury or illness.

f) If an employee reinjures the same body part any time after the original injury, and the accident is determined to be compensable, the reinjury is considered a new accident and Service-Connected days shall be issued in accordance with the guidelines and policies outlined above.

g) All agency timekeeping personnel shall be required to keep records of the total days and dollar amounts expended due to the use of Service-Connected days. Agencies shall be required to submit semi-annual reports to the DCMS Risk Management Division, or other appropriate state claims administration unit, on July 1 and December 31 of each year identifying the number of days granted and the associated costs.

Part 2160 Local Government Health Plan

80 Ill. Adm. Code 2160.110 Name of the Program

The name of this Program is the Local Government Health Plan.

80 Ill. Adm. Code 2160.120 Purpose

The purpose of the Program is to provide health benefits to Employees, Annuitants and Dependents of Qualified Units of Local Government [5 ILCS 375/3(s) and 10(i)], Qualified Rehabilitation Facilities [5 ILCS 375/3(t) and 10(j)], Qualified Domestic Violence Shelters and Services [5 ILCS 375/3(u) and 10(k)], and Qualified Child Advocacy Centers [5 ILCS 375/3(bb) and 375/10(n)].

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.130 Definitions

Whenever used in this Part, the following terms shall have the meanings set forth in this Section unless otherwise expressly provided, and when the defined meaning is intended, the term is capitalized.

"Act" means the State Employees Group Insurance Act of 1971 [5 ILCS 375].

"Administrative Service Organization" means any person, firm or corporation the Department or HFS has contracted with to administer the program.

"Agreement" means the Intergovernmental Cooperation Agreement executed by the Department and the Unit.

"Annuitant" means any former Employee, as defined in this Section, who has retired from a Unit and is receiving an annuity from an Illinois Public Pension System or another pension plan as a result of services to the Unit.

"Benefit Choice Period" means the annual election period, designated by the Department, during which Units may add or drop coverage for Annuitants or Dependents, and Members may add or drop Dependents from coverage and select coverage from available plans offered.

"Board" means the Local Government Health Plan Advisory Board.

"Certificate of Creditable Coverage" means the document that indicates the length of time a person has been continuously covered under a qualifying previous healthcare plan.

"Compensation" means salary or wages paid by a Unit to an Employee for personal services currently performed.

"Department" means the Illinois Department of Central Management Services.

"Dependent" means any person participating in the Program as a non-Member.

"Director" means the Director of the Illinois Department of Central Management Services.

"Employee" means and includes an elected government official or a person in the service of a Unit in the State of Illinois who receives Compensation through the regular payroll for work currently performed and receives benefits comparable to others in the same Unit.

"Fiscal Year" means the State's fiscal year, i.e., July 1 through June 30.

"Fund" means the Local Government Health Insurance Reserve Fund.

"Health Plan Representative" means an individual from a Unit who serves in the capacity of a liaison through whom the Department shall conduct all business necessary to provide health benefits to that Unit.

"HFS" means the Illinois Department of Healthcare and Family Services.

"Member" means an Employee or Annuitant.

"Plan" means the Local Government Health Plan.

"Pre-Existing Condition" means any disease, injury or condition, excluding maternity, for which the individual was diagnosed, received treatment/services, or took prescribed drugs during the 3 months immediately preceding the effective date of coverage under the Program.

"Program" means a benefits program, as authorized by the State Employees Group Insurance Act of 1971. The coverage offered to Units is similar to that offered to employees of the State of Illinois under the Program.

"Protected Health Information" or "PHI" means information subject to the protections of the Health Insurance Portability and Accountability Act of 1996 (HIPAA), P.L. 104-191 and 45 CFR 160-164, effective April 14, 2001 and amended October 16, 2002 (no subsequent dates or additions).

"Unit" means a "Qualified Unit of Local Government", a "Qualified Domestic Violence Shelter or Service", a "Qualified Rehabilitation Facility" or a "Qualified Child Advocacy Center", as defined in the State Employees Group Insurance Act of 1971.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.210 Determining Eligibility of Groups

a) A Unit must be approved by the Director for participation in the Program, if the Unit:

1. meets the definition in the Act; and

2. agrees to the conditions specified in this Part; and

3. has not withdrawn from the Program during the term of an Agreement within the previous 2 Fiscal Years, except that a Unit may terminate effective at the end of the first Fiscal Year without penalty if the second Fiscal Year premium rate is 20% greater than the first Fiscal Year.

b) A Qualified Rehabilitation Facility must have a not-for-profit status and be accredited by the Commission on Accreditation of Rehabilitation Facilities or certified by the Department of Human Services to provide services to persons with disabilities and receive funds from the Department of Human Services for providing services to persons with disabilities.

c) A Qualified Domestic Violence Shelter or Service must be funded by the Illinois Department of Human Services.

d) A Qualified Child Advocacy Center must be funded by the Illinois Department of Children and Family Services.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.220 Enrollments and Terminations

The Department shall enroll and terminate Members and their Dependents after notification in the form and manner prescribed by the Department.

a) The Department shall provide notification to the Unit that the enrollment or termination has been completed.

b) The Department shall furnish the Units with forms to submit to the Department for enrollment and termination of Members.

History

• Source: Amended at 25 Ill. Reg. 10306, effective August 3, 2001

80 Ill. Adm. Code 2160.230 Rate Setting

a) The Department will be responsible for setting rates at least 60 days prior to the start of the Fiscal Year except in the event that State union negotiations prevent the rates from being finalized.

b) The Department shall not change rates during a Fiscal Year. The methodology for rate setting is described in Section 2160.620.

History

• Source: Amended at 25 Ill. Reg. 10306, effective August 3, 2001

80 Ill. Adm. Code 2160.240 Premium Collection and Billing

a) The Department shall generate a billing statement for each Unit participating in the Program on or before the end of each month. This billing statement shall represent the total amount due from the Unit for the following month's coverage.

b) Membership changes not received on or before the 20th of each month shall be reflected in the following month's billing statement.

1. Prior month changes shall also appear on the billing and be reflected in the total amount due.

2. In cases of administrative errors on the part of the Unit, or when the Member does not provide information to the Unit, a retroactive premium adjustment shall be made. Retroactive premium adjustments shall be made contingent upon the Department recovering any health care expenses that may have been paid because the Program was not timely notified. Retroactive premium refund adjustments shall not exceed 3 months.

History

• Source: Amended at 25 Ill. Reg. 10306, effective August 3, 2001

80 Ill. Adm. Code 2160.250 Other Administrative Responsibilities

a) The Department shall offer an annual Benefits Choice Period for Units to:

1. add or drop coverage for Annuitants as a group;

2. allow Members to add or drop Dependent coverage;

3. allow Members to change health plans.

b) The Department shall provide information to the Units about the benefits and requirements of the Program in the Local Government Health Plan Benefits Handbook and the annual Benefit Choice Options booklet.

c) The Department shall prepare and distribute an administrative procedures manual with periodic updates for the Health Plan Representatives designated by the Units.

d) The Department will provide training seminars for Health Plan Representatives designated by the Units.

e) The Department shall establish an Advisory Board. The responsibilities of the Board are described in Section 2160.520.

f) The Department shall establish formal appeal procedures to be followed when the Member is dissatisfied with the benefit determination made by the Administrative Service Organization or self-funded managed care plan as described in Section 2160.420.

g) The Department shall notify the designated Health Plan Representatives of the Administrative Service Organizations being used and the address and forms needed to submit claims to the Administrative Service Organizations.

h) The Department shall audit records of participating Units, such as payroll information, to verify enrollment and enforce eligibility rules under the Plan.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.260 Program Termination

a) Grounds for program termination by the Department include, but are not limited to:

1. any material breach of the Agreement;

2. failure to pay the full monthly premium by the last day of the coverage month;

3. non-compliance with enrollment responsibilities in accordance with Section 2160.310; or

4. failure to meet the eligibility requirements of a Unit.

b) The Department shall issue one notice of termination. Termination shall be effective 15 days after notice of termination.

c) Once termination occurs, the Unit shall not be permitted to enroll in the Program for a period of 2 Fiscal Years.

d) Coverage terminates on the last day for which premium has been paid.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.270 Health Insurance Portability and Accountability Act (hipaa)

The State shall comply with the uses and disclosures of Protected Health Information (PHI), permitted by HIPAA and 45 CFR 160-164, where applicable, in Plan documents.

a) The Department shall provide an annual notice of privacy practices outlining the legal duties and privacy practices concerning the PHI of Members and Dependents.

b) PHI may be disclosed:

1. to health care providers who take care of Members and Dependents;

2. to process claims and make payments for covered services;

3. for healthcare operations;

4. to remind Members or Dependents of an upcoming appointment; and

5. as required or authorized by law.

c) Members and Dependents have the right to:

1. request restrictions on how their PHI is used for purposes of treatment, payment and healthcare operations;

2. receive confidential communications about their PHI;

3. request to inspect information used to make decisions about them;

4. request an amendment to their PHI;

5. receive an accounting of disclosures that have been made of their PHI;

6. obtain a paper copy of the annual notice of privacy practices provided by the Department; and

7. file a complaint if they feel that their privacy rights have been violated.

d) PHI may not be disclosed:

1. for any purpose other than administration of the benefit plan;

2. for any fundraising activity;

3. for the marketing of any products or services.

History

• Source: Added at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.310 Enrollment Responsibilities

a) Any Unit within the State of Illinois interested in the Program may apply to the Director to have its Employees provided group health coverage under the Act. Annuitants and Dependents may also be offered coverage.

b) To participate, Units must agree to enroll all Employees who work 90% or more of the Unit's normal work period, except as provided in subsection (b)(4). Employees may select coverage under either the self-funded health plan or a managed care plan that has contracted with the State, with the costs paid by the Unit, its Members or some combination of both as determined by the Unit.

1. Employees must be employed at least half of the normal work period as measured yearly or meet the standard for participation in the Illinois Municipal Retirement Fund, except that elected government officials employed by a Qualified Unit of Local Government have the option to participate in the Plan, regardless of the number of hours worked.

2. Employees, other than elected government officials, must receive Compensation through the regular payroll process from the Unit.

3. Units may permit Employees who work 50% to 90% of the Unit's normal work period to enroll as Members under the plan.

4. An Employee of a participating Unit of Local Government or a Qualified Rehabilitation Facility who is covered as a spouse or Dependent under this or another group plan may elect to waive coverage, as long as the Health Plan Representative attests to this other coverage and at least 85% of the full-time Employees of the Unit are covered. A participating school district must have enrolled at least 85% of its full-time Employees who have not waived coverage under the district's group health plan by participating in a component of the district's cafeteria plan. A participating school district is not required to enroll a full-time Employee who has waived coverage under the district's health plan, provided that an appropriate official from the participating school district attests that the full-time Employee has waived coverage by participating in a component of the district's cafeteria plan. For the purposes of this subsection (b)(4), "participating school district" includes school districts and career, vocational and special education school districts.

5. Employees of a participating Unit who are not enrolled due to coverage under another group health policy or plan may enroll during the annual Benefit Choice Period or at a later date if the Employee experiences a qualifying change in status. This coverage is subject to possible health benefit limitations based on Pre-Existing Conditions. No benefits shall be payable for services incurred during the first 6 months of coverage to the extent the services are in connection with any Pre-Existing Condition. The Pre-Existing Condition time period may be reduced by the amount of creditable coverage Members or Dependents may have had with another insurance plan prior to enrollment, provided there was not a break in coverage of more than 63 days. A Certificate of Creditable Coverage from the prior plan must be provided to the employing Unit to reduce the Pre-Existing Condition time period.

c) Units may also elect to cover their Annuitants.

1. Units that elect to cover their Annuitants must allow Employees at the time of retiring the option to individually enroll in the Program. The option shall only be offered once to Annuitants.

2. Individual Annuitants terminating from the Program shall not be allowed to participate in the Program in the future.

3. At the time of the initial enrollment, Units may elect to cover current Annuitants as a group. During the annual Benefit Choice Period, Units may add or drop Annuitants as a group.

d) Units may offer Dependent coverage.

e) Units may enroll under the Program at the start of any month.

1. The Units must give the Department at least 30 days advance written notice before enrollment.

2. A Unit may enroll for part of the State's Fiscal Year. If a Unit has been enrolled in the Program for a partial State Fiscal Year, the Unit must begin the second year on July 1 to coincide with the State's Fiscal Year that is also the new Plan year.

f) Units will inform Members of the following responsibilities. Plan Members must:

1. be responsible for notifying the Health Plan Representative of coverage options chosen, and any changes that may affect eligibility or enrollment.

2. be responsible for reviewing the Local Government Health Plan Benefits Handbook describing coverages, eligibility, termination and claims submission requirements.

g) Units that enroll in the Program shall designate a person to be the Health Plan Representative. The responsibilities of the Health Plan Representative are described in Section 2160.410.

h) If the Unit exempts Members' premiums from taxes, in compliance with section 125 of the Internal Revenue Code (26 USC 125), the Unit must comply with Internal Revenue Code requirements that prohibit changes in the Member deduction during the Fiscal Year unless the Member has a change in status.

i) Units do not limit their duty to bargain with representatives of any collective bargaining unit of their Employees through participation in the Program.

j) Compliance with the continuation of benefits requirements of the federal Consolidated Omnibus Budget Reconciliation Act of 1985 (COBRA) is the responsibility of the Unit. All premiums must be collected and transmitted by the Unit.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.320 Premium Collection and Payment

The Unit shall be responsible for the collection and transmission of Member and Dependent premiums.

a) For the first month's premium only, the Department must receive the premium by the first day of coverage. This premium is non-refundable if the Unit does not enroll.

b) For the subsequent months, the total amount due as specified in the billing statement, which includes the combined amount due from Members, Dependents and the Unit, shall be paid in full by the 20th day of the month the billing is received.

c) Payments not received by the last day of the coverage month shall be considered delinquent and shall result in the suspension of payment of claims for services provided to Members of the Unit. Payment of claims shall be withheld until the Department receives the full monthly premium due.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.325 Program Termination (renumbered)

History

• Source: Section 2160.325 renumbered to Section 2160.260 at 25 Ill. Reg. 10306, effective August 3, 2001

80 Ill. Adm. Code 2160.330 Signing the Agreement

Units must sign an Agreement with the Department.

a) The first Agreement shall cover the actual period the Unit is enrolled between July 1 through June 30 of the first Fiscal Year and through the end of the second Fiscal Year.

b) Subsequent Agreements shall be effective for 2 State Fiscal Years.

c) The Agreement shall be prepared by the Department and shall contain the premium rates to be charged during the first Fiscal Year.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.335 Health Insurance Portability and Accountability Act of 1996 (hipaa)

The Unit shall comply with the uses and disclosures of Protected Health Information, permitted by HIPAA and 45 CFR 160-164, where applicable, in Plan documents.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.410 Health Plan Representatives

Health Plan Representatives shall:

a) enroll Members and their Dependents;

b) provide enrollment, termination and change in status information to the Department on forms provided by the Department;

c) provide coverage, enrollment and termination information to Members in accordance with the time schedules set by the Department, as described in the Local Government Health Plan Benefits Handbook; and

d) disseminate to Members information regarding benefits available under the Program, changes and/or additions to the Program, and any materials provided by the Department.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.420 Appeals Process Responsibilities

The Member shall be responsible for handling appeals concerning claims payments.

a) All correspondence concerning appeals must indicate the Unit in which the Member is enrolled in the Program.

b) If a Member believes that an error has been made in the benefit amount allowed or disallowed, the Member should contact the claims processing office of the self-funded managed care plan or the Administrative Service Organization within 180 days after denial of the initial claim determination.

c) Within 60 days after receiving the results of the review process by the self-funded managed care plan or Administrative Service Organization, the Member may submit a written request for review to the Department for a final determination of either an administrative or medical necessity appeal.

d) Administrative appeals are based on Plan exclusions and limitations and Plan design, and the Department's Group Insurance Division's decision is final and binding on all parties.

e) Within 60 days after receipt of the notice of the Department's Group Insurance Division's decision, a medical necessity appeal may be made to the Board. The Board will review the documentation and facts presented to the Department and make a recommendation to the Director, whose decision shall be final and binding on all parties. The Director's decision shall be in writing.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.510 Appointment of Advisors

The Director shall establish the Local Government Health Plan Advisory Board. This Board shall consist of 7 advisors who are Members of the Plan.

a) Advisors shall be appointed by the Director for 3-year terms beginning on September 1.

b) Of the initial appointments, 3 advisors shall be appointed for one year, 2 advisors shall be appointed for 2 years, and 2 advisors shall be appointed for 3 years. All subsequent appointments shall be for 3-year terms.

c) If the Unit from which the advisor was appointed withdraws from the Plan, the advisor's appointment will terminate as of the date of the Unit's withdrawal. The Director shall appoint another Member to serve the balance of the term.

d) If the advisor ceases to be a Member, the advisor's appointment will terminate as of the date membership ceased. The Director shall appoint another Member to serve the balance of the term.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.520 Responsibilities of the Board

The responsibilities of the Board shall consist of the following:

a) annually review material to be distributed to the Units;

b) advise the Department concerning any modifications needed to improve the administration of the Plan;

c) review rate setting methodologies;

d) hear medical necessity appeals and make recommendations to the Director, as provided in Section 2160.420.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.610 Local Government Health Insurance Reserve Fund

a) Premium payments by Units for group health coverage shall be deposited in the Local Government Health Insurance Reserve Fund (see 5 ILCS 375/10(i)). The Fund may also receive deposits of other revenues and monies.

b) All expenditures from this Fund shall be used for payments of Members' health care benefits and to reimburse the Department, HFS, Administrative Service Organizations and insurers for all expenses incurred in the administration of the Plan. No State funds shall be used for these purposes.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.620 Premium Rate Structure

The Director shall annually determine monthly rates of payment subject to the following constraints.

a) A tiered rate methodology shall be employed.

b) Units shall be assigned a rate tier based on the projected costs for each Unit according to the following guidelines:

1. In the first Fiscal Year of coverage the rates shall be based on the cost of administration and the cost of medical services adjusted for age, sex, geographic or demographic characteristics, or other factors that may affect the costs of the Plan. A margin to cover fluctuation in the amount of claims shall also be added to the premium.

2. In subsequent years, premium rates shall be based on prior years' claims experience, the cost of administration and the cost of medical services adjusted for age, sex, geographic or demographic characteristics, or other factors that may affect the costs of the Plan. A margin to cover fluctuations in the amount of claims shall also be added to the premium.

3. Premium rates shall remain unchanged throughout the Fiscal Year. A Unit shall experience a one-tier rate increase or decrease if the projected costs, based on employee demographics and actual prior years' claims experience of Members and Dependents, warrant such an increase or decrease for the following Fiscal Year.

c) Beginning with the first year, Units that enroll more than 250 Members may be individually experience rated to determine the monthly premium rates.

History

• Source: Amended at 25 Ill. Reg. 10306, effective August 3, 2001

80 Ill. Adm. Code 2160.710 Local Government Health Plan

The Local Government Health Plan is similar to the benefits offered by the State of Illinois to its employees.

a) The Local Government Health Plan benefits are described in the Local Government Health Plan Benefits Handbook that shall be provided to all Health Plan Representatives for distribution to all Members.

b) All Units participating in the Plan shall receive sufficient Local Government Health Plan Benefits Handbooks and Benefit Choice Options booklets to distribute to each of their Members.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

80 Ill. Adm. Code 2160.720 Health Care Coverage

a) Except as provided in subsections (b) and (c), for any Member or Dependent under the Plan, there is no coverage for 6 months after enrollment for health conditions that have been treated during the 3 months prior to enrollment, as described in the Local Government Health Plan Benefits Handbook.

b) For all Members and their covered Dependents who enroll under the Plan at the time their respective Unit initially enrolls in the Plan, the limitation described in subsection (a) shall not apply.

c) The Pre-Existing Condition time period may be reduced by the amount of creditable coverage Members or Dependents may have had with another insurance plan prior to enrollment, provided there was not a break in coverage of more than 63 days. A Certificate of Creditable Coverage from the prior plan must be provided to the employing Unit to reduce the Pre-Existing Condition time period.

d) Coverage begins for all Members and their covered Dependents at 12:01 AM of the day the Unit is enrolled in the Plan.

History

• Source: Amended at 32 Ill. Reg. 15994, effective September 11, 2008

Part 2170 Teachers' Retirement Insurance Program

80 Ill. Adm. Code 2170.110 Name of Program

The name of this Program is the Teachers' Retirement Insurance Program.

80 Ill. Adm. Code 2170.120 Purpose

The purpose of the Program is to provide health benefits to TRS Benefit Recipients and TRS Dependent Beneficiaries.

80 Ill. Adm. Code 2170.130 Definitions

Whenever used in this Part, the following terms shall have the meanings set forth in this Section unless otherwise expressly provided, and when the defined meaning is intended, the term is capitalized.

"Act" means the State Employees Group Insurance Act of 1971 [5 ILCS 375].

"Benefit Choice Period" means the annual benefit election period (usually May 1 through May 31 each year).

"Certificate of Creditable Coverage" means a document that indicates the length of time a person has been continuously covered under a qualifying previous healthcare plan.

"COBRA" means the federal Consolidated Omnibus Budget Reconciliation Act of 1985.

"Department" means any department, institution, board, commission, officer, court or any agency of the State government receiving appropriations and having power to certify payrolls to the Comptroller authorizing payments of salary and wages against such appropriations as are made by the General Assembly from any State fund, or against trust funds held by the State Treasurer and includes boards of trustees of the retirement systems created by Articles 2, 14, 15, 16 and 18 of the Illinois Pension Code. "Department" also includes the Illinois Comprehensive Health Insurance Board, the Board of Examiners established under the Illinois Public Accounting Act, and the Illinois Finance Authority.

"CMS" means the Illinois Department of Central Management Services.

"Director" means the Director of the Illinois Department of Central Management Services or of any successor agency designated to administer the Act.

"Fiscal Year" means the State's fiscal year from July 1 through June 30.

"Fund" means the Teacher Health Insurance Security Fund.

"HFS" means the Illinois Department of Healthcare and Family Services.

"Participant" means a TRS Benefit Recipient and/or TRS Dependent Beneficiary enrolled in the Teachers' Retirement Insurance Program.

"Protected Health Information" or "PHI" means individually indentifiable health information as defined in 45 CFR 160.103 (2003) that is subject to the protections of the Health Insurance Portability and Accountability Act of 1996 (HIPAA) (P.L. 104-191).

"Plan Administrator" means an organization, company or other entity contracted by the Department to review and approve benefit payments, pay claims and perform other duties related to the administration of a specific plan.

"Program" means the Teachers' Retirement Insurance Program, as authorized by the State Employees Group Insurance Act of 1971.

"TCHP" means the Teachers' Choice Health Plan, the major medical coverage program offered under the Teachers' Retirement Insurance Program.

"TRIP" means the Teachers' Retirement Insurance Program, as authorized by the Act.

"TRS" means the Teachers' Retirement System.

"TRS Benefit Recipient" means a person who is not a "member", as defined in the Act and is receiving a monthly benefit or retirement annuity under Article 16 of the Illinois Pension Code [40 ILCS 5/Art. 16]; and:

has at least 8 years of creditable service under Article 16 of the Illinois Pension Code or was enrolled in the health insurance Program offered under that Article on January 1, 1996; or

is the survivor of a Benefit Recipient who had at least 8 years of creditable service under Article 16 of the Illinois Pension Code or was enrolled in the health insurance Program offered under that Article on June 21, 1995; or

is a recipient or survivor of a recipient of a disability benefit under Article 16 of the Illinois Pension Code.

"TRS Dependent Beneficiary" means a person who is not a "member" or "dependent" as defined in the Act, and is a:

TRS Benefit Recipient's spouse; or

dependent parent who is receiving at least half of his or her support from the TRS Benefit Recipient; or

unmarried natural, step or adopted child who is under age 19; or

enrolled as a full-time student in an accredited school, financially dependent upon the TRS Benefit Recipient, eligible to be claimed as a dependent for income tax purposes, and either is under age 24 or was, on January 1, 1996, participating as a Dependent Beneficiary in the health insurance Program offered under Article 16 of the Illinois Pension Code; or

age 19 or over who is mentally or physically handicapped; or

eligible for coverage pursuant to Section 356z.11 or 356z.12 of the Illinois Insurance Code [215 ILCS 5].

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.210 Determining Enrollment Policies

a) Initial enrollment periods. Initial enrollment in TRIP is limited to the following periods:

1. When a TRS Benefit Recipient applies for annuity benefits;

2. When a TRS Benefit Recipient or TRS Dependent Beneficiary turns age 65;

3. When a TRS Benefit Recipient or TRS Dependent Beneficiary becomes eligible for Medicare;

4. When coverage of a TRS Benefit Recipient or TRS Dependent Beneficiary is involuntarily terminated by a former group plan;

5. During the Benefit Choice Period, if never previously enrolled.

b) Re-enrollment periods. Re-enrollment into the Program is limited to the following periods:

1. When a TRS Benefit Recipient or TRS Dependent Beneficiary turns age 65;

2. When a TRS Benefit Recipient or TRS Dependent Beneficiary becomes eligible for Medicare; or

3. When coverage of a TRS Benefit Recipient or TRS Dependent Beneficiary is involuntarily terminated by a former employer.

c) A TRS Benefit Recipient may change health plans only:

1. When the TRS Benefit Recipient has a permanent address change and the previously selected managed care plan is not available at the new address;

2. When the TRS Benefit Recipient's primary care physician leaves the managed care plan selected by the TRS Benefit Recipient; or

3. During the Benefit Choice Period.

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.220 Determining Insurance Rates and Premiums

The Director of HFS will determine the insurance rates and premiums for TRS Benefit Recipients and TRS Dependent Beneficiaries and present to TRS the rate-setting methodology used to determine the amount of the health care premiums by April 15 of each calendar year. Rates and premiums may be based in part on age and eligibility for federal Medicare coverage. Pursuant to the Act, premiums are based on the plan selected by the Benefit Recipient. The TRS Benefit Recipient shall pay the entire premium for any coverage for a TRS Dependent Beneficiary.

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.230 Determining Benefits

The Director will determine the benefits available to TRS Benefit Recipients and TRS Dependent Beneficiaries.

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.240 Provision for Benefits

The Director shall by contract, self-insurance, or otherwise make available the Program of health benefits for TRS Benefit Recipients and their TRS Dependent Beneficiaries.

80 Ill. Adm. Code 2170.250 Other Responsibilities

a) CMS will offer an annual Benefit Choice Period for TRS Benefit Recipients to:

1. Initially enroll into the Program;

2. Add a Dependent Beneficiary, pursuant to enrollment policies;

3. Change health plans.

b) CMS will provide information regarding benefits and requirements of the Program in a TRIP Benefits Handbook and an annual Benefit Choice Options booklet.

1. The TRIP Benefits Handbook shall embrace the following topics:

A) Eligibility guidelines pursuant to the definitions of Benefit Recipient and Dependent Beneficiary in Section 2170.130.

B) Enrollment opportunities pursuant to Section 2170.210.

C) Termination guidelines.

i) Coverage for a Benefit Recipient terminates on the last day of the month when:

• eligibility requirements are no longer met;

• the TRIP program is terminated;

• a written request is received by TRS that coverage should be terminated; or

• the Benefit Recipient becomes eligible for and enrolls in the State of Illinois Employees Group Insurance Program.

ii) Coverage for a Benefit Recipient terminates on the date of death.

iii) Coverage for a Dependent Beneficiary terminates:

• on the last day of the month simultaneously with termination of a Benefit Recipient's coverage;

• at the end of the month in which the enrolled Dependent Beneficiary no longer meets eligibility requirements;

• on the date of death; or

• on the first day of the month following receipt of the written request to terminate Dependent Beneficiary coverage.

D) Covered Benefits under TCHP.

E) TCHP claims filing deadlines and procedures.

2. The Benefit Choice Options booklet shall detail information not provided in the Benefits Handbook (e.g., premium amounts, coverage changes, managed care plan availability and preferred provider information).

c) CMS will provide training seminars for TRS regarding benefits under TRIP.

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.260 Appeals Process Responsibilities

a) If a Participant believes that an error has been made in the benefit amount allowed or disallowed, the Participant should contact the claims processing office of the Plan Administrator, pursuant to the appeal process detailed in the Benefits Handbook. The Participant must utilize the Plan Administrator's review process to the fullest extent prior to contacting CMS. The Participant must contact the appropriate Plan Administrator within 180 days after the date of the initial claim determination.

b) If the Participant is not satisfied with the results of the review by the Plan Administrator, the Participant may submit a written request for review to CMS, within 60 days after the date of the initial claim determination, for a final determination.

c) If, after receiving the final determination, the Participant is still not satisfied, an appeal of the determination may be made to an appeal committee, created by the Director, within 60 days after the final determination by CMS. The findings of the appeal committee shall be final and binding on all parties.

d) The Participant will be notified in writing of every decision rendered during the appeal process.

e) The Participant retains all rights under Section 15(h) of the Act.

f) Appeal committee members are appointed by the Director of CMS.

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.270 Health Insurance Portability and Accountability Act (hipaa)

CMS and HFS shall comply with the uses and disclosures of Protected Health Information (PHI), permitted by HIPAA, where applicable as referenced in the plan documents.

a) An annual notice of privacy practices shall be provided that outlines the legal duties and privacy practices concerning the PHI of Participants.

b) PHI may be disclosed:

1. to healthcare providers who take care of Participants;

2. to process claims and make payments for covered services;

3. for healthcare operations;

4. to remind Participants of an upcoming appointment; and

5. as required or authorized by law.

c) Participants have the right to:

1. request restrictions on how their PHI is used for purposes of treatment, payment and healthcare operations;

2. receive confidential communications about their PHI;

3. request to inspect information used to make decisions about them;

4. request an amendment to their PHI;

5. receive an accounting of disclosures that have been made of their PHI;

6. obtain a paper copy of the annual notice of privacy practices; and

7. file a complaint if they believe that their privacy rights have been violated.

d) PHI may not be disclosed:

1. for any purpose other than administration of the benefit plan;

2. for any fundraising activity; or

3. for the marketing of any products or services.

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.310 Eligibility

TRS shall determine eligibility of TRS Benefit Recipients and TRS Dependent Beneficiaries pursuant to Section 2170.250(b)(1)(A).

80 Ill. Adm. Code 2170.320 Enrollments and Terminations

TRS shall enroll and terminate TRS Benefit Recipients and TRS Dependent Beneficiaries pursuant to Section 2170.210 and Section 2170.250(b)(1)(C).

80 Ill. Adm. Code 2170.330 Premium Collection and Payment

TRS shall be responsible for the collection and transmission of Participant premiums into the Teacher Health Insurance Security Fund.

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.340 Administering Consolidated Omnibus Budget Reconciliation Act of 1985 (cobra)

TRS shall be responsible for compliance with the continuation of benefits requirements of COBRA. All premiums must be collected and transmitted by TRS.

80 Ill. Adm. Code 2170.350 Other Responsibilities

a) TRS shall provide enrollment, termination and change in status and/or address information to CMS.

b) TRS shall inform TRS Benefit Recipients that they must:

1. Notify TRS of coverage options chosen, and any changes that may affect eligibility or enrollment, including address changes;

2. Notify TRS of the existence of, or change to, other group insurance coverage to ensure appropriate coordination of benefits; and

3. Review the TRIP Benefits Handbook, annual Benefit Choice Options booklet and any other materials provided by TRS or CMS and abide by all policies outlined in those publications.

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

80 Ill. Adm. Code 2170.360 Health Insurance Portability and Accountability Act (hipaa)

TRS shall comply with the uses and disclosures of Protected Health Information, permitted by the Health Insurance Portability and Accountability Act (HIPAA), where applicable as outlined in the Program documents.

80 Ill. Adm. Code 2170.410 Teacher Health Insurance Security Fund

a) The Director shall establish the Teacher Health Insurance Security Fund (Fund) (see 5 ILCS 375/6.6). This Fund shall be a continuing fund not subject to Fiscal Year limitations.

b) All active contributors to the Teachers' Retirement System who are not employees of a Department shall make contributions toward the cost of annuitant and survivor health benefits. These contributions shall be at the following rates: until January 1, 2002, 0.5% of salary; beginning January 1, 2002, 0.65% of salary; beginning July 1, 2003, 0.75% of salary; beginning July 1, 2005, 0.80% of salary; and, beginning July 1, 2007 through June 30, 2010, 0.84% of salary. Future contributions shall be at a percentage of salary to be determined by the Director based on actual costs of the program, but in no Fiscal Year shall the salary required to be paid exceed 105% of the percentage of salary actually paid in the previous Fiscal Year. These contributions shall be paid to TRS as service agent for CMS.

c) Every employer of a teacher, other than an employer that is a Department, shall pay an employer contribution toward the cost of annuitant and survivor health benefits. The contributions are computed as follows: January 1, 2002 through June 30, 2003, 0.4% of each teacher's salary; July 1, 2003, 0.5%; beginning July 1, 2005, 0.6% of each teacher's salary; and, beginning July 1, 2007 through June 30, 2010, 0.63% of each teacher's salary. Future contributions shall be at a percentage of salary to be determined by the Director based on actual costs of the program, but in no Fiscal Year shall the salary required to be paid exceed 105% of the percentage of salary actually paid in the previous Fiscal Year. These contributions shall be paid to TRS as service agent for CMS.

d) TRS shall deposit all moneys collected pursuant to the terms of the Act and this Section into the Fund.

e) On or before November 15 of each year, the Board of Trustees of TRS shall certify to the Governor, the Directors of CMS and HFS and the State Comptroller its estimate of the total amount of contributions to be paid for the next Fiscal Year. The amount certified shall be increased or decreased each year by the amount that the actual active teacher contributions either fell short of or exceeded the estimate used by the Board in making the certification for the previous Fiscal Year.

f) On the first day of each month, the State Treasurer and the State Comptroller shall transfer from the General Revenue Fund to the Fund 1/12 of the annual amount appropriated for that Fiscal Year to the State Comptroller for deposit into the Fund pursuant to 5 ILCS 375/6.6(c) and (d).

History

• Source: Amended at 34 Ill. Reg. 838, effective December 31, 2009

Part 2180 College Insurance Program

80 Ill. Adm. Code 2180.110 Name of Program

The name of this Program is the College Insurance Program.

80 Ill. Adm. Code 2180.120 Purpose

The purpose of the Program is to provide health benefits to State Universities Retirement System (SURS) Benefit Recipients and SURS Dependent Beneficiaries.

80 Ill. Adm. Code 2180.130 Definitions

Whenever used in this Part, the following terms shall have the meanings set forth in this Section unless otherwise expressly provided, and when the defined meaning is intended, the term is capitalized.

"Act" means the State Employees Group Insurance Act of 1971 [5 ILCS 375].

"Benefit Choice Period" means the annual benefit election period (usually May 1 through May 31 each year).

"CCHP" means the College Choice Health Plan (indemnity medical plan offered under CIP).

"CIP" means the College Insurance Program, as authorized by the State Employees Group Insurance Act of 1971.

"COBRA" means the federal Consolidated Omnibus Budget Reconciliation Act of 1985.

"State Department" means any department, institution, board, commission, officer, court or any agency of the State government receiving appropriations and having power to certify payrolls to the Comptroller authorizing payments of salary and wages against such appropriations as are made by the General Assembly from any State fund, or against trust funds held by the State Treasurer and includes boards of trustees of the retirement systems created by Articles 2, 14, 15, 16 and 18 of the Illinois Pension Code. "Department" also includes the Illinois Comprehensive Health Insurance Board, the Board of Examiners established under the Illinois Public Accounting Act, and the Illinois Rural Bond Bank

"CMS" means the Illinois Department of Central Management Services.

"Director" means the Director of the Illinois Department of Central Management Services (CMS).

"Fiscal Year" means the State's fiscal year from July 1 through June 30.

"Fund" means the Community College Health Insurance Security Fund.

"Participant" means a SURS Benefit Recipient and/or SURS Dependent Beneficiary.

"Plan Administrator" means an organization, company or other entity contracted by CMS to review and approve benefit payments; pay claims; and perform other duties related to the administration of a specific plan.

"Program" means the College Insurance Program, as authorized by the State Employees Group Insurance Act of 1971.

"SURS" means the State Universities Retirement System.

"SURS Benefit Recipient" means a person who is not a "member" as defined in the Act; and is receiving a monthly survivor's annuity or retirement annuity under Article 15 of the Illinois Pension Code [40 ILCS 5/Art. 15]; and either was a full-time employee of a community college district or an association of community college boards created under the Public Community College Act (other than an employee whose last employer under Article 15 of the Illinois Pension Code was a community college district subject to Article VII of the Public Community College Act) and was eligible to participate in a group health benefit plan as an employee during the time of employment with a community college district (other than a community college district subject to Article VII of the Public Community College Act) or an association of community college boards; or is the survivor of a person described in this definition.

"SURS Dependent Beneficiary" means a person who is not a "member" or "dependent" as defined in the Act, and is a SURS Benefit Recipient's spouse; dependent parent who is receiving at least half of his or her support from the SURS Benefit Recipient; or unmarried natural, step, or adopted child who is under age 19; or enrolled as a full-time student in an accredited school, financially dependent upon the SURS Benefit Recipient, eligible to be claimed as a dependent for income tax purposes, and either is under age 23; or age 19 or over who is mentally or physically handicapped.

80 Ill. Adm. Code 2180.210 Determining Enrollment Policies

a) Initial enrollment periods. Initial enrollment in CIP is limited to the following periods:

1. When a SURS Benefit Recipient applies for annuity benefits;

2. When a SURS Benefit Recipient or SURS Dependent Beneficiary turns age 65;

3. When coverage of a SURS Benefit Recipient or SURS Dependent Beneficiary is terminated by a former group plan;

4. During the Benefit Choice Period.

b) Re-enrollment period limitations. Re-enrollment into the Program is limited to the following periods:

1. When a SURS Benefit Recipient or SURS Dependent Beneficiary turns age 65;

2. When coverage of a SURS Benefit Recipient or SURS Dependent Beneficiary is terminated by a former employer.

80 Ill. Adm. Code 2180.220 Determining Insurance Rates and Premiums

The Director will determine the insurance rates and premiums for SURS Benefit Recipients and SURS Dependent Beneficiaries. Rates and premiums may be based in part on age and eligibility for federal Medicare coverage. Pursuant to the Act, premiums are based on the plan selected by the Benefit Recipient. The SURS Benefit Recipient shall pay the entire premium for any coverage for a SURS Dependent Beneficiary.

80 Ill. Adm. Code 2180.230 Determining Benefits

CMS will determine the benefits available to SURS Benefits Recipients and SURS Dependent Beneficiaries.

80 Ill. Adm. Code 2180.240 Provision for Benefits

The Director shall by contract, self-insurance, or otherwise make available the Program of health benefits for SURS Benefit Recipients and their SURS Dependent Beneficiaries.

80 Ill. Adm. Code 2180.250 Other Responsibilities

a) CMS will offer an annual Benefit Choice Period for SURS Benefit Recipients to:

1. Initially enroll into the Program;

2. Add a Dependent Beneficiary, pursuant to enrollment policies;

3. Change health plans.

b) CMS will provide information regarding benefits and requirements of the Program in a CIP Benefits Handbook and an annual Benefit Choice Options booklet.

1. The CIP Benefits Handbook shall embrace the following topics:

A) Eligibility guidelines pursuant to the definitions of Benefit Recipient and Dependent Beneficiary in Section 2180.130.

B) Enrollment opportunities pursuant to Section 2180.210.

C) Termination guidelines. Coverage for a Benefit Receipient terminates at midnight on the last day of the month when eligibility requirements are no longer met, CIP coverage terminates, a written request is received by SURS that coverage should be terminated, the Benefit Recipient becomes eligible for and enrolls in the State of Illinois Employees Group Insurance Program, or upon dealth. Coverage for a Dependent Beneficiary terminates at midnight on the last day of the month simultaneously with termination of a Benefit Recipient's coverage; when coverage is terminated by the Benefit Recipient; when eligibility requirements are no longer met or upon death.

D) Covered Benefits under CCHP (e.g., chemotherapy, durable medical equipment, hospital services, infertility treatments, lab and x-ray, physician services, speech therapy, organ and tissue transplant, urgent care, preventive services, prescription drug, mental health/substance abuse and exclusions.

E) CCHP claims filing deadlines and procedures.

2. The Benefit Choice Options booklet shall detail information not provided in the Benefits Handbook (e.g., premium amounts, coverage changes, managed care plan availability and preferred provider information).

c) CMS will provide training seminars for SURS.

80 Ill. Adm. Code 2180.260 Appeals Process Responsibilities

a) If a Participant believes that an error has been made in the benefit amount allowed or disallowed, the Participant should contact the claims processing office of the Plan Administrator pursuant to the Appeal Process as detailed in the Benefits Handbook. The Participant must utilize the Plan Administrator's review process to the fullest extent prior to contacting CMS. The Participant must contact the appropriate Plan Administrator within 180 days after the date of the initial claim determination.

b) If the Participant is not satisfied with the results of the review process by the Plan Administrator, the Participant may submit a written request for review to CMS, within 60 days after the date of the Initial Review determination for a Final Determination.

c) If the Participant is still not satisfied, an appeal of the determination may be made to an appeal committee, created by the Director, within 60 days after the Final Review by CMS. The findings of the appeal committee shall be final and binding on all parties.

d) The Participant will be notified in writing of every decision rendered during the Appeal Process.

e) The Participant retains all rights under Section 15(h) of the Group Insurance Act.

f) Appeal Committee members are appointed by the Director.

80 Ill. Adm. Code 2180.270 Health Insurance Portability and Accountability Act (hipaa)

CMS will comply with the uses and disclosures of Protected Health Information, permitted by the Health Insurance Portability and Accountability Act (HIPAA), where applicable as referenced in the plan documents.

80 Ill. Adm. Code 2180.310 Eligibility

SURS shall determine eligibility of SURS Benefit Recipients and SURS Dependent Beneficiaries pursuant to Section 2180.250(b)(1)(A).

80 Ill. Adm. Code 2180.320 Enrollments and Terminations

SURS shall enroll and terminate SURS Benefit Recipients and SURS Dependent Beneficiaries pursuant to Section 2180.210 and Section 2180.250(b)(1)(C).

80 Ill. Adm. Code 2180.330 Premium Collection and Payment

SURS shall be responsible for the collection and transmission of SURS Benefit Recipient and SURS Dependent Beneficiary premiums into the Community College Health Insurance Security Fund.

80 Ill. Adm. Code 2180.340 Administering Consolidated Omnibus Budget Reconciliation Act of 1985 (cobra)

SURS shall be responsible for compliance with the continuation of benefits requirements of COBRA. All premiums must be collected and transmitted by SURS.

80 Ill. Adm. Code 2180.350 Other Responsibilities

a) SURS shall provide enrollment, termination and change in status and/or address information to CMS.

b) SURS shall inform SURS Benefit Recipients that they must:

1. Notify SURS of coverage options chosen, and any changes that may affect eligibility or enrollment, including address changes.

2. Review the CIP Benefits Handbook, annual Benefit Choice Options booklet and any other materials provided by SURS or CMS and abide by all policies outlined in these publications.

80 Ill. Adm. Code 2180.360 Health Insurance Portability and Accountability Act (hipaa)

SURS shall comply with the uses and disclosures of Protected Health Information, permitted by the Health Insurance Portability and Accountability Act (HIPAA), where applicable as outlined in the Program documents.

80 Ill. Adm. Code 2180.410 Community College Health Insurance Security Fund

a) The Director shall establish the Community College Health Insurance Security Fund (see 5 ILCS 375/6.10). This Fund shall be a continuing fund not subject to Fiscal Year limitations.

b) An active contributor to the State Universities Retirement System who:

1. is a full-time employee of a community college district or an association of community college boards and

2. is not an employee of a State Department as defined in the Act shall make contributions toward the cost of annuitant and survivor health benefits at the rate of 0.5% of salary. These contributions shall be paid to SURS as service agent for CMS.

c) Every community college district or association of community college boards that is an employer under SURS contributes toward the cost of the community college health benefits in an amount equal to 0.5% of the salary paid to its full-time employees who participate in SURS and are not members as defined in the Act. These contributions shall be paid to SURS as service agent for CMS.

d) SURS shall deposit all moneys collected into the Community College Health Insurance Security Fund.

e) On or before November 15 of each year, the Board of Trustees of SURS shall certify to the Governor, the Director of CMS and the State Comptroller its estimate of the total amount of contributions to be paid for the next fiscal year.

f) On the first day of each month the State Treasurer and the State Comptroller shall transfer from the General Revenue Fund to the Community College Health Insurance Fund 1/12 of the annual amount appropriated for that fiscal year to the State Comptroller for deposit into the Community College Health Insurance Security Fund pursuant to 5 ILCS 375/6.10(c) and (d).

Chapter 1 Department of Central Management Services

Part 2190 Commuter Savings Program

80 Ill. Adm. Code 2190.10 Summary and Purpose of the Commuter Savings Program (csp)

The Commuter Savings Program (CSP) is intended to serve as a qualified transportation fringe program under section 132(f) of the Internal Revenue Code (26 USC 132(f)) and is to be interpreted in a manner consistent with the requirements of this Section. The purpose of CSP is to enable participants the opportunity to pay qualified transportation expenses with pre-tax payroll deducted contributions, limited to expenses not claimed on federal tax forms.

80 Ill. Adm. Code 2190.20 Definitions

a) Whenever used in this Part, the following words and phrases shall have the meanings specified.

"Carpool" means an arrangement in which a group of people commute together by car.

"Code" means the Internal Revenue Code of 1954 (26 USC 1 et seq.) and applicable regulations, or any successor statute.

"Commuter Highway Vehicle" means any highway vehicle with seating capacity of at least 6 adults (not including the driver) for which at least 80% of the mileage use can reasonably be expected to be:

for purposes of transporting employees in connection with travel between their residence and their place of employment; and

on trips during which the number of employees transported for those purposes is at least one-half of the adult seating capacity of the vehicle (not including the driver).

"Compensation" means wages, salary or other compensation received by a Plan participant as reported on the participant's W-2 from the employer.

"Department" means the Illinois Department of Central Management Services.

"Eligible Employee" means any active State of Illinois employee working full-time or more than 50% of the average work week and who has payroll checks processed through the Office of the Comptroller for the State of Illinois. An eligible employee of the employer excludes independent contractors, temporary employees, and retirees who return to work for no longer than 75 days per year after they retire.

"Employer" means the State of Illinois, which includes all officers, boards, commissions, and agencies created by the Illinois Constitution, whether in the executive, legislative or judicial branch; all officers, departments, boards, commissions, agencies, institutions, authorities, universities, bodies politic and corporate of the State; and administrative units or corporate outgrowths of the State government that are created by or pursuant to statute other than units of local government and their officers, school districts and boards of election commissioners, and all administrative units and corporate outgrowths of the above as may be created by executive order of the Governor.

"Group Insurance Representative" or "GIR" means an individual who assists the Department with the administration of the Plan.

"Participant" means each eligible employee who participates in the Plan in accordance with Section 2190.210 of this Part.

"Pay Period" means a regular accounting period established by the State of Illinois for measuring and paying compensation earned by employees. A pay period may be monthly, semi-monthly or biweekly.

"Plan" means the State of Illinois Commuter Savings Program as set forth in this Part, and as may be amended from time to time in compliance with the Illinois Administrative Procedure Act [5 ILCS 100].

"Plan Administrator" means an organization, company or other entity designated by the Director to perform certain duties related to the administration of a specific plan in accordance with the terms of the contract between that organization and the Department.

"Plan Year" means the 12-consecutive-month period comprising the State fiscal year beginning July 1.

"Qualified Parking" means parking provided to the eligible employee on or near the business premises of the employer or on or near a location from where the eligible employee commutes to work by transportation on mass transit facilities, in a commuter highway vehicle or by carpool. This term shall not include any parking on or near property used by the eligible employee for residential purposes.

"Qualified Transportation Expenses" means:

mileage reimbursement, up to the federally set limits, for transportation in a commuter highway vehicle if the transportation is in connection with travel between the participant's residence and place of employment;

any transit pass; or

qualified parking.

"Reimbursement" means to pay a participant in the Plan for qualified transportation expenses.

"Transit Pass" means any pass, token, fare card, voucher or similar item entitling a person to transportation (or transportation at a reduced price) if the transportation is:

on mass transit facilities (whether or not publicly owned); or

provided by any person in the business of transporting persons for compensation or hire if the transportation is provided in a highway vehicle with a seating capacity of at least 6 adults (not including the driver).

b) A pronoun or adjective in the masculine gender includes the feminine gender and

the singular includes the plural, unless the context clearly indicates otherwise.

80 Ill. Adm. Code 2190.110 Administration of the Plan

a) The Plan shall be administered by the Plan Administrator.

b) The Department reserves the right to enter into agreements with other agencies to delegate various record keeping and other administrative functions to the employing agencies of the participants.

c) It shall be the principal duty of the Department to see that the Plan is carried out for the exclusive benefit of persons entitled to participate in the Plan without discrimination among them.

80 Ill. Adm. Code 2190.120 Expenses of Administration

Any expenses incurred relative to the administration of the Plan shall be paid by the Department.

80 Ill. Adm. Code 2190.210 Date of Participation

a) An eligible employee will become a participant upon an election under this Plan to participate.

b) Eligible employees may enroll in the Plan at any time.

c) Participation can only be through payroll deduction.

80 Ill. Adm. Code 2190.220 Errors

a) Participants are responsible for notifying their GIR of any payroll deduction errors.

b) In the event a deduction is missed or an incorrect amount is deducted because of payroll or other processing errors, the error must be corrected on the payroll immediately following the discovery of the error.

c) If the correction of the error causes an economic hardship for the participant, funds sufficient to correct the error will be deducted from the participant's paycheck over the two months immediately following the discovery of the error.

d) If the error is unable to be corrected on payroll and the participant's account does not contain funds sufficient to cover the costs of participation in the Plan, the participant will be asked to refund to the Department any amount owed.

e) If the participant refuses, the Department will request the Comptroller to withhold the required amount from the participant's next available paycheck pursuant to 74 Ill. Adm. Code 285.

f) If the error is unable to be corrected on payroll and the participant's account contains funds in excess of those necessary to participate in the Plan, the Plan Administrator will refund the participant any excess amount.

80 Ill. Adm. Code 2190.310 Election Procedures

a) An eligible employee may elect to participate in this Plan by contacting the Plan Administrator. The Plan Administrator will notify the Department and the participant's GIR of the enrollment and the amount of the deduction.

b) Enrollment decisions or changes must be made and communicated to the Plan Administrator on or before the 10th day of each month to be effective at the start of the following month.

c) Eligible employees may enroll in the Plan at any time. Eligible employees are not required to re-enroll each Plan year.

80 Ill. Adm. Code 2190.320 Benefit Options and Limits

a) Maximum contributions are in accordance with limitations set forth in the federal guidelines at 26 USC 132(f)(2).

b) Separate maximums apply to each qualified transportation benefit.

80 Ill. Adm. Code 2190.410 Establishment of Accounts

The Plan Administrator shall establish and maintain a qualified transportation benefit account for each participant.

80 Ill. Adm. Code 2190.420 Crediting to Accounts

a) There shall be credited to each account, as of each pay period, an amount equal to the reduction made in the participant's compensation in accordance with the participant's election.

b) All amounts credited shall be the property of the State until paid out pursuant to Subpart G of this Part.

80 Ill. Adm. Code 2190.510 Termination of Enrollment

a) Participants may terminate enrollment in the Plan at any time.

b) Termination decisions must be made and communicated to the Plan Administrator on or before the 10th day of each month to be effective at the start of the following month.

80 Ill. Adm. Code 2190.520 Termination, Leave of Absence or Death of Participant

a) If a participant terminates employment or takes a leave of absence, the participant must notify the Plan Administrator and his or her GIR by the 10th of the month prior to the termination or leave of absence in order for cancellation of enrollment to be effective at the start of the following month. Participants who do not cancel enrollment by the 10th of the month prior to the termination or leave of absence will continue to be enrolled in the Plan through the month following the date that notice of cancellation is provided and shall remain responsible for the contributions associated with the enrollment.

b) If the participant returns to State service, the participant may re-enroll in the Plan.

c) In the event a participant dies, the participant's participation in the Plan shall be

terminated.

History

• Source: Amended at 37 Ill. Reg. 4253, effective March 22, 2013

80 Ill. Adm. Code 2190.530 Fraud

In the event a participant knowingly supplies the Department or the Plan Administrator with false information or knowingly files a claim that is not qualified for reimbursement as adjudicated by the Internal Revenue Service or a court of competent jurisdiction, the Department shall exclude the participant from further participation in the Plan.

80 Ill. Adm. Code 2190.610 Procedures

a) Fees for transit passes are paid directly to the pass provider and the transit pass is mailed to the participant before the beginning of the month the pass is to be used.

b) Fees for qualified parking may be paid directly to the parking provider or the participant may be reimbursed by submitting a claim form and proof of service directly to the Plan Administrator.

c) Claims for mileage reimbursement for transportation in a commuter highway vehicle must be submitted on a claim form with proof of expense directly to the Plan Administrator.

80 Ill. Adm. Code 2190.620 Exclusions

A participant shall not be reimbursed for any expense that would otherwise be a qualified transportation expense if:

a) The expense was incurred at a time when the participant was not a participant in the Plan; or

b) A claim for reimbursement of such expense has not been filed in accordance with the provisions of Section 2190.610 of this Part; or

c) The expense was claimed as a credit or deduction on the participant's federal or State income tax form; or

d) The expense is reimbursable under any other benefit plan maintained by the employer or purchased privately by the participant.

80 Ill. Adm. Code 2190.710 Illegality of a Particular Provision

The illegality of any provision of this Part shall not affect the other provisions of the Part and this Part shall be construed in all respects as if the invalid provisions were omitted.

80 Ill. Adm. Code 2190.720 Applicable Law

To the extent not preempted by federal law, the Plan shall be governed and construed according to the laws of the State of Illinois.

80 Ill. Adm. Code 2190.730 Effect on Pensions

Participation in the Plan will not affect the amount paid into a participant's pension nor reduce benefits received.

80 Ill. Adm. Code 2190.740 Effect on Social Security

Participation in the Plan reduces a participant's Social Security wages by the amount contributed and may therefore reduce the benefits received.

80 Ill. Adm. Code 2190.750 Benefits Solely from General Assets

The benefits provided by the Plan will be paid solely from the general assets of the State. The State will not be required to maintain any fund or segregate any amount for the benefit of any participant, and no participant or other person shall have any claim against, right to, or security or interest in, any asset of the State from which any payment under the Plan may be made.

80 Ill. Adm. Code 2190.760 Nonassignability of Rights

The right of any participant to receive reimbursement under the Plan shall not be alienable by the participant by assignment or any other method except as provided in Section 2190.610 of this Part. Any attempt to alienate a participant's interest, other than as specifically authorized, will not be recognized.

80 Ill. Adm. Code 2190.770 Tax Consequences

Once enrolled, it shall be the obligation of each participant to determine whether each payment under Section 2190.420 is excludable from the participant's compensation for federal and State income tax purposes. Participants should notify the Department if there is reason to believe that any payment is not excludable.

80 Ill. Adm. Code 2190.780 Indemnification of State by Participants

If any participant receives reimbursements under Section 2190.610 that are not for qualified transportation expenses, the participant shall indemnify and reimburse the State for any liability the State may incur for failure to withhold federal or State income tax.

80 Ill. Adm. Code 2190.790 Right to Amend and Terminate Reserved

a) The Department has established the Plan with the bona fide intention and expectation that it will be continued indefinitely, but the Department will have no obligation to maintain the Plan for any given length of time and may discontinue or terminate the Plan at any time without liability.

b) Upon termination or discontinuance of the Plan, all elections and reductions in compensation relating to the Plan shall terminate, and the Department will pay any remaining balances to the participants as additional taxable compensation.

Chapter I Department of Central Management Services

Part 2200 State Employees Group Insurance Program Retiree Premium Contributions

80 Ill. Adm. Code 2200.110 Governing Authority

The State Employees Group Insurance Program Retiree Premium Contributions program is governed by the State Employees Group Insurance Act of 1971 [5 ILCS 375] and this Part.

80 Ill. Adm. Code 2200.120 Purpose

The purpose of this Part is to outline the premium amount that annuitants, survivors and retired employees of the General Assembly Retirement System, the State Employees' Retirement System, the State Universities Retirement System, the Teachers' Retirement System, and the Judges Retirement System will be required to contribute towards the cost of the basic program of group health benefits provided under the Act.

80 Ill. Adm. Code 2200.130 Definitions

Whenever used in this Part, the following terms shall have the meanings set forth in this Section unless otherwise expressly provided, and when the defined meaning is intended, the term is capitalized.

"Act" means the State Employees Group Insurance Act of 1971 [5 ILCS 375].

"Annuitant" means:

an employee who retires, or has retired, on or after January 1, 1966 on an immediate annuity under the provisions of Articles 2, 14 (including an employee who has elected to receive an alternative retirement cancellation payment under Section 14‑108.5 of the Illinois Pension Code in lieu of an annuity), 15 (including an employee who has retired under the optional retirement program established under Section 15‑158.2 of the Code), Section 16‑106(2), (3) or (5) of the Code, or Article 18 of the Code;

any person who was receiving group insurance coverage under the Act as of March 31, 1978 by reason of his or her status as an annuitant, even though the annuity in relation to which the coverage was provided is a proportional annuity based on less than the minimum period of service required for a retirement annuity in the system involved;

any person not otherwise covered by the Act who has retired as a participating member under Article 2 of the Code but is ineligible for the retirement annuity under Section 2‑119 of the Code; or

the spouse of any person who is receiving a retirement annuity under Article 18 of the Code and who is covered under a group health insurance program sponsored by a governmental employer other than the State of Illinois and who has irrevocably elected to waive his or her coverage under the Act and to have his or her spouse considered as the "annuitant" under the Act and not as a "dependent".

"CMS" means the Illinois Department of Central Management Services.

"Code" means the Illinois Pension Code [40 ILCS 5].

"Department" means any Department, institution, board, commission, officer, court or any agency of the State government as defined in Section 3(g) of the Act.

"Director" means the Director of the Illinois Department of Central Management Services or of any successor agency designated to administer the Act.

"GARS" means the General Assembly Retirement System.

"JRS" means the Judges Retirement System.

"Retired Employee" means any person who would be an annuitant as that term is defined in this Section but for the fact that the person retired prior to January 1, 1966. The term also includes any person formerly employed by the University of Illinois in the Cooperative Extension Service who would be an annuitant but for the fact that the person was made ineligible to participate in SURS by Section 15‑107(a)(4) of the Code.

"Retirement Systems" means the General Assembly Retirement System, the Judges Retirement System, the State Employees' Retirement System, the State Universities Retirement System and the Teachers' Retirement System.

"SERS" means the State Employees' Retirement System.

"SURS" means the State Universities Retirement System.

"Survivor" means a person receiving an annuity as a survivor of an employee or of an annuitant. "Survivor" also includes:

the surviving dependent of a person who satisfies the definition of "employee" except that the person is made ineligible to participate in SURS by Section 15‑107(a)(4) of the Code;

the surviving dependent of any person formerly employed by the University of Illinois in the Cooperative Extension Service who would be an annuitant except for the fact that the person was made ineligible to participate in SURS by Section 15‑107(a)(4) of the Code; and

the surviving dependent of a person who was an annuitant under the Act by virtue of receiving an alternative retirement cancellation payment under Section 14‑108.5 of the Code.

"TRS" means the Teachers' Retirement System.

80 Ill. Adm. Code 2200.140 Records and Certifications

Records and other necessary certifications will be furnished to the Director as may be necessary for the administration of this Part. These records and certifications will be retained and provided as necessary by each appropriate Department.

80 Ill. Adm. Code 2200.150 Severability

If any provision of the Act or this Part or application of the Act or this Part to any person or circumstance is held invalid, that invalidity does not affect other provisions or applications of the Act or this Part that can be given effect without the invalid application or provision. To this end, the provisions of the Act and this Part are declared to be severable.

80 Ill. Adm. Code 2200.210 Cms Responsibility

CMS shall:

a) Establish premium contributions consistent with the Act and this Part;

b) Calculate the premium contribution owed by each Retired Employee, Annuitant or Survivor in accordance with Subpart E of this Part and transmit that calculation to the appropriate Retirement System on a monthly basis to allow for collection of the premium; and

c) Develop information and distribute that information to Retired Employees, Annuitants and Survivors related to this Part.

80 Ill. Adm. Code 2200.220 Determining Benefits

CMS will determine the benefits available to Annuitants, Retired Employees, Survivors and their eligible dependents.

80 Ill. Adm. Code 2200.230 Provision for Benefits

The Director shall, by contract, self-insurance, or otherwise make available the program of health benefits for Annuitants, Retired Employees, Survivors and their eligible dependents.

80 Ill. Adm. Code 2200.240 Health Insurance Portability and Accountability Act (hipaa)

CMS will comply with the uses and disclosures of protected health information, permitted by the Health Insurance Portability and Accountability Act (HIPAA) (PL 104-191).

80 Ill. Adm. Code 2200.250 Consolidated Omnibus Budget Reconciliation Act of 1985 (cobra)

CMS shall be responsible for compliance with the continuation of benefits requirements of COBRA (PL 99-272). All premiums must be collected and transmitted to CMS by the respective retirement system.

80 Ill. Adm. Code 2200.310 Annuity

The Retirement Systems shall report the value of the annuity of each Retired Employee, Annuitant and Survivor to CMS on a monthly basis.

80 Ill. Adm. Code 2200.320 Enrollments and Terminations

The Retirement Systems shall enroll and terminate their respective Retired Employees, Annuitants, Survivors and their dependents pursuant to CMS' policies and procedures and consistent with the terms of the Act.

80 Ill. Adm. Code 2200.330 Premium Collection and Payment

a) The Retirement Systems shall be responsible for the collection and transmission to CMS of the premium for their respective Retired Employees, Annuitants and Survivors.

b) Individuals whose annuity check is insufficient to cover the amount of the monthly premiums due pursuant to Subpart E shall be direct billed.

80 Ill. Adm. Code 2200.410 Calculation

a) The annuity upon which the health insurance premiums are based shall be the gross sum of all annuities received by the Retired Employee, Annuitant or Survivor from the Retirement Systems.

b) For individuals who retired under PA 93-0839 (between August 16, 2004 and October 31, 2004), PA 94-0109 (between July 1, 2005 and September 30, 2005) or PA 94-0839 (between June 6, 2006 and August 31, 2006), the annuity shall be calculated by SERS and will be equal to the amount of the annuity that would have been received.

c) For individuals who retired under the University of Illinois Cooperative Extension Service, the initial annuity shall be the sum of all annuities as provided by each of the Retirement Systems and the U.S. Office of Personnel Management.

80 Ill. Adm. Code 2200.510 Calculation

CMS shall calculate the premiums due for the coverage of the Annuitant, Retired Employee or Survivor under this Part as follows:

a) A percentage of the annuity, as outlined under Section 2200.520; plus

b) A percentage of cost, as outlined under Section 2200.530.

80 Ill. Adm. Code 2200.520 Percentage of Annuity

CMS shall calculate the premiums due under this Part as follows:

a) For each Retired Employee, Annuitant or Survivor with primary coverage under the State program, the premium shall be equal to 2% of the total annual annuity received by the Retired Employee, Annuitant or Survivor from any and all of the five State Retirement Systems;

b) For each Retired Employee, Annuitant or Survivor with primary coverage under the federal Medicare health insurance program (Title XVIII of the Social Security Act, as added by Public Law 89-97), the premium shall be equal to 1% of the total annual annuity received by the Retired Employee, Annuitant or Survivor from any and all of the five State Retirement Systems;

c) For each Retired Employee, Annuitant or Survivor age 65 or older whose primary coverage would otherwise be coverage under the federal Medicare health insurance program, except for his or her inability to contribute to Medicare while actively working, the premium shall be equal to 1% of the total annual annuity received by the Retired Employee, Annuitant or Survivor from any and all of the five State Retirement Systems.

80 Ill. Adm. Code 2200.530 Percentage of Cost

a) In addition to the percentage of annuity outlined in Section 2200.420, any SERS, SURS or TRS Annuitant who retired on or after January 1, 1998 with less than 20 years of State service, or any SERS, SURS or TRS Survivor whose annuity is based upon the work of an individual who retired on or after January 1, 1998 with less than 20 years of State service, shall pay 5% of the cost of the elected coverage for each year less than 20 upon which the annuity is based.

b) SURS Annuitants who retired under PA 91-0395, or SURS Survivors whose annuity is based upon the work of an individual who retired under PA 91-0395, shall not be required to pay the additional amounts outlined in subsection (a)(1).

80 Ill. Adm. Code 2200.540 Dependent Premiums

a) Annuitants, Retired Employees and Survivors shall be required to pay premiums for any elected dependent coverage in an amount equal to the premiums charged to active employees for elected dependent coverage.

b) Premiums charged for elected dependent coverage shall be in addition to any premiums due under Sections 2200.520 and 2200.530.

80 Ill. Adm. Code 2200.550 Optional Coverage Premiums

a) Annuitants, Retired Employees and Survivors are required to pay premiums for any elected optional coverage, including dental and optional life coverage.

b) Premiums paid for dental coverage for Annuitants, Retired Employees, Survivors and their enrolled dependents shall be in an amount equal to that paid by active employees.

c) Premiums paid for optional life insurance coverage for Annuitants, Retired Employees, Survivors and their enrolled dependents shall be in an amount equal to that paid by active employees.

d) Premiums charged for elected optional coverage shall be in addition to any premiums due under Sections 2200.520, 2200.530 and 2200.540.

80 Ill. Adm. Code 220.560 Exempt from Premiums

a) The following individuals shall not be required to pay premiums due under Section 2200.520 or 2200.530:

1. Any person not otherwise covered by the Act who has retired as a participating member under Article 2 of the Code but is ineligible for the retirement annuity under Section 2‑119 of the Code;

2. University of Illinois Cooperative Extension retirees whose member basic health premium is paid by the Cooperative Extension Service; and

3. Survivors of employees with less than one year of service.

b) Individuals receiving benefits under PA 90-0535 (Public Safety Employee Benefit Act) shall not be required to pay premiums due under Section 2200.520, 2200.530 or 2200.540.

Part 2210 State Employees Group Health Insurance Program

80 Ill. Adm. Code 2210.110 Governing Authority

The Program will be governed by the State Employees Group Insurance Act of 1971 [5 ILCS 375] and this Part.

80 Ill. Adm. Code 2210.120 Purpose and Application

The purpose of this Part is to give full effect to the purposes of the Act by providing for administration of a program of health benefits for persons in the service of the State of Illinois and their eligible dependents.

80 Ill. Adm. Code 2210.130 Definitions

Whenever used in this Part, the following terms shall have the meanings set forth in this Section, unless otherwise expressly provided:

“Act” means the State Employees Group Insurance Act of 1971. [5 ILCS 375/1]

“Agency” means the Illinois Department of Central Management Services, or any successor agency responsible for administration of the Program.

“Annuitant” means an individual as defined by Section 3(b) of the Act. [5 ILCS 375/3(b)]

“Basic Program” or “Basic Health Plan” means the default health benefits plan, as determined by the Agency, offered to Employees, Annuitants, Retirees, and Survivors.

“Benefit Choice Period” means the annual open enrollment period, during which time members may elect to add or change benefits coverage options.

“COBRA” means the federal Consolidated Omnibus Budget Reconciliation Act [29 U.S.C. 1161] as amended.

“Commission” means the Commission on Government Forecasting and Accountability (COGFA).

“Compensation” means salary or wages payable as defined by Section 3(d) of the Act. [5 ILCS 375/3(d)]

“Department” means any department, institution, board, commission, officer, court or agency of the State government as defined by Section 3(g) of the Act. [5 ILCS 375/3(g)]

“Dependent” means an individual as defined in Section 3(h) of the Act. [5 ILCS 375/3(h)]

“Director” means the Director of the Agency.

“Employee” means an individual as defined by Section 3(k) of the Act. [5 ILCS 375/3(k)]

“HIRF” means the Health Insurance Reserve Fund.

“Member” means an individual as defined by Section 3(l) of the Act. [5 ILCS 375/3(l)]

“Normal Work Period” means a specified number of hours worked on a weekly or monthly basis, as established by the Director in cooperation with each Department.

“Optional Program” or “Optional Health Plan” means any health benefits plan, other than the Basic Program, offered to Employees, Annuitants, Retirees and Survivors.

“Part-time Employee” means an Employee who works in a position normally requiring actual performance of duty during 50% to 99% of a Normal Work Period.

“Plan Administrator” means a third party organization, company, or other entity responsible for performing duties related to the administration of a specific benefit option in accordance with the terms of a contract between such entity and Agency.

“Plan Participant” means a Member or Dependent properly enrolled and participating in the Program.

“Plan Year” means a period of time, typically 12 months in duration, on which the operation of the Program is based.

“Program” means the program of group health benefits, including the Basic Program and any Optional Programs, designed and/or contracted for by the Agency in accordance with the Act and this Part.

“Qualifying Change in Status” means an event recognized under Section 125 of the Internal Revenue Code (26 U.S.C. 125) for which the Program may permit changes in coverage elections outside of an Initial Enrollment Period or Annual Open Enrollment Period.

“Retired Employee” means an individual as defined in Section 3(p) of the Act. [5 ILCS 375/3(p)]

“Survivor” means an individual as defined in Section 3(q) of the Act. [5 ILCS 375/3(q)]

“TRAIL Program” means the program of group health benefits designed and/or contracted for by the Agency and made available for Medicare-primary members and their Medicare-primary dependents.

80 Ill. Adm. Code 2210.140 Records and Certifications

Each affected department of the State shall furnish records and other necessary certifications to the Director as necessary for the administration of the Program. These records and certifications shall be retained and provided as necessary by each Department (Section 15(e) of the Act).

80 Ill. Adm. Code 2210.150 Severability

If any provision of the Act or this Part, or application of the Act or this Part to any person or circumstance, is held invalid, that invalidity shall not affect other provisions or applications of the Act or this Part that can be given effect without the invalid application or provision. (Section 16 of the Act) To this end, the provisions of the Act and this Part are declared to be severable.

80 Ill. Adm. Code 2210.160 Conflicting Provisions

If any provision of this Part conflicts with a provision of the Act, the terms of the Act shall control. If any provision of this Part conflicts with a provision of the Benefits Handbook or other publication issued by the Agency, the terms of this Part shall control.

80 Ill. Adm. Code 2210.210 Member Eligibility

a) The following individuals are eligible to enroll in the Program as a Member:

1. Employees

A) Newly-hired Employees will be eligible as of the first day of active State service, and

B) An Employee who would also otherwise be eligible as a Dependent must be enrolled as a Member.

2. Retired Employees. A Retired Employee who:

A) Is not Medicare-primary due to age or disability, and resides within the United States or a U.S. Territory, shall be eligible.

B) Is Medicare-primary due to age or disability, and resides within the United States or a U.S. Territory, shall be eligible only for the TRAIL Program regardless of the Medicare eligibility status of an enrolled Dependent.

3. Annuitants. An Annuitant who:

A) Is not Medicare-primary due to age or disability, and resides within the United States or a U.S. Territory, shall be eligible.

B) Is Medicare-primary due to age or disability, and resides within the United States or a U.S. Territory, shall be eligible only for the TRAIL Program regardless of the Medicare eligibility status of an enrolled Dependent.

4. Survivors. A Survivor who:

A) Is not Medicare-primary due to age or disability, and resides within the United States or a U.S. Territory, shall be eligible.

B) Is Medicare-primary due to age or disability, and resides within the United States or a U.S. Territory, shall be eligible only for the TRAIL Program, regardless of the Medicare eligibility status of an enrolled Dependent.

History

• Source: Amended at 48 Ill. Reg. 9547, effective June 20, 2024

80 Ill. Adm. Code 2210.220 Dependent Eligibility

a) Except as limited in this Section, the following categories of individuals are eligible to be covered as Dependents under the Program:

1. A Member’s spouse

A) Common law spouses, ex-spouses, and persons not legally married are not eligible to be covered under the Program; and

B) A new spouse of a Survivor is not eligible to be covered under the Program.

2. A Member’s civil union partner enrolled on or after June 1, 2011. However, a new civil union partner of a Survivor is not eligible to be covered under the Program.

3. A Member’s child from birth to age 26. For purposes of this Section, a child includes:

A) A biological child;

B) A step-child or child of a civil union partner;

C) A legally adopted child or a child who lives with the Member from the time of placement for adoption until entry of an Order of Adoption;

D) A child for whom the Member is a court-appointed permanent legal guardian; and

E) An adjudicated child for whom a U.S. court decree has established the Member’s financial responsibility to provide the child’s medical, dental, or other healthcare.

4. A Member’s child over the age of 26 who meets one of the following conditions:

A) An unmarried child from age 26 up to, but not including, age 30 who is an Illinois resident and has served as a member of the active or reserve components of any of the branches of the United States Armed Forces and received a release or discharge other than a dishonorable discharge; or

B) A child age 26 or older who is mentally or physically disabled from a cause originating prior to the child reaching age 26.

5. A Member’s domestic partner who was enrolled in the Program as a Dependent prior to June 1, 2011, and has remained continuously enrolled in the Program.

6. Any person who has received after June 30, 2000, an organ transplant and is financially dependent on the Member and eligible to be claimed as the Member’s dependent for income tax purposes.

7. Any person who was enrolled in the Program as a Dependent prior to February 11, 1983 and has remained continuously enrolled in the Program and is dependent upon the Member to the extent that the Member may claim such person as a dependent for income tax deduction purposes.

b) Ex-spouses and ex-civil union partners are not eligible for enrollment in the Program except to the extent to which such ex-spouse or ex-civil union partner may qualify for continuation coverage as described in Section 2210.430 of this Part. A divorce decree, dissolution decree, legal separation order, settlement agreement or other document requiring a Member to provide coverage for an ex-spouse or ex-civil union partner does not grant eligibility to such ex-spouse or ex-civil union partner.

80 Ill. Adm. Code 2210.310 Initial Enrollment for New Employees

a) A New Employee will have an initial enrollment period lasting 30 calendar days from the first date of employment.

b) The following elections may be made by a New Employee during the initial enrollment period:

1. Enroll in either the Basic Health Plan or any available Optional Health Plan;

2. Elect not to participate in the Program;

3. Enroll eligible Dependents, or

4. Enroll in the dental plan administered by the Agency.

c) A New Employee who fails to either submit an enrollment form or elect not to participate in the Program during the Initial Enrollment Period will be automatically enrolled for self-only coverage in the Basic Health Plan. An Employee who is automatically enrolled pursuant to this subsection will also be enrolled for self-only coverage in the dental plan administered by the Agency.

d) An Employee must provide a social security number, and the social security number of any Dependents being enrolled, at the time of enrollment.

e) Enrolled Dependents designated by the Employee, who receive coverage based on the Employee's designation and timely complete and submit the necessary enrollment paperwork, will have the same effective date of coverage as the Employee.

80 Ill. Adm. Code 2210.320 Initial Enrollment for New Annuitants and New Survivors Who Are Not Medicare Eligible

a) A new Annuitant has an initial enrollment period lasting 60 days from the date of retirement from State employment.

b) A new Survivor has an initial enrollment period lasting 60 days from the date the Survivor first becomes eligible to receive an annuity as the result of the death of an Employee, Retiree, or Annuitant.

c) The following elections may be made by a new Annuitant or new Survivor during the initial enrollment period:

1. Enroll in either the Basic Health Plan or any available Optional Health Plan;

2. Elect not to participate in the Program;

3. Enroll eligible Dependents, or

4. Enroll in the dental plan administered by the Agency.

d) A new Annuitant or new Survivor who fails to submit the forms required by the Agency for enrollment during the initial enrollment period will not be covered by the Program.

e) Coverage for a new Annuitant will be effective on the latest of:

1. Date of commencement of the individual's retirement/annuity benefit; or

2. The first day of the month following the month in which the individual's application for retirement is received by the appropriate retirement system. However, at no time will the effective date of coverage be retroactive greater than six months from the date the Agency is notified of the individual's retirement.

f) If a new Survivor was enrolled as a Dependent of a deceased Member at the time of the deceased Member's death, elected coverage as a Survivor will be effective on the day after the Member's death.

g) If a new Survivor was not enrolled as a Dependent of a deceased Member at the time of the deceased Member's death, elected coverage as a Survivor will be effective on the first day of the month following the date the Agency is notified of the approved application.

h) Enrolled Dependents designated by the Annuitant or Survivor, who receive coverage based on that designation and timely complete and submit the necessary enrollment paperwork, will have the same effective date of coverage as the new Annuitant or new Survivor. Notwithstanding the new Annuitant or new Survivor's non-Medicare eligibility status, if a Dependent is Medicare eligible, the Dependent must enroll in Medicare Part A and Part B coverage and the TRAIL Program for their health benefits.

i) A new Annuitant or new Survivor must provide a social security number, and the social security number of any Dependents being enrolled, at the time of initial enrollment.

j) A full-time Employee who would otherwise be eligible as a new Annuitant or new Survivor must make an election to either enroll in coverage or opt out of coverage as an employee. A full-time Employee opting out of coverage must provide proof of other major medical insurance administered by an entity other than Agency.

k) A Part-time Employee who would otherwise be eligible as a new Annuitant or new Survivor must make an election to either enroll in coverage or waive coverage.

History

• Source: Amended at 48 Ill. Reg. 9547, effective June 20, 2024

80 Ill. Adm. Code 2210.330 Initial Enrollment for New Annuitants and New Survivors Who Are Medicare Eligible

a) If a new Annuitant or new Survivor is already a Medicare eligible beneficiary at the time they first become eligible for coverage, the new Annuitant or new Survivor will be required to enroll into the TRAIL Program within 60 days after retirement, regardless of the Medicare eligibility status of any enrolled Dependents.

b) The following elections may be made by a new Annuitant or new Survivor during the initial enrollment period:

1. Enroll in the TRAIL program, failure to enroll in coverage will result in the new Annuitant's or Survivor's health coverage being defaulted to a waive status;

2. Elect any available Optional Health Plan;

3. Elect not to participate in the Program;

4. Enroll eligible Dependents, or

5. Enroll in the dental plan administered by the Agency.

c) Enrolled Dependents will have the same effective date of coverage as the new Annuitant or new Survivor.

d) A new Annuitant or new Survivor must provide a social security number, and the social security number of any Dependents being enrolled, at the time of initial enrollment.

History

• Source: Amended at 48 Ill. Reg. 9547, effective June 20, 2024

80 Ill. Adm. Code 2210.340 Annual Open Enrollment Period for Non-Trail Program Members

a) The Agency shall conduct an annual open enrollment period during which all eligible Employees, Retired Employees, Annuitants, and Survivors may make changes to their benefit elections under the Program.

b) The Agency shall annually determine the beginning date and ending date of the annual open enrollment period. The enrollment period must last at least 30 calendar days.

c) All annual open enrollment period elections will be effective as of the beginning of the next Plan Year.

d) Members may make the following elections during an annual open enrollment period:

1. Change health plans, if more than one health plan option is available to the Member;

2. Enroll or re-enroll in the Program if the Member had previously elected not to participate in the Program;

3. Re-enroll in the Program if coverage is currently terminated due to non-payment of premiums. Such re-enrollment will be permitted and coverage reinstated only if the Member makes payment at the time of enrollment of all outstanding past-due premiums plus the premium payment for the first month of the Plan Year for which the Member is attempting to enroll. This election option is available only to Employees and Annuitants, Retired Employees, and Survivors terminated due to non-payment of premiums incurred as an Employee. Annuitant, Retired Employee, or Survivors terminated due to unpaid premiums as an Annuitant, Retired Employee, or Survivor will not be permitted to re-enroll in the Program;

4. Elect not to participate in the Program;

5. Add or drop coverage for eligible Dependents; or

6. Add or drop dental coverage.

80 Ill. Adm. Code 2210.350 Annual Open Enrollment Period for Medicare-Primary Members Eligible for the Trail Program

a) To be eligible for the TRAIL Program the Member, and all covered Dependents, must be enrolled in Medicare Parts A and B and be a resident of the United Sates or a U.S. Territory.

b) The Agency shall conduct an annual open enrollment period during which all eligible Retired Employees, Annuitants, and Survivors may make changes to their benefit elections under the TRAIL Program.

c) The Agency shall annually determine the beginning date and ending date of the TRAIL annual open enrollment period. The enrollment period must last at least 30 calendar days.

d) All annual open enrollment period elections will be effective as of the beginning of the next Plan Year.

e) All newly eligible members may enroll into the TRAIL Program during the annual open enrollment period. Failure to make an election to enroll into the TRIAL Program will result in termination of coverage.

f) Eligible individuals may make the following elections during the open enrollment period:

1. Elect not to participate in the program;

2. Enroll or re-enroll in the program if the Member had previously elected not to participate;

3. Add or drop dental coverage; or

4. Add or drop coverage for eligible Dependents.

80 Ill. Adm. Code 2210.360 Special Enrollment Periods

a) Eligible Members may change their elections under the Program outside of the initial enrollment period or an annual open enrollment period only upon experiencing a qualifying change in status as defined by the Internal Revenue Service Code.

b) Election changes made by a Member due to a qualifying change in status must be consistent with the qualifying event the Member has experienced and completed within 60 days of the qualifying event. The Agency shall determine whether a requested election is consistent with the qualifying event.

c) The Agency shall determine the qualifying changes in status for which a special enrollment period may be granted to Members.

80 Ill. Adm. Code 2210.370 Dependent Enrollment

a) All non-Medicare eligible Dependents of a non-Medicare eligible, Annuitant, Retired Employee, or Survivor must be enrolled in the same health plan and, if applicable, dental plan as the Employee, Annuitant, Retired Employee, or Survivor.

b) If both parents of a child are Employees, either Employee may elect to cover the child as a Dependent. Such child may not be covered as a Dependent under both Employees for the same type of coverage. A Dependent whose coverage was terminated for nonpayment of premium under one parent may not be enrolled under the other parent until all premiums due are paid.

c) Employees, Annuitants, Retired Employees, and Survivors must complete the enrollment and submit any and all documentation required by the Agency in order to enroll Dependents. Failure to submit required documentation within the time frame specified by the Agency will result in denial of coverage for the Dependent.

History

• Source: Amended at 48 Ill. Reg. 9547, effective June 20, 2024

80 Ill. Adm. Code 2210.380 Time Away from Work

a) An Employee who is not in active service may continue to participate in the Program as authorized by the Act and this Part.

b) The State shall continue to contribute toward the cost of an Employee’s elected coverage, at the same rate as if the Employee were in active service, if the Employee is not in active service due to one of the following reasons:

1. Nonoccupational disability leave of absence

A) An Employee on a nonoccupational disability leave and is receiving ordinary or accidental disability benefits or retirement benefits through the appropriate retirement system will remain eligible for State contributions toward the cost of coverage until expiration of authorized leave or return to active service.

B) An Employee on a nonoccupational disability leave but is not receiving ordinary or accidental disability benefits or retirement benefits through the appropriate retirement system will remain eligible for State contributions toward the cost of coverage until expiration of authorized leave or return to active service, subject to a maximum period of 24 months.

2. Occupational disability leave of absence. An Employee on an occupational disability leave of absence who is receiving benefits under the Workers’ Compensation Act [820 ILCS 305] or Workers' Occupational Disease Act [820 ILCS 310] will remain eligible for State contributions toward the cost of coverage until expiration of authorized leave or return to active service.

3. Authorized educational leave of absence. An Employee on an authorized educational leave of absence will remain eligible for State contributions toward the cost of coverage until expiration of authorized leave or return to active service, subject to a lifetime maximum period of 24 months.

4. Sabbatical leave of absence. An Employee on an authorized sabbatical leave of absence will remain eligible for State contributions toward the cost of coverage until expiration of authorized leave or return to active service, subject to a lifetime maximum period of 24 months.

5. Military leave of absence. An Employee on a military leave of absence will remain eligible for State contributions toward the cost of coverage until expiration of authorized leave or return to active service.

6. Approved leaves of absence covered by the Family Medical Leave Act of 1993 (29 U.S.C. 2601 through 2654), including medical or bonding family leave, and military caregiver or military qualifying exigency family leave.

7. Seasonal leave of absence. An Employee on an authorized seasonal leave of absence will remain eligible for State contributions toward the cost of coverage until expiration of authorized leave or return to active service, subject to a maximum period of six months.

8. University annual break. An Employee on an authorized leave of absence due to a University annual break will remain eligible for State contributions toward the cost of coverage until expiration of authorized leave or return to active service, subject to a maximum period of three months.

9. Dock or suspension status up to 30 calendar days per fiscal year.

c) The State will not contribute toward the cost of an Employee’s elected coverage, when the Employee is not in active service due to one of the following reasons. An Employee not in active service due to one of these reasons may continue participation in the Program only by making personal payment equal to the total cost of the Employee’s elected coverage.

1. Dock or suspension status greater than 30 days per fiscal year;

2. Personal or general leave of absence;

3. Family Responsibility Leave of absence that is not covered under the Family and Medical Leave Act of 1993;

4. Military Family Leave; and

5. Military Leave after the Employee has been released from covered active duty.

d) An Employee who is not in active State service due to a reason identified in subsection (c) will remain eligible to continue participation in the Program until such time as the Employee returns to a status eligible for contributions by the State or until the Employee’s employment or annuitant status with the State is terminated, subject to a maximum period of 24 months per occurrence.

80 Ill. Adm. Code 2210.390 Opt Out or Waiver of Coverage

An Employee who elects not to participate in the Program may not be enrolled as a Dependent in the Program, the Teachers’ Retirement Insurance Program, the College Insurance Program, or the Local Government Health Plan.

80 Ill. Adm. Code 2210.410 Effective Date of Termination

a) Termination of Member Coverage Other Than For Non-Payment.

1. An Employee’s coverage will terminate on the date of termination of State employment, regardless of whether the termination of employment was voluntary or involuntary;

2. An Employee’s coverage will terminate on the date on which the Employee’s employment status changes to a part-time status in which the Employee is not normally required to work at least fifty percent (50%) of a Normal Work Period;

3. An Employee’s coverage will terminate on the date that the maximum period allowed for a leave of absence (see Section 10(a-10)(c) of the Act) is reached;

4. An Employee’s coverage will terminate on the date that the maximum period allowed for premium-free permanent layoff benefits, if any, (see Section 10(a-10)(e) of the Act) is reached;

5. A Member’s coverage will terminate on the date of the Member’s death, and

6. Coverage for a Member who makes an election during an annual open enrollment period not to participate in the Program will terminate on the date immediately preceding the beginning of the Plan Year for which the open enrollment period was held.

b) Termination of Dependent Coverage.

1. Notwithstanding any other provision within this subsection, an enrolled Dependent’s coverage will terminate simultaneous with termination of coverage for the Member;

2. Coverage for an enrolled spouse, civil union partner, or domestic partner, and all applicable stepchildren or children of the civil union partner or domestic partner, will terminate on the date preceding a divorce, dissolution of partnership, or legal separation from the primary Member;

3. Coverage for an enrolled Dependent who becomes ineligible to participate in the Program, other than by reason of a divorce or dissolution of a civil union partnership or domestic partnership (e.g., a child who reaches age 26 or another limiting age), will terminate on the last day of the month in which the Dependent loses eligibility;

4. Coverage for an enrolled Dependent will terminate on the date of the Dependent’s death;

5. Coverage for an enrolled Dependent will terminate on the date immediately preceding the date on which the Dependent becomes eligible to participate in the Program as a Member;

6. Coverage for an enrolled Dependent whose enrollment is voluntarily terminated by the primary Member during the annual open enrollment period will terminate on the date immediately preceding the beginning of the Plan Year for which the open enrollment period was held;

7. Coverage for an enrolled Dependent whose enrollment is voluntarily terminated by the Member due to a Qualifying Change in Status will terminate on the later of the date the voluntary termination is requested by the Member or the date of the qualifying event; and

8. In the event that an Employee, Annuitant, or Survivor is requested to provide certification of continued eligibility for a Dependent and the Member fails to provide such certification, coverage for the Dependent will terminate on the last day of the month in which the Member fails to certify continued eligibility.

c) When coverage is terminated due to the reasons identified in subsections (a) and (b), coverage will no longer be effective as of 12:00 a.m. on the date immediately following the applicable date of termination. For example, if an Employee terminates State employment on June 15, coverage for the Employee will terminate at 11:59:59 p.m. on June 15 and will no longer be effective as of 12:00 a.m. on June 16.

80 Ill. Adm. Code 2210.420 Termination of Coverage for Non-Payment

a) Coverage for a Member who fails to pay the required monthly premium due will be terminated on the last day of the month in which payment is due, as identified in a final notice of premium due issued by the Agency.

b) A Member whose coverage is terminated due to non-payment of premium will not be eligible to be covered as a Dependent of another Member.

c) A Dependent whose coverage is terminated due to non-payment of premium will not be eligible to be covered by any other Member until all outstanding premiums are paid.

d) Any Member whose coverage is terminated due to non-payment of premium will not be eligible to elect continuation of coverage described in Section 2210.430.

80 Ill. Adm. Code 2210.430 Continuation of Coverage

a) Election of Continuation Coverage.

1. Eligible Members who lose coverage due an event identified in subsection (b) may elect to continue coverage for a specified period of time in accordance with the requirements of federal law and sections 367.2, 367e, and 367e.1 of the Illinois Insurance Code [215 ILCS 5].

2. A Member electing continuation coverage must make a written election to continue coverage within 60 calendar days after the later of the date coverage is terminated due to a qualifying event or the date the Member or Dependent is sent notice of the right to elect continuation coverage.

3. A Member electing to enroll in continuation coverage must submit payment of all premiums due for such coverage within 45 calendar days of the date of election.

4. A Member who timely elects continuation coverage and submits payment of all premiums due will not have a gap in coverage and will have coverage reinstated retroactive to the date of termination.

5. The Agency shall establish the monthly premium rates to be paid by Members for continuation coverage. These rates are published in the CMS Benefit Program Books available at https://cms.illinois.gov/benefits/stateemployee/benefitsbooks.html

b) Qualifying Events for Continuation Coverage.

1. An Employee may elect continuation coverage under the Program upon the occurrence of any of the following events:

A) Termination of Employee’s employment with the State for any reason other than gross misconduct;

B) Termination of Employee’s disability benefits;

C) Expiration of Employee’s maximum leave of absence period; or

D) Loss of eligibility to participate in the Program due to a reduction in work hours.

2. A Dependent will be eligible to elect continuation coverage under the Program upon the occurrence of any of the following events:

A) Employee’s termination of employment with the State;

B) Employee’s termination of disability benefits;

C) Expiration of the Employee’s maximum leave of absence period;

D) Employee’s loss of eligibility to participate in the Program due to a reduction in work hours;

E) Divorce, annulment, dissolution of civil union partnership, or legal separation from the Employee;

F) Loss of eligibility as a dependent child or domestic partner; or

G) Death of the Employee.

3. A Dependent whose coverage is voluntarily dropped by an Employee shall not be eligible to elect continuation coverage.

80 Ill. Adm. Code 2210.510 Program Requirements

a) The Program shall be designed by the Director and administered by the Agency to provide benefits on an equitable basis, to the extent possible, to all Members throughout the State.

b) The Program may include reasonable controls, including but not limited to Member copayments, coinsurance, and deductibles, to prevent or minimize unnecessary utilization of covered services and to ensure continued stability of the Program.

c) The Director shall, in accordance with statutory requirements, determine the level of benefits to be provided by the Program and each health plan offered through the Program.

d) The Program, in accordance with Section 6(a) of the Act, shall provide for basic hospital and medical/surgical coverage. The Program may also include, but is not limited to, benefits such as behavioral health coverage, prescription drug coverage, dental coverage, vision coverage, and other group benefits that are now or may become available.

e) The Program and any health plan offered under the Program may be modified or amended at any time by the Director. Modifications or amendments to any material provision of the Program or any health plan shall become effective no earlier than 60 days following notice of such modification or amendment being issued by the Agency.

80 Ill. Adm. Code 2210.520 Covered Services

a) Covered and optional services of the Program include services provided within the scope of their licenses by practitioners in all categories licensed under the Illinois Medical Practice Act of 1987 [225 ILCS 60].

b) The Director shall determine the type of services (e.g., office visits, inpatient, outpatient, diagnostic) to be covered by the Basic Health Plan and any Optional Health Plans offered under the Program.

c) The Director shall determine the amount of coverage available and any applicable Member cost-sharing for each service covered by the Basic Health Plan or any Optional Health Plan.

d) The Agency, either directly or through its contracted Plan Administrators, shall make information regarding covered services available to all Members and Dependents.

80 Ill. Adm. Code 2210.530 Coordination of Benefits

a) If a Member or Dependent is entitled to receive primary benefits through a group medical, dental, or vision plan other than the Program, the benefits payable by the Program may be reduced to the extent that the total payment provided by all plans does not exceed the total allowable expense incurred for the service.

b) The Program shall coordinate benefits with the following types of coverage:

1. Any group insurance plan;

2. Medicare;

3. Any Veterans’ Administration plan; and

4. A motor vehicle plan required by law which provides medical or dental payments, in whole or in part, without regard to fault.

c) The Program will not coordinate benefits with the following types of coverage:

1. Private individual insurance plans;

2. Any student insurance policy;

3. Medicaid, or any other State-sponsored insurance program; and

4. TRICARE.

d) Members and Dependents must notify the Agency of enrollment in Medicare insurance benefits.

e) Members and Dependents shall promptly report to the Agency any changes to other insurance coverage.

f) Order of Benefit Determination.

1. The Program shall coordinate benefits with other available insurance in accordance with model regulations issued by the National Association of Insurance Commissioners (available at https://content.naic.org/sites/default/files/model-law-120.pdf). Coordination of benefits with Medicare shall be in accordance with Medicare Secondary Payer guidelines issued by the federal Centers for Medicare & Medicaid Services (available at https://www.medicare.gov/sites/default/files/2021-10/02179-Medicare-and-other-health-benefits-your-guide-to-who-pays-first.pdf).

2. The Agency shall provide notice of the methodology for coordination of benefits through incorporation into the Benefits Handbook available to Members.

80 Ill. Adm. Code 2210.540 Determining Rates and Premiums

a) The Agency shall annually determine the premium rates, including rates for Dependent coverage, for each health plan offered through the Program and the amount of contributions toward the premium rate that shall be made by Members.

b) Actively working Employees shall pay the required premium contribution by automatic pre-tax payroll deduction.

c) An Employee who is in non-pay status as of the first work day of a pay period, or an Employee whose paycheck is not sufficient to deduct the amount of premium contribution owed to the Agency, will be billed by the Agency for the amount of the required premium contribution. Such employee must make personal payment of the amount owed within the timeframe specified by the Agency.

80 Ill. Adm. Code 2210.550 Appeals

a) Members may request an appeal of a decision by a Plan Administrator relating to a claim for benefits under the Program.

b) The Agency shall provide a description of the applicable appeals process in the Benefits Handbook made available to Members.

c) The Program’s appeals process shall comply with applicable federal laws and regulations, including, but not limited to, the Affordable Care Act and its implementing regulations (45 CFR 147.136).

80 Ill. Adm. Code 2210.560 Requirements to Enroll in Medicare

a) Members and Dependents must contact the Social Security Administration to apply for Medicare benefits at least three months prior to turning age 65.

1. Members and Dependents who are determined by the Social Security Administration to be eligible for premium-free Medicare Part A must accept the Medicare Part A coverage and submit a copy of the Medicare identification card to the Agency upon receipt.

2. Members and Dependents who are determined by the Social Security Administration to not be eligible for premium-free Medicare Part A will not be required to enroll in Medicare Part A coverage. Such members must provide a written statement of ineligibility from the Social Security Administration to the Agency.

b) Actively working Employees will not be required to enroll in Medicare Part B coverage until such time as the Employee retires or otherwise loses active employment status.

c) Members and Dependents who fail to enroll in Medicare Parts A and B are responsible for the portion of healthcare costs that would have been covered by Medicare.

d) Failure to enroll or remain enrolled in Medicare will result in a reduction of eligible benefit payments when Medicare is determined to be the primary payor.

e) When any Member or Dependent becomes Medicare eligible, they must enroll in Medicare Part A and Part B coverage and the TRAIL Program, regardless of the Medicare eligibility status of any other family or household member covered under the State Employee Group Health Insurance Program.

History

• Source: Amended at 48 Ill. Reg. 9547, effective June 20, 2024

80 Ill. Adm. Code 2210.570 Member Responsibilities

a) Members are responsible for verifying that payroll deductions for the payment of premiums are accurate, or paying the required premiums for all elected coverages, as applicable.

b) Members must report, within 60 days of the event, information pertaining to any event which would result in the loss of a Dependent’s eligibility under the Program. Failure to report a loss of eligibility, or the falsifying of information in order to obtain or continue coverage under the Program, will be considered a fraudulent act by the Member.

c) Members must timely notify the Agency of any other group health coverage in which the Member or a Dependent is enrolled. Members shall provide copies of all relevant documents relating to the other group health coverage, including, but not limited to, a group health identification card.

80 Ill. Adm. Code 2210.610 Program Requirements

a) The Director shall design the TRAIL Program to be reasonably comparable in overall stability and continuity of coverage, care, and services to the Basic Health Plan.

b) The Director may make the TRAIL Program available to eligible Medicare-primary Members through a contract or contracts with one or more vendors.

History

• Source: Amended at 48 Ill. Reg. 9547, effective June 20, 2024

80 Ill. Adm. Code 2210.620 Covered Services

a) The TRAIL Program shall provide coverage for services covered by Medicare. Coverage will be provided only for services considered to be medically necessary.

b) The Director may establish reasonable controls, including but not limited to coinsurance, copayments, and deductibles for covered services to the extent permitted by the Centers for Medicare and Medicaid Services.

c) The TRAIL Program shall include coverage for prescription drugs. The Director shall design such coverage to comply with coverage requirements established by the Centers for Medicare and Medicaid Services for Medicare Part D plans (see 42 CFR 423.100).

80 Ill. Adm. Code 2210.630 Determining Rates and Premiums

The Agency shall annually determine the premium rates, including rates for Dependent coverage, for each plan offered through the TRAIL Program. These rates are published at https://cms.illinois.gov/benefits/trail.html

80 Ill. Adm. Code 2210.640 Premium Contributions

a) Member and State contributions toward the monthly premium cost for elected coverage shall be in accordance with 80 Ill. Adm. Code 2200 (State Employees Group Insurance Program Retiree Premium Contributions).

b) The Agency shall annually determine the amount of monthly contributions to be made by Members toward the cost of Dependent coverage for each plan offered through the TRAIL Program.

c) The Agency shall annually determine the amount of monthly contributions to be made by Members toward the cost of any dental coverage elected by the Member.

80 Ill. Adm. Code 2210.650 Appeals

a) A Member who is unsatisfied with a coverage decision made by a Plan Administrator may appeal such decision by complying with the appeals process established by the Plan Administrator.

b) Each Plan Administrator's appeals process shall comply with all applicable federal and state laws and regulations.

c) Unless a health plan is maintained on a self-insured basis, the Agency will have no direct involvement in appeals relating to coverage decisions made by a Plan Administrator, since non-self-insured plans are regulated by the Department of Insurance. For any health plan maintained on a self-insured basis, the Agency may permit a Member who has exhausted all available appeal levels through the Plan Administrator to submit a final appeal request to the Agency only if the appeal is based on an administrative denial, not on a medical denial. The final appeal request will be reviewed by the Agency and granted or denied based on the requirements of the Act or this Part.

History

• Source: Amended at 48 Ill. Reg. 9547, effective June 20, 2024

80 Ill. Adm. Code 2210.710 Health Insurance Reserve Fund

a) All contributions, appropriations, interest, dividend payments, and all other revenues arising from the administration of the Program shall be deposited into HIRF.

b) The Director shall direct all expenditures from HIRF. Such expenditures shall be only for one or more of the following purposes:

1. Payment of administrative expenses incurred by the Department for the Program;

2. Payment of administrative expenses incurred by a Plan Administrator;

3. Payment of monthly premiums owed to Health Maintenance Organizations or other vendors administering a plan on a fully-insured basis;

4. Payment to claimants or providers for health benefits;

5. Payment of medical expenses incurred by the Agency for the treatment of Employees who suffer accidental injury or death within the scope of their employment;

6. Refunds to Employees for erroneous payment of their elected coverage;

7. Payment of premium for stop-loss or re-insurance;

8. Payment of adoption program benefits, if any; and

9. Payment of other benefits offered to Members and Dependents under the Act.

80 Ill. Adm. Code 2210.720 Funds Outside the State Treasury

a) Pursuant to Section 13.1(b) of the Act, the Agency may establish funds or separate accounts to be held by the Director outside the State treasury. Such funds or accounts may be utilized for the purpose of receiving the transfer of moneys from HIRF.

b) Interest earned on funds or accounts established pursuant to the Act and this Part shall inure to HIRF.

c) Moneys transferred to any funds or accounts shall be used exclusively for transfers to Plan Administrators of self-insured plans or their financial institutions for payments of claims to claimants and health care providers.

Chapter I Comptroller

Part 2500 Voluntary Deductions from Wages, Salary or Annuities

80 Ill. Adm. Code 2500.10 Scope

An employee or annuitant may authorize the withholding of a portion of his or her salary, wages or annuity for any one or more of the purposes identified in the State Salary and Annuity Withholding Act [5 ILCS 365]. In addition, an officer, employee, or annuitant may authorize withholding from his or her salary, wages, or annuity of amounts in accordance with the Voluntary Payroll Deductions Act of 1983 [5 ILCS 340].

History

• Source: Amended at 26 Ill. Reg. 2656, effective February 22, 2002

80 Ill. Adm. Code 2500.20 Authorization to Withhold

a) State agencies processing payrolls or annuities through the Comptroller shall include payroll deduction data on vouchers only as authorized in writing by the employee or annuitant. Deduction authorization forms shall designate the time period during which such forms are in effect (which may be continuous), and shall indicate the purpose and amount of the deductions authorized, and shall be signed by the employee or annuitant. Such deduction authorization form may contain other information deemed necessary by the State agency with which the deduction authorization form is to be filed.

b) An employee or annuitant may authorize increases in amounts withheld by voluntary deduction without the necessity of filing a new deduction authorization form (i.e., on account of general rate increases for insurance, increases in union dues, etc.). However, prior to such increase in withholding taking effect, written notice shall be given to the State agency processing payrolls or annuities and to each affected employee or annuitant by the entity to receive the increase.

80 Ill. Adm. Code 2500.30 Deduction Code Numbers

a) Prior to including voluntary deduction data on a voucher, the State agency shall obtain from the Comptroller the deduction code number for the entity to receive the deductions. If an agency is requested to initiate deductions for an entity which does not have a deduction code number, the agency shall refer the requesting entity to the Comptroller for issuance of a deduction code number.

b) The Comptroller will issue a deduction code number upon the written request of the chief executive officer of the requesting entity, if such request sets forth information demonstrating that the purpose of the proposed deductions is authorized by law.

80 Ill. Adm. Code 2500.40 Processing by State Agencies

a) State agencies processing payrolls or annuities through the Comptroller shall develop procedures to be followed by employee and annuitants in authorizing deductions and terminating deductions and shall establish appropriate deadlines for filing authorizations and terminations, so that vouchers authorizing payments to employees or annuitants carry deduction information only as authorized by such employees or annuitants.

b) A State of Illinois warrant shall be mailed by the Comptroller to the entity for which deductions occur once each week after the processing of the salary, wage or annuity payment. The warrant will be accompanied by a listing of the names of employees or annuitants from whose salary, wage or annuity payment withholdings have been made and the amounts withheld from each of them.

80 Ill. Adm. Code 2500.50 Special Provisions for United States Savings Bonds

a) For United States Savings Bond deductions only, the State agency receiving the authorization to withhold shall provide a duplicate copy of the deduction authorization form to the Comptroller in such format so that the Comptroller may properly issue the bonds as authorized under 31 USCA 3105. In addition, written notice of termination of withholding for the purchase of United States Savings Bonds shall be filed with the Comptroller.

b) The minimum amount an employee or annuitant may authorize to be withheld for United States Savings Bonds is $2.50 per pay period. Whenever a sufficient sum has accumulated in an employee's or annuitant's account in the trust fund established for the purchase of United States Savings Bonds in the denomination selected by the employee in his deduction authorization form, the Comptroller shall purchase such bond on behalf of the employee. The Comptroller shall not be liable for interest on funds withheld for the purchase of bonds.

United States Savings Bonds must be issued in registered form. Registrations requested must conform with one of the forms as required under 31 USCA 3105.

d) After issuance, the employee or annuitant shall be solely responsible for maintaining records pertaining to bonds issued to him or her (i.e., serial number, date of issuance, denomination of bond, etc.).

History

• Source: Amended at 26 Ill. Reg. 2656, effective February 22, 2002

80 Ill. Adm. Code 2500.51 Special Provisions for Withholding Pursuant to the Voluntary Payroll Deductions Act of 1983

a) A petitioning organization desiring to be designated as a "qualified organization" under the Voluntary Payroll Deductions Act of 1983 (the "Act") must submit written designations from at least 4,000 State employees and/or annuitants indicating that each employee or annuitant intends to authorize withholding for payment to that organization.

b) Petitioning organizations shall submit proposed forms for the written designations to the Comptroller for approval. The Comptroller will approve the forms where the information set forth in this subsection (b) is included on such forms. At a minimum, petitioning organizations shall include on the written designation forms the following:

1. Information identifying the petitioning organization;

2. The employee's or annuitant's name (dated signature);

3. The State Agency in which the employee is currently employed, if applicable;

4. The last four digits of the employee's or annuitant's Social Security Number;

5. A statement in prominent type "This is not a payroll deduction authorization.";

6. A statement of the percentage of the organization's total collected receipts from employees' payroll and/or annuitants' deductions that are distributed to the benefiting agencies and the percentage of the organization's total collected receipts from employees' payroll and/or annuitants' deductions that are expended for fund-raising and overhead costs.

c) No fewer than 4,000 employee and/or annuitant designations shall be submitted to the Comptroller by the petitioning organization at one time, in either of the following formats:

1. In a "petition" format with the information established in subsection (b) prominently typed at the top of the page with spaces for up to 100 signatures.

2. In a "card" format, with the information established in subsection (b) typed on each card with a space for signature for only one employee or annuitant. The cards shall not exceed 8 ½ by 11 inches and must be batched in groups of 100.

d) Entities desiring designation as a qualified organization must show entitlement by making the certifications identified in Section 3(b)(2)-(10) of the Act. The certifications shall be transmitted along with the 4,000 written designations from employees and/or annuitants to the Comptroller at his offices at 325 West Adams Street, Springfield, Illinois 62706 Attention: Payroll Department, in letter form signed by the chief executive officer (or his equivalent) of the requesting organization.

e) By February 1 of each year, the Comptroller will notify by letter each qualified organization for which the Comptroller's records indicated that fewer than 500 employees and/or annuitants have authorized withholding on behalf of that organization. The notification shall give the qualified organization until March 1 to provide the Comptroller with documentation that the 500 deduction requirement has been met. If the qualified organization does not submit evidence that 500 employees and/or annuitants have authorized withholding on behalf of the organization within 30 calendar days after the date of the Comptroller's notification letter, the Comptroller will discontinue withholding for that organization. Evidence of withholding authorization by employees or annuitants may consist of signed payroll or annuity deduction authorization forms that include withholdings on behalf of such organizations or information submitted to the Comptroller by a university or retirement system that documents the number of State and university employees and annuitants who have authorized withholding on behalf of the organization during the prior calendar year. The Comptroller shall, by March 15 of each year, submit to the Governor or his or her designee, or such other agency as may be determined by the Governor, a list of all organizations that have met the 500 payroll deduction requirement.

f) An employee or annuitant may authorize the withholding of a portion of his salary, wages, or annuity for contribution to a maximum number of four organizations described in Section 3 (b) and (c) of the Act [5 ILCS 340/4 and 4.5]. Once a State agency has received four currently effective deduction authorization forms from an employee or an annuitant for withholding on behalf of the organizations described in Section 3 (b) and (c) of the Act, the State agency shall accept no further deduction authorization forms for organizations described in Section 3 (b) and (c) of the Act from that employee or annuitant, unless a previously effective deduction authorization is terminated by the employee or annuitant (or by the expiration of the stated term of the prior authorization).

g) As used in this Section, "employee" means any regular officer or employee who receives salary or wages for personal services rendered to the State of Illinois, including an individual hired as an employee by contract with that individual. [5 ILCS 340/3(a)]

h) As used in this Section, "annuitant" means a person receiving an annuity or disability benefit under Article 2, 14, 15, 16 or 18 of the Illinois Pension Code [40 ILCS 5]. [5 ILCS 340/3(f)]

History

• Source: Amended at 27 Ill. Reg. 9151, effective June 2, 2003

80 Ill. Adm. Code 2500.60 Insufficient Wages or Annuity

Where a person's wages, salary or annuity is insufficient to cover all voluntary deductions he or she has authorized, agencies must not include any voluntary deductions for that pay period or benefit period.

80 Ill. Adm. Code 2500.70 Precedence of Tax Levies

A federal tax levy shall take precedence over the deductions authorized in accordance with these rules.

Part 2510 Tax Reporting and Withholding Certificates

80 Ill. Adm. Code 2510.5 Authority

Pursuant to the authority granted the Comptroller in Sections 14 and 21 of the State Comptroller Act (Ill. Rev. Stat. 1983, ch. 15, pars. 214 and 221), this Part is promulgated to ensure that State agencies maintain adequate documentation of the reasons for and the amount of deductions from State payments for taxes, as certified on State vouchers.

History

• Source: Amended at 9 Ill. Reg. 19376, effective December 4, 1985

80 Ill. Adm. Code 2510.10 Forms W-4: Basic Requirements

a) Effective January 1, 1982, all State agencies shall have on file for all active employees a current (Federal tax) Employee's Withholding Exemption Certificate and an Employee's Illinois Exemption Certificate, maintained on the Comptroller's Form C-25.1 or a Comptroller approved equivalent. This information maintained by the State agencies must be consistent with amounts directed to be withheld on payroll vouchers.

b) Where an employee fails or refuses to submit a properly completed withholding certificate, the State agency must compute the employee's tax withholding as if his marital status is single, claiming zero exemptions. Agencies may not accept withholding certificates on which the employee has made any attempt at altering the form or its contents.

c) For the purposes of this Part, the term "State agencies" means any department, institution, board, commission, office, court or any agency of the State having the power to certify payrolls to the State Comptroller authorizing payments of salary or wages against State appropriations, or against trust funds held by the State Treasurer.

History

• Source: Amended at 9 Ill. Reg. 19376, effective December 4, 1985

80 Ill. Adm. Code 2510.20 Forms W-4: Additional Requirements

In addition to the requirements of Section 2510.10, for each new employee and for each employee making any changes on their withholding certificates (Form C-25.1), the agency must provide a duplicate of the withholding exemption certificate either on hard-copy or magnetic tape to the Comptroller. For employees claiming exempt from tax for a given calendar year, and who wish to maintain such exempt status for the next year, the agency must receive a new withholding exemption certificate from the employee and provide a duplicate to the Comptroller by April 20 of the next calendar year. An employee failing to file the required annual exempt status withholding statement will have his withholding computed as if he were single, claiming zero exemptions.

History

• Source: Amended at 9 Ill. Reg. 19376, effective December 4, 1985

80 Ill. Adm. Code 2510.25 Forms W-2g and 5754

a) Internal Revenue Code Section 3402(q)(6) requires certain tax reporting statements from winners of State Lotteries subject to tax withholding as described in I.R.R. 31.3402(q)(1), I.R.R. 31.3402(q)(1)(b) and Ill. Rev. Stat. 1983, ch. 12, par. 7-710(a). This Section specifies procedures to be followed by State agencies in initiating payments to such Lottery winners.

b) The State Lottery Division is to be the sole receiving point for Lottery winners' Forms W-2G (in the case of a sole recipient) or Forms 5754 (in the event that persons other than the recipient are entitled to all or a portion of the winnings). Form W-2G or Form 5754 must be obtained from the recipient of winnings before any payment is made; i.e., before any payment voucher is transmitted to the Comptroller's Office.

c) The State Lottery must include on the payment voucher the relevant tax withholding information for each person entitled to a portion of the lottery winnings. This would consist of the name, address, Social Security or Federal Employee Identification (FEIN), date, amount of payment, amount withheld and type of wager. This information must be provided on the face of the payment voucher; merely attaching a duplicate W-2G or Form 5754 to the voucher will not be sufficient.

d) Pursuant to I.R.R. Section 31.6001-1(e)(2), 26 U.S.C.A. Section 6001, 26 U.S.C.A. Section 3403, 26 U.S.C.A. Section 3402 and I.R.R. Section 31-3402(q)-1, the State Lottery Division will be solely responsible for maintaining the Lottery winners' Forms W-2G and Forms 5754.

History

• Source: Added at 9 Ill. Reg. 19376, effective December 4, 1985

80 Ill. Adm. Code 2510.30 Length of Time Last Effective Certificate to Be Retained

a) State agencies must maintain the last effective (Federal tax) Employee's Withholding Exemption Certificate and the Employee's Illinois Exemption Certificate for employees no longer employed by the agency for a period of 4 1/2 (four and one-half) years.

b) Pursuant to I.R.R. Section 31.6001-1(e)(2), the State Lottery Division shall retain a Lottery winner's Form W-2G or Form 5754 (as the case may be) for 4 years after the date the payment was initiated.

History

• Source: Amended at 9 Ill. Reg. 19376, effective December 4, 1985

80 Ill. Adm. Code 2510.101 Definitions

For purposes of this Part, the following terms shall have the meaning given in this Section:

"Act": The Voluntary Payroll Deductions Act of 1983 [5 ILCS 340].

"Advisory Board": The board created pursuant to Section 2650.10(b) of this Part.

"Agency": Agencies, boards, commissions and other entities under the Governor. Constitutional officers, universities, retirement systems and other agencies shall be governed by this Part, unless such entities adopt their own rules governing solicitation of contributions at the workplace.

"Annuitant": A State annuitant, as defined by the Act.

"Calendar Year": Any 12-month period beginning January 1.

"Chief Officer": The head of any agency, except institutions of higher education and their governing bodies, board or commission appointed by the Governor.

"Department": The Illinois Department of Central Management Services.

"Director": Unless a different agency is specified, "Director" shall mean the Director of the Department or his or her designee.

"Employee": An Employee, as defined by the Act.

"Newly Qualified Charitable Organization": A Newly Qualified Charitable Organization will be defined, for privilege and financial purposes, as one which is participating in the SECA campaign for the first time.

"Qualified Charitable Organization": Any organization recognized by the Office of the Comptroller as eligible to receive payroll deductions under the Voluntary Payroll Deduction Act.

"Retirement System": A Retirement System, as defined by the Act.

"SECA": State and University Employees Combined Appeal. The annual combined drive of Qualified Charitable Organizations.

"Withholding": The authorization by an employee or annuitant for a specific amount to be deducted from salary, wages, or an annuity or disability benefit, to be paid over promptly to the organization designated by the employee or annuitant by means of warrants drawn by the State Comptroller, a Retirement System or other appropriate source.

"Work Place": The physical location for an employee to perform her or his work but not including any area accessible to the public or any area used exclusively for rest or refreshment.

"Work Time": That period of the workday for which the employee is paid to perform services for the State of Illinois, but not including unpaid meal periods or paid rest periods.

History

• Source: Recodified from Section 2650.1 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.105 Entitlement

Any Qualified Charitable Organization is entitled to solicit contributions from employees during work time and in the work place as provided and regulated in this Part. Any Qualified Charitable Organization is entitled to solicit contributions from annuitants as provided and regulated in this Part and in any other applicable rules.

History

• Source: Recodified from Section 2650.5 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.110 Organization

a) The Director shall have general administrative and policy authority regarding SECA.

b) An Advisory Board to assist in implementing and regulating the State and University Employees Combined Appeal (SECA) is established under the chairmanship of the Director (or his/her designee).

1. The following persons shall be invited to be members of the Advisory Board: five or more State employees "at large" representing employee interests; the prior year's SECA chairperson; the Lieutenant Governor or his/her designee; a representative of a State employee labor organization; a representative from a Retirement System; and the appointed SECA Chairperson for the current year. The at-large members and the labor organization representative shall be appointed by the Director.

2. State employee members shall serve a three-year term. State employee members may serve no more than two consecutive three-year terms.

3. The Advisory Board shall meet at least quarterly.

4. The function of the Advisory Board is to advise the Director on SECA matters, including:

A) Discussion and planning of the administration and conduct of the annual campaign.

B) Review of combined campaign materials, educational programs, publicity efforts, campaign goals and recognition-award programs.

C) Selection process for SECA coordinators.

D) Verification of continuing eligibility through the Comptroller's Office.

E) Candidate search and presentation of any proposed third party manager to the Qualified Charitable Organizations for approval and establishment of proposed duties of any third party manager.

F) Any other issues determined to be consistent with the functions of the Advisory Board.

5. A representative from each Qualified Charitable Organization may attend and speak at each Advisory Board meeting, but shall not have a vote on the Advisory Board.

c) A chairperson for each annual SECA shall be appointed by the Governor. The chairperson shall serve on the Advisory Board to assist the Director on functions specified in subsections (b)(4)(B) and (C). Each chief officer shall appoint an executive coordinator for each annual campaign. SECA coordinators or other agency employees shall be permitted work time to perform their responsibilities, including campaign briefings and training, distribution of literature, collection of pledge cards, telephone and contact with representatives of the Qualified Charitable Organizations. SECA coordinators will be permitted to request liaisons to assist where an agency has multiple worksites. SECA liaisons will be given time to meet with their coordinator for training and related events. Any State employee who volunteers for a charity event shall contribute time solely during non-work hours.

History

• Source: Recodified from Section 2650.10 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.115 Annual Drive

An annual SECA drive shall be held to include all Qualified Charitable Organizations under the following conditions:

a) Employees:

1. solicitations for contributions may commence no earlier than September 1, must end no later than November 30, and must be conducted within a period of eight consecutive weeks;

2. equal access and promotional opportunity time shall be allowed for each Qualified Charitable Organization by the agency coordinator;

3. there shall be no lessening or disruption of work in the work place;

4. employees shall be informed regarding any Qualified Charitable Organization as charitable alternatives;

5. qualification of any charitable organization by the Office of the Comptroller shall occur by December 31 prior to the annual drive whose authorized withholdings are to be effective the following January 1 as provided in Section 2650.20. Organizations shall submit the required designations and certifications to the Comptroller two weeks before the December 31 deadline;

6. one combined brochure and payroll deduction form will be prepared and printed. This brochure will include all charities qualified as of the date specified in subsection (a)(5) to participate in SECA and will be distributed to all State employees covered under this Part by the Executive Coordinators and their liaisons;

7. during the campaign period, employees may attend on their own volition presentations of each or any Qualified Charitable Organization, such time totaling not more than 1 hour in the aggregate annually. Agencies, in cooperation with the Qualified Charitable Organization, shall endeavor to schedule presentations to permit all interested employees to attend such presentations.

b) Annuitants:

1. qualification of any charitable organization by the Office of the Comptroller shall occur in the manner set forth in subsection (a)(5);

2. solicitations of annuitants may be made by brochures or other printed campaign material approved by the Advisory Board or its designee;

3. it is not necessary that all annuitants be solicited for contributions for any given annual SECA campaign. The Advisory Board, or its designee, shall consider on an annual basis which annuitants should receive solicitations through SECA.

History

• Source: Recodified from Section 2650.15 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.120 Recognition

The following conditions shall regulate any petition drive for any charitable organization seeking to become a qualified charitable organization.

a) Representatives of non-qualified organizations shall be entitled to use public access areas of an agency to set up information dissemination points and to request employee and annuitant participation in petition drives.

b) It is the responsibility of any operating agency to verify through the Corporate Division of the Office of the Secretary of State the validity of a non-qualified charitable organization conducting a petition drive to determine whether such organization is chartered as a not-for-profit (501(c)(3)) corporation in the State of Illinois and to verify that the charitable organization has filed required periodic reports with the office of the Attorney General as provided in the Solicitation for Charity Act [225 ILCS 460] and to verify if the organization's petition forms have been approved by the Office of the Comptroller.

c) Qualify for direct withholding as provided in the Act.

d) No agency shall discriminate against any charitable organization seeking recognition unless that organization has not filed as a non-profit corporation with the Office of the Secretary of State.

e) No employee or annuitant shall circulate any petition on behalf of any charitable organization during working hours in the work place.

History

• Source: Recodified from Section 2650.20 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.125 Request to Solicit Employees or Annuitants

Any request by a charitable organization, whether a Qualified Charitable Organization or not, to solicit contributions from employees or annuitants received in any agency shall be forwarded to the Director for action as provided in this Part.

History

• Source: Recodified from Section 2650.25 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.130 Prohibitions

a) No charitable organization shall solicit employees for contributions at State work places except as a participant in SECA. Only Qualified Charitable Organizations which participate in SECA shall be entitled to direct access in the work place and to employees in the work place and during work time during the course of the year.

b) No employee or annuitant shall solicit funds on behalf of any charitable organization that is not a Qualified Charitable Organization during work hours in the work place.

c) No State agency shall:

1. allow supervisors to inquire about whether an employee or annuitant chose to participate or not to participate or the amount of an employee's or annuitant's contribution;

2. set, request or encourage 100% participation goals or other goals that would imply compulsory participation;

3. set, request or encourage personal dollar goals or quotas; or

4. encourage contributions to particular SECA organizations.

History

• Source: Recodified from Section 2650.30 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.140 Code of Campaign Conduct

Qualified Charitable Organizations which wish to seek contributions from State employees at their work place shall comply with this Code of Conduct.

a) Approval and distribution of campaign materials

1. All materials to be distributed or used at the work place shall be reviewed and approved by the Department or Advisory Board. If material is not submitted by deadlines established by the Department or Advisory Board or is not approved by the same, that material shall be excluded and not distributed.

2. All materials shall be distributed to employees at the work place during the campaign period. New employees shall be provided with the current SECA materials upon hire.

3. During the 30 days immediately prior to the start of the campaign period, materials may be stored at the work site and made available to the agency SECA coordinator in preparation for the campaign.

b) Use of employee and annuitant information

1. A Qualified Charitable Organization may not use the name or address of an employee or annuitant obtained through SECA for fundraising purposes when that employee or annuitant has expressly stated in writing that his/her name may not be so used or sold by that Qualified Charitable Organization. Any employee or annuitant who does not provide such a written statement to a Qualified Charitable Organization shall be considered to have "released" his/her name and address to that Qualified Organization.

2. If an employee or annuitant releases his/her name to a Qualified Charitable Organization, the Qualified Charitable Organization may use the employee's or annuitant's name for the purpose of acknowledging the employee's or annuitant's contribution and/or educating the employee or annuitant further regarding the Qualified Charitable Organization; however, no employee's or annuitant's name that a Qualified Charitable Organization has been able to obtain only by virtue of such organization's participation in SECA may be used by such Qualified Charitable Organization for fund raising purposes other than in the SECA campaign, and may not be sold or given to another organization or entity.

3. An employee or annuitant who at one time indicates that his or her name may not be released and at a later date decide to allow release must do so in writing to the Qualified Charitable Organizations to which the release applies.

4. An employee or annuitant who at one time "releases" his or her name may later rescind that authorization by submitting a letter to the Qualified Charitable Organization. The letter may be submitted to the Advisory Board, which will then forward the letter to the Qualified Charitable Organization.

c) Giving to be voluntary

1. All solicitation activities shall be designed and conducted to elicit voluntary giving. Actions that coerce an employee or annuitant into giving, or create the appearance that employees or annuitants must give, are not permitted.

2. The following actions are prohibited for the Qualified Charitable Organizations:

A) requesting or encouraging that employees be solicited by their supervisor or by any individual in their supervisory chain of command. (This does not prohibit requesting the head of a department or agency to demonstrate support of SECA in employee or annuitant newsletters or other general communications.)

B) asking supervisors about whether an employee chose to participate or not to participate or the amount of an employee's contribution.

C) setting, requesting or encouraging that a department or agency set 100% participation goals or other goals that would imply compulsory participation.

D) encouraging contributions to particular organizations.

d) Qualified Charitable Organization Participation

1. Each Qualified Charitable Organization shall participate in a minimum of three SECA Advisory Board meetings per year.

2. Each Qualified Charitable Organization shall attend two SECA events during each campaigning period.

e) Any charity that wishes to participate in SECA, either directly or indirectly through a united or umbrella organizational arrangement, shall comply with this Code of Campaign Conduct. If the participating charity is part of a united or umbrella organization, that umbrella or united organization shall be responsible for informing each of its participating charities of the Code of Campaign Conduct.

History

• Source: Recodified from Section 2650.40 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.150 Violation of Code of Campaign Conduct

a) Any employee, annuitant, governmental agency, university, or Qualified Charitable Organization with a complaint regarding SECA activities may submit a written complaint accompanied by supporting documentation to the Department.

b) Within ten working days after receipt of the complaint, the Department shall contact the party subject of the complaint and supply them with a copy of the written complaint and supporting documentation. The party subject of the complaint shall submit a response to the Department within 10 days after receipt of the complaint or the decision will be made without input from that party. Within ten working days after receiving the response, the Department will respond to the complainant denying the complaint, identifying the proposed resolution or taking other action, which may include conducting a hearing.

c) Any such decision of the Department may be appealed to the Committee on Campaign Conduct within 10 calendar days after receipt of the response to the complaint.

d) The goal of the Committee shall be to act on the appeal, which may include holding a public hearing, and make a final determination within 10 working days after receipt of the appeal.

e) A Qualified Charitable Organization, or a benefiting agency of a Qualified Charitable Organization, may be denied participation in the SECA campaign for failure to comply with this Code of Campaign Conduct. Denial shall be for the next entire campaign period. Early reinstatement will be considered if the organization provides sufficient assurance that it will comply with these Code of Campaign Conduct rules. Restrictions may be placed on the Qualified Charitable Organization or benefiting agency if allowed early reinstatement. Suspension from a campaign shall not require a Qualified Charitable Organization to again meet basic qualifying criteria as set forth in the statute.

f) To help other Qualified Charitable Organizations avoid suspension, the Department may circulate written reminders of conduct or actions as outlined in Section 2650.40 that are or have been found to be violations of the Code. If the Qualified Charitable Organization receives three reminders and the violation is not remedied within the period of time specified in the reminder, the Committee may deny the Qualified Charitable Organization participation in the next entire campaign period.

History

• Source: Recodified from Section 2650.50 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.160 Committee on Campaign Conduct

a) The Committee shall consist of the Director, the Director of the Lt. Governor's Office on Voluntary Action (LGOVA) and three members of the Advisory Board to be named by the Director, not affiliated with any of the Qualified Charitable Organizations. In the event it is determined that any person named to the Committee is affiliated with any of the Qualified Charitable Organizations, the Director will name a substitute. For purposes of this paragraph, a person shall be deemed to be affiliated with a Qualified Charitable Organization if such person is on the Board of Directors of such organization or of any member agency of such organization or a paid employee of such organization or member agency of such organization.

b) The Director of the Lt. Governor's Office on Voluntary Action shall serve as chair and provide staff for the Committee. The Committee shall choose a Vice-chair to serve in the Chair's absence.

c) A quorum of those on the Committee shall be required to transact business except where action is taken to deny participation in SECA to a Qualified Charitable Organization in which case four-fifths of the Committee members must be present to take any such action.

d) Committee meetings shall be conducted pursuant to the Open Meetings Act [5 ILCS 120].

History

• Source: Recodified from Section 2650.60 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

80 Ill. Adm. Code 2510.170 Allocation of Expenses to Seca Participants Membership

a) The Department shall allocate expenses in any of the following manners:

1. Expenses will be divided pro rata among all participating Qualified Charitable Organizations based on contributions from the prior campaign year.

2. In any year in which a Newly Qualified Charitable Organization is participating, each such Newly Qualified Organization will contribute an amount equal to Y, where Y will be calculated as follows:

1

X

Total expenses

X

.8

=

Y

total number of

participating organizations

For purposes of allocating expenses to the remaining Qualified Charitable Organizations, the amounts allocated to the Newly Qualified Charitable Organizations will then be subtracted from the total expenses, and the remainder will be divided pro rata among all the remaining Qualified Charitable Organizations based on percentage of total contributions received in the prior campaign year.

3. Expenses will be divided among all organizations that participate directly in the SECA Campaign as a Qualified Charitable Organization or that benefit from the SECA Campaign by receiving a distribution from a Qualified Charitable Organization.

b) Each Qualified Charitable Organization will have 60 days after receipt of its assessment to submit payment. Newly Qualified Charitable Organizations will pay one half of their assessment by October 1 and the balance by March 1.

History

• Source: Recodified from Section 2650.70 of 80 Ill. Adm. Code 2650 (Central Management Services) pursuant to P.A. 102-291 at 46 Ill. Reg. 14713

Chapter II Board of Governors of State Colleges and Universities

Part 2600 Salary and Annuity Withholding

80 Ill. Adm. Code 2600.10 Who May Authorize

Any employee may authorize the deduction of a portion of his salary or wages for the payment of insurance premiums on any type of insurance authorized by the laws of this State subject to the following guidelines.

80 Ill. Adm. Code 2600.20 Rules for Deductions

a) The employee must file written authorization with the university for payroll deductions on forms prescribed by the university.

b) Each insurance company must file with the university and the Central Office of the Board copies of the policy, all advertising material, the application form and schedule of premiums for all participants.

c) The insurance company must not state or imply either directly or indirectly that the university or Board sponsors the company or the plan.

d) The Board must receive evidence of approval of the contract by the State of Illinois Department of Insurance. Deductions will be authorized only for an approved policy.

e) The insurance company will not be permitted to solicit or conduct any business in university buildings or on university premises without permission of the President or his designee.

f) No deductions will be withheld unless a minimum of 250 employees insured by an approved company authorize the withholding by an Office within six months after the company has been approved.

g) The signed authorization cards must be submitted to the appropriate payroll office of the university 30 calendar days before the first of the month that the deduction is to become effective, assuming all above guidelines have been met.

80 Ill. Adm. Code 2600.30 Failure to Comply

Failure to comply with any rule of this Part may result in the suspension of the payroll deductions for the policy involved.

Chapter III Department of Central Management Services

Part 2650 Solicitation for Charitable Payroll Deductions

80 Ill. Adm. Code 2650.1 Definitions

For purposes of this Part, the following terms shall have the meaning given in this Section:

"Act": The Voluntary Payroll Deductions Act of 1983 [5 ILCS 340].

"Advisory Board": The board created pursuant to Section 2650.10(b) of this Part.

"Agency": Agencies, boards, commissions and other entities under the Governor. Constitutional officers, universities, retirement systems and other agencies shall be governed by this Part, unless such entities adopt their own rules governing solicitation of contributions at the workplace.

"Annuitant": A State annuitant, as defined by the Act.

"Calendar Year": Any 12-month period beginning January 1.

"Chief Officer": The head of any agency, except institutions of higher education and their governing bodies, board or commission appointed by the Governor.

"Department": The Illinois Department of Central Management Services.

"Director": Unless a different agency is specified, "Director" shall mean the Director of the Department or his or her designee.

"Employee": An Employee, as defined by the Act.

"Newly Qualified Charitable Organization": A Newly Qualified Charitable Organization will be defined, for privilege and financial purposes, as one which is participating in the SECA campaign for the first time.

"Qualified Charitable Organization": Any organization recognized by the Office of the Comptroller as eligible to receive payroll deductions under the Voluntary Payroll Deduction Act.

"Retirement System": A Retirement System, as defined by the Act.

"SECA": State and University Employees Combined Appeal. The annual combined drive of Qualified Charitable Organizations.

"Withholding": The authorization by an employee or annuitant for a specific amount to be deducted from salary, wages, or an annuity or disability benefit, to be paid over promptly to the organization designated by the employee or annuitant by means of warrants drawn by the State Comptroller, a Retirement System or other appropriate source.

"Work Place": The physical location for an employee to perform her or his work but not including any area accessible to the public or any area used exclusively for rest or refreshment.

"Work Time": That period of the workday for which the employee is paid to perform services for the State of Illinois, but not including unpaid meal periods or paid rest periods.

History

• Source: Amended at 26 Ill. Reg. 5761, effective April 4, 2002

80 Ill. Adm. Code 2650.5 Entitlement

Any Qualified Charitable Organization is entitled to solicit contributions from employees during work time and in the work place as provided and regulated in this Part. Any Qualified Charitable Organization is entitled to solicit contributions from annuitants as provided and regulated in this Part and in any other applicable rules.

History

• Source: Amended at 26 Ill. Reg. 5761, effective April 4, 2002

80 Ill. Adm. Code 2650.10 Organization

a) The Director shall have general administrative and policy authority regarding SECA.

b) An Advisory Board to assist in implementing and regulating the State and University Employees Combined Appeal (SECA) is established under the chairmanship of the Director (or his/her designee).

1. The following persons shall be invited to be members of the Advisory Board: five or more State employees "at large" representing employee interests; the prior year's SECA chairperson; the Lieutenant Governor or his/her designee; a representative of a State employee labor organization; a representative from a Retirement System; and the appointed SECA Chairperson for the current year. The at-large members and the labor organization representative shall be appointed by the Director.

2. State employee members shall serve a three-year term. State employee members may serve no more than two consecutive three-year terms.

3. The Advisory Board shall meet at least quarterly.

4. The function of the Advisory Board is to advise the Director on SECA matters, including:

A) Discussion and planning of the administration and conduct of the annual campaign.

B) Review of combined campaign materials, educational programs, publicity efforts, campaign goals and recognition-award programs.

C) Selection process for SECA coordinators.

D) Verification of continuing eligibility through the Comptroller's Office.

E) Candidate search and presentation of any proposed third party manager to the Qualified Charitable Organizations for approval and establishment of proposed duties of any third party manager.

F) Any other issues determined to be consistent with the functions of the Advisory Board.

5. A representative from each Qualified Charitable Organization may attend and speak at each Advisory Board meeting, but shall not have a vote on the Advisory Board.

c) A chairperson for each annual SECA shall be appointed by the Governor. The chairperson shall serve on the Advisory Board to assist the Director on functions specified in subsections (b)(4)(B) and (C). Each chief officer shall appoint an executive coordinator for each annual campaign. SECA coordinators or other agency employees shall be permitted work time to perform their responsibilities, including campaign briefings and training, distribution of literature, collection of pledge cards, telephone and contact with representatives of the Qualified Charitable Organizations. SECA coordinators will be permitted to request liaisons to assist where an agency has multiple worksites. SECA liaisons will be given time to meet with their coordinator for training and related events. Any State employee who volunteers for a charity event shall contribute time solely during non-work hours.

History

• Source: Amended at 36 Ill. Reg. 8455, effective May 22, 2012

80 Ill. Adm. Code 2650.15 Annual Drive

An annual SECA drive shall be held to include all Qualified Charitable Organizations under the following conditions:

a) Employees:

1. solicitations for contributions may commence no earlier than September 1, must end no later than November 30, and must be conducted within a period of eight consecutive weeks;

2. equal access and promotional opportunity time shall be allowed for each Qualified Charitable Organization by the agency coordinator;

3. there shall be no lessening or disruption of work in the work place;

4. employees shall be informed regarding any Qualified Charitable Organization as charitable alternatives;

5. qualification of any charitable organization by the Office of the Comptroller shall occur by December 31 prior to the annual drive whose authorized withholdings are to be effective the following January 1 as provided in Section 2650.20. Organizations shall submit the required designations and certifications to the Comptroller two weeks before the December 31 deadline;

6. one combined brochure and payroll deduction form will be prepared and printed. This brochure will include all charities qualified as of the date specified in subsection (a)(5) to participate in SECA and will be distributed to all State employees covered under this Part by the Executive Coordinators and their liaisons;

7. during the campaign period, employees may attend on their own volition presentations of each or any Qualified Charitable Organization, such time totaling not more than 1 hour in the aggregate annually. Agencies, in cooperation with the Qualified Charitable Organization, shall endeavor to schedule presentations to permit all interested employees to attend such presentations.

b) Annuitants:

1. qualification of any charitable organization by the Office of the Comptroller shall occur in the manner set forth in subsection (a)(5);

2. solicitations of annuitants may be made by brochures or other printed campaign material approved by the Advisory Board or its designee;

3. it is not necessary that all annuitants be solicited for contributions for any given annual SECA campaign. The Advisory Board, or its designee, shall consider on an annual basis which annuitants should receive solicitations through SECA.

History

• Source: Amended at 29 Ill. Reg. 2244, effective February 1, 2005

80 Ill. Adm. Code 2650.20 Recognition

The following conditions shall regulate any petition drive for any charitable organization seeking to become a qualified charitable organization.

a) Representatives of non-qualified organizations shall be entitled to use public access areas of an agency to set up information dissemination points and to request employee and annuitant participation in petition drives.

b) It is the responsibility of any operating agency to verify through the Corporate Division of the Office of the Secretary of State the validity of a non-qualified charitable organization conducting a petition drive to determine whether such organization is chartered as a not-for-profit (501(c)(3)) corporation in the State of Illinois and to verify that the charitable organization has filed required periodic reports with the office of the Attorney General as provided in the Solicitation for Charity Act [225 ILCS 460] and to verify if the organization's petition forms have been approved by the Office of the Comptroller.

c) Qualify for direct withholding as provided in the Act.

d) No agency shall discriminate against any charitable organization seeking recognition unless that organization has not filed as a non-profit corporation with the Office of the Secretary of State.

e) No employee or annuitant shall circulate any petition on behalf of any charitable organization during working hours in the work place.

History

• Source: Amended at 26 Ill. Reg. 5761, effective April 4, 2002

80 Ill. Adm. Code 2650.25 Request to Solicit Employees or Annuitants

Any request by a charitable organization, whether a Qualified Charitable Organization or not, to solicit contributions from employees or annuitants received in any agency shall be forwarded to the Director for action as provided in this Part.

History

• Source: Amended at 26 Ill. Reg. 5761, effective April 4, 2002

80 Ill. Adm. Code 2650.30 Prohibitions

a) No charitable organization shall solicit employees for contributions at State work places except as a participant in SECA. Only Qualified Charitable Organizations which participate in SECA shall be entitled to direct access in the work place and to employees in the work place and during work time during the course of the year.

b) No employee or annuitant shall solicit funds on behalf of any charitable organization that is not a Qualified Charitable Organization during work hours in the work place.

c) No State agency shall:

1. allow supervisors to inquire about whether an employee or annuitant chose to participate or not to participate or the amount of an employee's or annuitant's contribution;

2. set, request or encourage 100% participation goals or other goals that would imply compulsory participation;

3. set, request or encourage personal dollar goals or quotas; or

4. encourage contributions to particular SECA organizations.

History

• Source: Amended at 26 Ill. Reg. 5761, effective April 4, 2002

80 Ill. Adm. Code 2650.40 Code of Campaign Conduct

Qualified Charitable Organizations which wish to seek contributions from State employees at their work place shall comply with this Code of Conduct.

a) Approval and distribution of campaign materials

1. All materials to be distributed or used at the work place shall be reviewed and approved by the Department or Advisory Board. If material is not submitted by deadlines established by the Department or Advisory Board or is not approved by the same, that material shall be excluded and not distributed.

2. All materials shall be distributed to employees at the work place during the campaign period. New employees shall be provided with the current SECA materials upon hire.

3. During the 30 days immediately prior to the start of the campaign period, materials may be stored at the work site and made available to the agency SECA coordinator in preparation for the campaign.

b) Use of employee and annuitant information

1. A Qualified Charitable Organization may not use the name or address of an employee or annuitant obtained through SECA for fundraising purposes when that employee or annuitant has expressly stated in writing that his/her name may not be so used or sold by that Qualified Charitable Organization. Any employee or annuitant who does not provide such a written statement to a Qualified Charitable Organization shall be considered to have "released" his/her name and address to that Qualified Organization.

2. If an employee or annuitant releases his/her name to a Qualified Charitable Organization, the Qualified Charitable Organization may use the employee's or annuitant's name for the purpose of acknowledging the employee's or annuitant's contribution and/or educating the employee or annuitant further regarding the Qualified Charitable Organization; however, no employee's or annuitant's name that a Qualified Charitable Organization has been able to obtain only by virtue of such organization's participation in SECA may be used by such Qualified Charitable Organization for fund raising purposes other than in the SECA campaign, and may not be sold or given to another organization or entity.

3. An employee or annuitant who at one time indicates that his or her name may not be released and at a later date decide to allow release must do so in writing to the Qualified Charitable Organizations to which the release applies.

4. An employee or annuitant who at one time "releases" his or her name may later rescind that authorization by submitting a letter to the Qualified Charitable Organization. The letter may be submitted to the Advisory Board, which will then forward the letter to the Qualified Charitable Organization.

c) Giving to be voluntary

1. All solicitation activities shall be designed and conducted to elicit voluntary giving. Actions that coerce an employee or annuitant into giving, or create the appearance that employees or annuitants must give, are not permitted.

2. The following actions are prohibited for the Qualified Charitable Organizations:

A) requesting or encouraging that employees be solicited by their supervisor or by any individual in their supervisory chain of command. (This does not prohibit requesting the head of a department or agency to demonstrate support of SECA in employee or annuitant newsletters or other general communications.)

B) asking supervisors about whether an employee chose to participate or not to participate or the amount of an employee's contribution.

C) setting, requesting or encouraging that a department or agency set 100% participation goals or other goals that would imply compulsory participation.

D) encouraging contributions to particular organizations.

d) Qualified Charitable Organization Participation

1. Each Qualified Charitable Organization shall participate in a minimum of three SECA Advisory Board meetings per year.

2. Each Qualified Charitable Organization shall attend two SECA events during each campaigning period.

e) Any charity that wishes to participate in SECA, either directly or indirectly through a united or umbrella organizational arrangement, shall comply with this Code of Campaign Conduct. If the participating charity is part of a united or umbrella organization, that umbrella or united organization shall be responsible for informing each of its participating charities of the Code of Campaign Conduct.

History

• Source: Amended at 29 Ill. Reg. 2244, effective February 1, 2005

80 Ill. Adm. Code 2650.50 Violation of Code of Campaign Conduct

a) Any employee, annuitant, governmental agency, university, or Qualified Charitable Organization with a complaint regarding SECA activities may submit a written complaint accompanied by supporting documentation to the Department.

b) Within ten working days after receipt of the complaint, the Department shall contact the party subject of the complaint and supply them with a copy of the written complaint and supporting documentation. The party subject of the complaint shall submit a response to the Department within 10 days after receipt of the complaint or the decision will be made without input from that party. Within ten working days after receiving the response, the Department will respond to the complainant denying the complaint, identifying the proposed resolution or taking other action, which may include conducting a hearing.

c) Any such decision of the Department may be appealed to the Committee on Campaign Conduct within 10 calendar days after receipt of the response to the complaint.

d) The goal of the Committee shall be to act on the appeal, which may include holding a public hearing, and make a final determination within 10 working days after receipt of the appeal.

e) A Qualified Charitable Organization, or a benefiting agency of a Qualified Charitable Organization, may be denied participation in the SECA campaign for failure to comply with this Code of Campaign Conduct. Denial shall be for the next entire campaign period. Early reinstatement will be considered if the organization provides sufficient assurance that it will comply with these Code of Campaign Conduct rules. Restrictions may be placed on the Qualified Charitable Organization or benefiting agency if allowed early reinstatement. Suspension from a campaign shall not require a Qualified Charitable Organization to again meet basic qualifying criteria as set forth in the statute.

f) To help other Qualified Charitable Organizations avoid suspension, the Department may circulate written reminders of conduct or actions as outlined in Section 2650.40 that are or have been found to be violations of the Code. If the Qualified Charitable Organization receives three reminders and the violation is not remedied within the period of time specified in the reminder, the Committee may deny the Qualified Charitable Organization participation in the next entire campaign period.

History

• Source: Amended at 29 Ill. Reg. 2244, effective February 1, 2005

80 Ill. Adm. Code 2650.60 Committee on Campaign Conduct

a) The Committee shall consist of the Director, the Director of the Lt. Governor's Office on Voluntary Action (LGOVA) and three members of the Advisory Board to be named by the Director, not affiliated with any of the Qualified Charitable Organizations. In the event it is determined that any person named to the Committee is affiliated with any of the Qualified Charitable Organizations, the Director will name a substitute. For purposes of this paragraph, a person shall be deemed to be affiliated with a Qualified Charitable Organization if such person is on the Board of Directors of such organization or of any member agency of such organization or a paid employee of such organization or member agency of such organization.

b) The Director of the Lt. Governor's Office on Voluntary Action shall serve as chair and provide staff for the Committee. The Committee shall choose a Vice-chair to serve in the Chair's absence.

c) A quorum of those on the Committee shall be required to transact business except where action is taken to deny participation in SECA to a Qualified Charitable Organization in which case four-fifths of the Committee members must be present to take any such action.

d) Committee meetings shall be conducted pursuant to the Open Meetings Act [5 ILCS 120].

History

• Source: Amended at 26 Ill. Reg. 5761, effective April 4, 2002

80 Ill. Adm. Code 2650.70 Allocation of Expenses to Seca Participants Membership

a) The Department shall allocate expenses in any of the following manners:

1. Expenses will be divided pro rata among all participating Qualified Charitable Organizations based on contributions from the prior campaign year.

2. In any year in which a Newly Qualified Charitable Organization is participating, each such Newly Qualified Organization will contribute an amount equal to Y, where Y will be calculated as follows:

1

X

Total expenses

X

.8

=

Y

total number of

participating organizations

For purposes of allocating expenses to the remaining Qualified Charitable Organizations, the amounts allocated to the Newly Qualified Charitable Organizations will then be subtracted from the total expenses, and the remainder will be divided pro rata among all the remaining Qualified Charitable Organizations based on percentage of total contributions received in the prior campaign year.

3. Expenses will be divided among all organizations that participate directly in the SECA Campaign as a Qualified Charitable Organization or that benefit from the SECA Campaign by receiving a distribution from a Qualified Charitable Organization.

b) Each Qualified Charitable Organization will have 60 days after receipt of its assessment to submit payment. Newly Qualified Charitable Organizations will pay one half of their assessment by October 1 and the balance by March 1.

History

• Source: Amended at 29 Ill. Reg. 20661, effective December 7, 2005

Chapter IV Board of Trustees of the University of Illinois

Part 2675 University Rules on Charitable Fund Drive for the Urbana-Champaign Campus

80 Ill. Adm. Code 2675.10 Scope

The University of Illinois is authorized to adopt its own rules for withholding from an officer's or employee's salary or wages an amount in accordance with the Voluntary Payroll Deductions Act of 1983 [5 ILCS 340].

80 Ill. Adm. Code 2675.20 Definitions

The words used in this Part are used with the same meaning assigned to them by statute unless clarified below.

"Campus Charitable Fund Drive Advisory Board" means the Board appointed by the Chancellor on an annual basis at the Urbana-Champaign campus to administer the annual Campus Charitable Fund Drive and to approve all campaign materials distributed to employees.

"Campus Charitable Fund Drive Participating Umbrella Organization or Agency" means those umbrella organizations or agencies which are qualified to participate in the annual Campus Charitable Fund Drive.

"Local and Community Service Funding" means the level of funding provided by the agency within Champaign County and the contiguous counties of Douglas, Ford, Piatt and Vermilion.

"State Qualified Agency" means those agencies affiliated with or members of agencies who have been determined to be qualified organizations by the State Comptroller under the Voluntary Payroll Deductions Act of 1983.

"Umbrella Organization or Agency Contact Person" means an individual employed by an agency or umbrella organization with an office or domicile within the State of Illinois who is listed on the application and available to answer inquiries.

80 Ill. Adm. Code 2675.30 Identification of Organization

a) The Campus Charitable Fund Drive Advisory Board (hereinafter referred to as the "Advisory Board") recognizes agencies or organizations which are eligible under the Voluntary Payroll Deductions Act of 1983 as being eligible to be included in the Campus Charitable Fund Drive (hereinafter referred to as "CCFD") as long as the agency or organization complies with the requirements of this Part.

b) An agency or organization which is a State Qualified Agency as determined by the State Comptroller under the Voluntary Payroll Deductions Act of 1983 and which complies with the requirements of this Part will be designated as a "Campus Charitable Fund Drive Participating Umbrella Organization or Agency" (hereinafter referred to as a "Participating Agency").

c) Applications from new State Qualified Agencies who wish to be included in the CCFD must be received or postmarked no later than January 1 preceding the fall campaign and shall be addressed to the Advisory Board, Office of the Vice Chancellor for Administration and Human Resources, Swanlund Administration Building, 601 East John Street, Champaign, Illinois 61820.

80 Ill. Adm. Code 2675.40 Contents of Application

a) Each State Qualified Agency or umbrella organization must provide to the Advisory Board the name of the agency, the name of an agency contact person, and an office address and phone number for the agency contact person.

b) Each application will include the designation of at least one official representative with signature authorization, who can provide photographic identification upon request and who will be responsible for collection of cash/check contributions from the Cashiering Office within 60 days after the close of the CCFD.

c) Each application shall include a certification that the agency or organization is a State Qualified Agency under the provisions of the Voluntary Payroll Deductions Act of 1983. Evidence that an agency or organization is a State Qualified Agency shall at a minimum be a letter from the State Comptroller designating the agency or organization as a qualified organization.

d) Each application shall include the most recent annual audit and a management letter signed by the president or other authorized officer and the chief fiscal officer or independent auditor stating the administration and fund-raising expenses as a percentage of total expenditures, along with an address and telephone number of an office where donors can obtain information about local and community service funding.

e) Each application shall include a full description of the services provided by the agency or organization and an expression of interest in being included in the CCFD.

f) Within 15 working days, the Advisory Board will inform each applying agency or organization whether its application is complete. Failure to file a complete application by January 1 preceding the fall campaign will make the applicant ineligible to participate in the immediately following fall campaign.

80 Ill. Adm. Code 2675.50 Annual Requirements for Campus Charitable Fund Drive Participating Umbrella Organization or Agency

a) Each Participating Agency which submits an application to the Advisory Board shall agree to pay an equal share of the cost of running the campaign on the Urbana campus, at a cost not to exceed $1,000.00 per year for each agency. The equal share will be determined by dividing the total cost of the CCFD campaign materials by the number of Participating Agencies.

b) The Advisory Board shall inform each Participating Agency in writing of its share of the cost of running the campaign by February 15 preceding the fall campaign.

c) Failure to pay the Participating Agency's equal share of the campaign expenses by March 15 preceding the fall campaign will make the Participating Agency ineligible for inclusion in the fall campaign.

d) A Participating Agency whose participation is being cancelled for failure to pay its fair share of the campaign expenses will receive a 10-day notice of the cancellation as long as their application has been determined to be complete by the Advisory Board.

e) By March 15 preceding the fall campaign, each continuing Participating Agency shall provide the information listed in Section 2675.40(c), (d), and (e). If any change has occurred since the previous fall campaign in the information to be provided in Section 2675.40(a) and (b), then the continuing Participating Agency shall provide the most recent information.

80 Ill. Adm. Code 2675.60 Methods of Giving

a) The University of Illinois at Urbana will offer payroll deductions to qualified organizations within the limitations of the current University payroll system.

b) Contributions of cash and checks will be accepted as donations on behalf of Participating Agencies who are eligible to participate in the CCFD.

c) The Advisory Board will publish an annual CCFD pledge card and brochure which will cover the collection and designation procedures to be used, provide information about the Participating Agencies, and encourage employee giving.

Chapter I Illinois State Board of Investment

Part 2700 State (of Illinois) Employees' Deferred Compensation Plan

80 Ill. Adm. Code 2700.100 Establishment of Plan

a) The rules adopted in this part shall constitute the State Employees' Deferred Compensation Plan ("Plan").

b) When effective this Plan shall succeed and replace all Prior Plans. All accounts established and amounts deferred and invested under Prior Plans shall be subject to and administered under the rules of this Plan.

80 Ill. Adm. Code 2700.110 Purpose of Plan

a) The purpose of this Plan is to allow Employees to designate a portion of their Compensation to be withheld each month by the State of Illinois and invested at the discretion of and in a manner approved by the Board in accordance with section 457 of the Code until Severance of Employment, Unforeseeable Emergency or death of the Employee.

b) Participation in this Plan shall not be construed to establish or create an employment contract between the Employee and the State of Illinois.

History

• Source: Amended at 33 Ill. Reg. 13451, effective September 14, 2009

80 Ill. Adm. Code 2700.120 Economic Growth and Tax Relief Reconciliation Act of 2001 Good Faith Amendment (repealed)

History

• Source: Repealed at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.125 Forms

Forms necessary for Participants to exercise the options available to them through the Plan can be provided by either the Department or the Recordkeeper, unless specifically indicated otherwise in this Part. Changes can be made through paper forms, phone, and/or online depending on the administrative needs of the Department or the Recordkeeper.

History

• Source: Amended at 47 Ill. Reg. 12412, effective August 4, 2023

80 Ill. Adm. Code 2700.200 Definitions

a) Whenever used in the Plan, the following terms shall have the meanings set forth in this Section unless otherwise expressly provided, and when the defined meaning is intended, the term is capitalized:

"Account Balance" means the bookkeeping account maintained with respect to each Participant that reflects the value of the Deferred Compensation credited to the Participant, including Annual Deferrals, the earnings or loss of the Investment Option (net of Investment Option expenses) allocable to the Participant, any transfers for the Participant's benefit, any distribution made to the Participant or the Participant's Beneficiary, the value of any outstanding Participant Loans and as adjusted for Loan repayments and as otherwise provided in the Plan. If a Participant has more than one Beneficiary at the time of the Participant's death, then a separate Account Balance shall be maintained for each Beneficiary. The Account Balance includes any subaccount established for rollover contributions, Roth rollover contributions, Roth Contributions, and plan-to-plan transfers made for a Participant, the account established for a Beneficiary after a Participant's death, and any account or accounts established for an alternate payee (as defined in Code section 414(p)(8).

"ACH Debit" or "Automated Clearing House Debit" means an electronic system that allows a payee, with approval of the payer, to initiate a debit from the payer's bank account.

"Alternate Retirement System" means this Plan, which is described in section 457 of the Internal Revenue Code, when used for purposes of Code section 3121(b)(7)(F) to exclude contractual employees from mandatory Social Security coverage.

"Annual Deferral" means the amount of Compensation deferred in any year.

"Applicable Dollar Amount" means the amount of Compensation allowed to be deferred in any calendar year as established under Code section 457(e)(15).

"Auto-Enrollment Eligible Employee" means an Employee who, on or after July 1, 2020, becomes an active member or Participant of a retirement system created under Article 2, 14, or 18 of the Illinois Pension Code [40 ILCS 5].

"Auto-Enrolled Participant" means a Participant who was automatically enrolled in the Plan and who has not made an affirmative deferral election regarding their Deferred Compensation rate, including opting out of the Plan in accordance with Section 2700.410.

"Auto-Enrollment Opt-Out Period" means the 30-day period following the start date of an Employee's employment with an Employer during which Auto-Enrollment Eligible Employees may withdraw from participation in automatic enrollment into the Plan.

"Auto-Enrollment Withdrawal Period" means the 90 days following the end of the Auto-Enrollment Opt-Out Period.

"Beneficiary" means the person, persons or legal entity entitled to receive any undistributed Deferred Compensation that becomes payable in the event of the Participant's death, as designated by the Participant, or provided for in accordance with the Plan.

"Board" means the Illinois State Board of Investment.

"Code" means the Internal Revenue Code (26 U.S.C. 1 et seq.), as amended, or any successor statute.

"Compensation" means all cash Compensation for services to the State, including salary, wages, fees, commissions, bonuses, and overtime pay, that is includable in the Employee's gross income for the calendar year but for a Compensation reduction election under Code section 125, 132(f), 401(k), 403(b) or 457(b).

"Custodial Account" means the fund created under and subject to the Custodial Agreement.

"Custodial Agreement" means the written agreement made by and between the State and the Custodian under which the Custodial Account is maintained.

"Custodian" means a bank, as described in section 408(n) of the Internal Revenue Code, or a person who meets the non-bank trustee requirements in accordance with the regulations under Code section 408(a)(2) relating to the use of non-bank trustees.

"Deferred Compensation" means that portion of the Participant's Compensation that the Participant defers under this Plan through either Pre-Tax Contributions and/or Roth Contributions.

"Deferred Compensation Account" means an account established under the Plan that is the basis for any distribution payable to the Participant under Section 2700.730, including any subaccounts under the Deferred Compensation Account.

"Delayed Distribution Date" means the date a Participant elects to make a decision regarding distribution of the Participant's account.

"Department" means the Department of Central Management Services of the State of Illinois.

"Designated Beneficiary" means an individual designated as a beneficiary by the Participant in accordance with Section 2700.415.

"Eligible Designated Beneficiary" means a Designated Beneficiary who is the Participant's surviving spouse, the Participant's child who has not reached the age of majority, a chronically ill person, a disabled person, or any other person who is not more than ten years younger than the Participant, as defined in Code section 401(a)(9)(E)(ii).

"Employee" means any person, including a person elected, appointed or under contract, receiving Compensation from the State for personal services rendered, including salaried persons [40 ILCS 5/24-102], except that any person under contract with the Employer shall be eligible only to the extent the Internal Revenue Service or the Illinois Department of Revenue shall permit or approve.

"Employer" means the State of Illinois, including all officers, boards, commissions and agencies created by the Illinois Constitution, whether in the executive, legislative or judicial branch, all officers, departments, boards, commissions, agencies, institutions, authorities, universities, bodies politic and corporate of the State; administrative units or corporate outgrowths of the State government that are created by or pursuant to statute other than units of local government and their officers, school districts and boards of election commissioners; and all administrative units and corporate outgrowths of these entities as may be created by executive order of the Governor.

"Hardship Committee" means a committee that is responsible for determining whether any Participant has suffered an Unforeseeable Emergency and is entitled to a distribution as provided under Section 2700.740, as well as determining Loan claims appeals as provided under Section 2700.770.

"Includable Compensation" means the Employee's actual wages in box 1 of Form W-2 for a year for services to the State, as defined in Code section 457(e)(5).

"Investment Option" means any and all investment vehicles established by the Board for the investment of Deferred Compensation.

"Loan" means a Participant loan described in Section 2700.770.

"Minor" means a Beneficiary who is under age 18 at the time a benefit under this Plan becomes payable to him or her, unless Illinois law defines another age.

"Minority Option" means an Investment Option with a minority-owned firm that has documented State certification.

"Normal Retirement Age" means age 70½ unless the Participant has elected an alternative Normal Retirement Age by written instrument delivered to the Department within 30 days after the Participant's Severance of Employment as provided in Section 2700.510. A Participant's Normal Retirement Age determines:

the latest time when benefits may commence under this Plan (unless the Participant continues employment after Normal Retirement Age); and

the period during which a Participant may utilize the 3-year Catch-up provision of Section 2700.440.

For purposes of clarification: Normal Retirement Age for purposes of the catch-up provision of Section 2700.440 can be no later than age 70½, and benefits must commence no later than the time prescribed in Code section 401(a)(9) (notwithstanding the election of any alternative retirement age to the contrary).

"Participant" means any Employee who has enrolled in this Plan as provided in Section 2700.410 and has not had a complete distribution of their Deferred Compensation Account.

"Pay Agency" means any State or State-Related (e.g., State universities, constitutional offices) agency, including Employers, responsible for calculating, deducting, and applying retirement plan deferral amounts for Employees' paychecks. A Pay Agency is also any State or State-Related agency responsible for the communication and/or transmission of retirement plan deferral amounts to other Employers.

"Pay Period" means an accounting period established by the State of Illinois for measuring and paying Compensation earned by Employees. A Pay Period may be monthly, semi-monthly, bi-weekly or another period determined by the Employer.

"Plan" means the State (of Illinois) Employees' Deferred Compensation Plan, as set forth in this Part.

"Plan Year" shall be the tax year as established by the Comptroller for payroll purposes.

"Pre-Tax Contributions" means a Participant's Deferred Compensation that is not includible in the Participant's gross income at the time deferred. A Participant's Pre-Tax Contributions will be separately accounted for, including gain or loss attributable to those Pre-Tax Contributions.

"Prior Plan I" means the State Employees' Deferred Compensation Plan approved and adopted by the Board on September 10, 1976.

"Prior Plan II" means the State Employees' Deferred Compensation Plan approved and adopted by the Board on May 18, 1979.

"Prior Plan III" means the State Employees' Deferred Compensation Plan (80 Ill. Adm. Code 2700) adopted at 7 Ill. Reg. 10845, effective August 31, 1983.

"Recordkeeper" means the non-fiduciary, non-discretionary entity that, under contract with the Board, performs functions as directed by the Board or Department, as appropriate, as described in this Part, in its contract with the Board, and as described in any other written agreements with the Board and/or the Department.

"Roth Contributions" means a Participant's Deferred Compensation that is includible in the Participant's gross income at the time deferred. A Participant's Roth Contributions will be separately accounted for, including gain or loss attributable to those Roth Contributions.

"Severance from Employment" means the permanent severance of the Participant's employment relationship with the Employer by means of:

retirement;

discharge;

resignation, provided seniority or continuous service is interrupted;

layoff, unless there is a designated date for return to paid status;

expiration or non-renewal of contract, appointment or term of office;

nonreelection; or

other form of permanent severance as may be provided by appropriate law, contract or rules and regulations.

For the purposes of this definition, neither a break in State service for a period of less than 30 days nor transfers among various branches of State Government shall be considered a Severance from Employment.

An independent contractor is considered to sever service with the Employer upon the expiration of all contracts under which services are performed for the Employer, if the expiration constitutes a good faith and complete termination of the contractual relationship.

"State" means State of Illinois.

"Unforeseeable Emergency" means severe financial hardship to the Participant resulting from an unexpected illness or accident of the Participant or of a dependent of the Participant, loss of the Participant's property due to casualty, or other similar extraordinary and unforeseeable circumstances arising as a result of events beyond the control of the Participant.

"Valuation Date" means the date on which an Investment Option is valued and earnings and/or losses are allocated to Participants' Deferred Compensation Accounts. There shall be a Valuation Date at least once a month and, if practical at the discretion of the Board, more frequent Valuation Dates to reflect, as closely as possible, the earnings and/or losses of any particular Deferred Compensation Account from the time Compensation is deferred and invested in various Investment Options until it is eventually distributed according to the Plan. It may also include each business day/the last day of the calendar month/the last day of the calendar quarter/each December 31.

b) Except when otherwise indicated by context, any masculine terminology shall also include the feminine and neuter and vice-versa, and the definition of any terms in the singular may also include the plural.

History

• Source: Amended at 47 Ill. Reg. 12412, effective August 4, 2023

80 Ill. Adm. Code 2700.300 Responsibilities of the Department

a) Subject to the general supervision of the Board as provided in Section 2700.310, the Department has the full authority to administer the Plan and promulgate, adopt, amend or revoke internal management procedures that are consistent with, and necessary to implement and maintain, this Plan.

b) The Department, or Recordkeeper, will communicate the obligations contained in this Plan and other information as the Department deems necessary to administer the Plan (e.g., Participant biographical information).

c) The Department shall work with the Pay Agency and Recordkeeper as needed to withdraw and return any excess amount deferred consistent with Section 2700.440(f). This subsection (c) does not apply to Loan repayments under Section 2700.770.

d) Pamphlets describing this Plan and outlining the options and opportunities available shall be made available to eligible employees.

History

• Source: Amended at 46 Ill. Reg. 15777, effective August 31, 2022

80 Ill. Adm. Code 2700.310 Responsibilities of the Board

a) The Board has the responsibility for general supervision of the Plan, which shall include, but not be limited to:

1. establishment of the Plan;

2. approving or disapproving any proposed changes in the Plan;

3. if deemed necessary by the Board, obtaining Internal Revenue Service and Illinois Department of Revenue approval for the Plan or any amendments to the Plan;

4. reviewing any and all proposed investment offerings, each of which must be determined acceptable by the Board prior to being utilized for the investment of Deferred Compensation;

5. providing the Recordkeeper with the most recent copy of the Plan, the Plan's administrative policies, procedures and forms, the Plan's Investment Options and all Plan data and other documents necessary to perform its functions;

6. maintaining the tax qualification of the Plan under section 457 of the Code;

7. reviewing, selecting and approving the Recordkeeper and the services to be provided by the Recordkeeper; and

8. resolving all benefit claims and claims appeals under the Plan, including, but not limited to, resolving all Loan claims and Loan claims appeals under the Plan.

b) Following approval by the Board of one or more types of investments, if any, to be offered to Participants, the Board shall prepare specifications and make them available to known administrators or providers of that type of investment.

c) The selection of the successful bidder for each investment shall be based on the bidder's relative ability to provide the program as specified. The Board shall have the authority to:

1. waive minor informalities in bidding;

2. accept more than one bid; and

3. reject any and all bids.

d) The Board has the responsibility for selecting the custodians to hold the assets of the Plan in accordance with section 457(g) of the Code and for entering into related custodial agreements in connection with the Plan.

History

• Source: Amended at 36 Ill. Reg. 17518, effective January 1, 2013

80 Ill. Adm. Code 2700.311 Standards Governing the Selection of Investment Options

a) The Board, in consultation with investment staff and an independent investment consultant, is responsible for the selection and monitoring of the Investment Options for the Plan.

b) The objective of the Board is to offer a sufficient range of Investment Options with materially different risk and return characteristics to allow Plan Participants, by choosing among those Investment Options, the opportunity to diversify their account balances and construct portfolios consistent with their unique individual circumstances, goals, time horizons, and tolerance for risk.

c) The screening process used by the Board to select Investment Options for inclusion in the Plan will consider attributes relevant to the specific asset class and search objective, as developed by the investment staff and investment consultant. The attributes for passively managed investment options designed to track the return and risk characteristics of a specific index may differ from the attributes considered for actively managed strategies. The Board's screening process for certain attributes may differ from the following selection criteria in an effort to identify the most suitable Investment Options. Attributes may include, but are not limited to, the following:

1. Registration with the Securities and Exchange Commission under the Investment Advisors Act of 1940 (15 U.S.C. 80b-1 through 80b-21);

2. A minimum number of years of verifiable firm and team performance history;

3. A minimum number of years for portfolio manager tenure and experience;

4. Robustness of firm's investment philosophy and process;

5. Historical performance and risk review of cumulative, annual and rolling time periods;

6. Classification of style to determine the basis to compare to other investment managers and investment options with similar investment style/strategy and to determine if there has been deviation from style over time;

7. A minimum level of product and strategy size;

8. Firm's trading, back office, accounting, reporting and client servicing capabilities; and

9. Fees.

d) The Board's review and/or evaluation process is expected to consist of the following criteria, as appropriate, and reviews are expected to be conducted in light of full market cycles.

1. Quantitative criteria to be used by the Board to select Investment Options may include, but are not limited to, the following:

A) Adherence to clearly defined investment objectives and style of discipline over time.

B) Historical performance of annual and rolling time periods, and risk metrics such as beta, standard deviation, Sharpe ratio, information ratio, and down-market and up-market capture, versus peers and applicable market indexes.

C) Investment management fees and any additional fees (e.g., 12-b1, administrative, redemption).

D) Sufficient investment strategy and fund assets under management to accommodate the assets of the Plan.

2. Qualitative criteria to be used by the Board to select Investment Options may include, but are not limited to, the following:

A) Investment philosophy and process, including the strategy objective, discipline, valuation process, implementation, and research capabilities;

B) Personnel structure, including portfolio manager and research team experience, quality, tenure, and turnover;

C) Business goals and structure, including ownership, compensation, and incentive practices;

D) Demonstrated commitment to operations and technology efficiencies; and

E) Willingness, pursuant to contract between the Board, on behalf of the Plan, and the investment manager, to meet specified requirements, including the obligation to meet with Board staff and consultant as requested for a review of the performance of the Investment Option.

e) The Board shall use best efforts to include representation of emerging investment managers and minority investment managers in the Plan. The Plan shall seek to include at least one Investment Option managed by a State certified minority money manager, unless the Board determines that no such entity exists that conforms to the Board's fiduciary responsibility.

f) An independent investment consultant shall be responsible for performing thorough due diligence on each Investment Option, monitoring the performance of the Investment Options on an ongoing basis, and providing a quarterly report to the Board that addresses the performance of each Investment Option relative to the appropriate index and peer universe.

g) The selection of Investment Options for the Plan will occur in an environment of full disclosure characterized by competitive selection, objective evaluation and proper documentation. The overriding consideration with respect to all decisions made by the Board concerning the Plan is that the decisions be made solely in the best interests of the Plan's Participants and Beneficiaries. The following protocols guide the Board's selection of Investment Options for the Plan:

1. The Board shall select Investment Options for the Plan, in consultation with its investment staff and independent investment consultant, through a competitive proposal process, using uniform documents for the solicitation, review and acceptance of the Investment Option. Uniform documents may vary by the investment structure of an Investment Option. The Board may deviate from this process only if, in consultation with its investment staff and independent investment consultant, it determines that an emergency procurement is in the best interest of the Plan's Participants.

2. The competitive proposal documents shall contain, at a minimum:

A) a description of the goal to be achieved;

B) the particular strategy of Investment Option;

C) the need for the Investment Option;

D) the qualifications that are necessary; and

E) a plan for post-performance review by the Board's investment consultant.

3. The Board and its investment consultant shall determine parameters for the Investment Option search. Advertisements for the Investment Option search shall be placed in one or more industry periodicals at least 14 days before the response is due.

4. All interested respondents shall return their responses to the Board, as directed by the proposal document. Investment staff and investment consultant shall open the responses, record them and thoroughly review each for content, quality and compliance with proposal document requirements.

5. Following review and evaluation of the responses from interested firms, the field of candidates is narrowed to a smaller list of the most highly qualified Investment Options. At this point, the Board's investment staff and investment consultant will meet with representatives of each Investment Option to obtain an independent assessment of each option's capabilities.

6. Following the interviews with the selected Investment Options, the Board's investment staff and investment consultant will recommend to the Board one or more Investment Options for the Plan. Generally, the finalists appear before the Board to present their qualifications.

7. The Board will accept or modify the recommendation and is tasked with making the final decision with respect to the Investment Options for the Plan.

8. Subsequent to the Board's decision, the Board's legal counsel, investment staff and investment consultant will coordinate with representatives of the Investment Option, Department and the Recordkeeper, in order to provide an appropriate transition for the new Investment Option into the Plan and provide appropriate notice of the transition to the Plan.

History

• Source: Amended at 47 Ill. Reg. 12412, effective August 4, 2023

80 Ill. Adm. Code 2700.312 Responsibilities of the Pay Agency

a) The Pay Agency shall receive salary deferral elections and revocations from the Recordkeeper and the Department and then apply them to the first appropriate Pay Period and ongoing Pay Periods according to the rules of the Plan.

b) The Pay Agency shall monitor for and suspend a Participant's deferrals for the remainder of the calendar year when the Participant has deferred the allowable maximum.

c) The Pay Agency shall work with the Department and Recordkeeper as needed to withdraw and return any excess amount deferred consistent with Section 2700.440(f). This subsection (c) does not apply to Loan repayments under Section 2700.770.

History

• Source: Added at 46 Ill. Reg. 15777, effective August 31, 2022

80 Ill. Adm. Code 2700.315 Responsibilities of the Recordkeeper

The Recordkeeper shall:

a) accept Plan contributions from the Department and cause those contributions to be invested among the Investment Options, as directed by the Participant;

b) accept Plan enrollments and deferral elections from Participants on behalf of the State of Illinois containing the amounts and/or percentages of Compensation to be deferred and communicate any changes to the Pay Agencies;

c) process distributions upon receipt of information from the Department that indicates that a Participant is eligible for distribution;

d) process changes to Investment Options, as directed by the Board;

e) process changes to investment allocations, as requested by the Participant, provided that the allocation is made to one of the available Investment Options and that the allocation reconciles with the Department's instructions, based upon the request from the Participant, for allocating the contribution;

f) provide the production, printing and assembly of enrollment kits for distribution to eligible employees and provide enrollment representatives to assist with employee meetings;

g) prepare and distribute any notices required under Internal Revenue Code, including but not limited to annual notices to Participants who are automatically enrolled in the plan pursuant to Section 2700.410.

h) process all requests for hardship distribution due to an Unforeseeable Emergency resulting from:

1. payment for the burial or funeral expenses for the parent, spouse and/or qualifying dependent of the Participant;

2. costs associated with preventing eviction from, or foreclosure on the mortgage of, the Participant's primary residence;

3. expenses for the repair of damage to the Participant's principal residence that would qualify for the casualty deduction under section 165 of the Code (regardless of whether the loss exceeds 10% of the Participant's adjusted gross income) beyond insurance reimbursement;

4. unreimbursed medical expenses resulting from sudden illness or accident of the Participant or the Participant's spouse and/or qualifying dependents;

5. expenses and losses, including loss of income, incurred due to a disaster declared by the Federal Emergency Management Agency (FEMA) where the Participant's principal residence or principal place of employment is located in an area for which FEMA is providing individual assistance for the disaster; or

6. other extraordinary and unforeseeable circumstances arising as a result of events beyond the Participant's control that create a financial hardship;

i) review and forward all requests for hardship distribution for an Unforeseeable Emergency as governed by 26 CFR 1.457-6 (2012), resulting from a cause not contemplated in subsection (h) to the Hardship Committee for review and determination;

j) process all Loan applications, Loan repayments, Loan defaults and reamortizations;

k) communicate with Participants regarding the Plan's Participant Loan feature and notify Participants regarding delinquent Loan payments and other Loan-related matters;

l) prepare and distribute quarterly account statements to Participants;

m) communicate with Participants regarding the costs and available Investment Options under the Plan, matters relating to investment education, and other information required in order to maintain qualification of the Plan or as otherwise agreed with the Board or the Department;

n) enter data provided by the Department into its recordkeeping system for the proper operation and maintenance of the records of the Plan;

o) provide Code section 457 compliance monitoring, monitor for compliance with laws governing the use of electronic media for providing employee benefits notices and making benefit elections and consents, and monitor distributions in the normal course, plan-to-plan transfers, Loans and rollovers to ensure compliance with the terms of the Plan;

p) provide Participant access to daily pricing valuations through its on-line access system, as well as provide directions and/or direct links to other pricing calculators when applicable;

q) monitor, calculate and process required minimum distributions under Section 401(a)(9) of the Code; and

r) accept and store beneficiary designations made by Participants on or after June 15, 2020.

History

• Source: Amended at 47 Ill. Reg. 12412, effective August 4, 2023

80 Ill. Adm. Code 2700.320 Deferred Compensation Hardship Committee

a) A Hardship Committee shall be formed that shall be responsible for determining whether any Participant has suffered an Unforeseeable Emergency and is entitled to a distribution under Section 2700.740 of this Part.

b) Members of the Hardship Committee shall include:

1. one Department employee;

2. one representative of the Board; and

3. one person appointed by the Department who is not an employee of the Department.

c) Members of this Committee shall be entitled to defer Compensation so long as they are otherwise eligible; however, no member of the Hardship Committee shall make any determination with respect to any interest that he or she may have under the Plan.

History

• Source: Amended at 33 Ill. Reg. 13451, effective September 14, 2009

80 Ill. Adm. Code 2700.330 Applicable Law

This Plan shall be construed, administered and governed in all respects under and by the laws of the State of Illinois and the Code.

80 Ill. Adm. Code 2700.400 Eligibility

All Employees shall be eligible to participate in the Plan and defer Compensation immediately upon becoming employed by the Employer.

History

• Source: Amended at 46 Ill. Reg. 15777, effective August 31, 2022

80 Ill. Adm. Code 2700.410 Enrollment

a) Auto-Enrollment Eligible Employees

1. An Auto-Enrollment Eligible Employee may make one of two affirmative elections during the Auto-Enrollment Opt-Out period:

A) Not to have Contributions made; or

B) To become a Participant in the Plan under subsection (b).

2. An Auto-Enrollment Eligible Employee who does not make one of the two affirmative elections under subsection (a)(1) during the Auto-Enrollment Opt-Out Period will be automatically enrolled and become a Participant of the Plan following the end of the Auto-Enrollment Opt-Out Period and shall have 3% of their Compensation for each Pay Period deferred on a pretax basis into their Deferred Compensation Account. The Board may increase this default percentage amount of compensation deferred into employee accounts. (See Section 24-105.2 of the Illinois Pension Code.)

b) Any Employee eligible to participate in the Plan may become a Participant by agreeing to a deferral of their Compensation on a pretax or Roth basis.

c) The amount to be deferred shall be selected by the Participant at the time of enrollment, unless the Participant is automatically enrolled under subsection (a). This amount may not be less than the minimum amount allowable or exceed the basic annual limitation.

d) The deferral shall commence as soon as administratively possible, or when the Employee is automatically enrolled in accordance with subsection (a).

e) The amount deferred may be changed by the Participant at any time. The change may be made by contacting the Recordkeeper and shall become effective as soon as administratively possible, or on a future Pay Period as elected by the Participant.

f) A Participant's request to defer Compensation shall remain in effect until the Participant's Severance from Employment, unless revoked prior to that time. The Pay Agency shall suspend deferrals for the remainder of the calendar year for Participants who have deferred the allowable maximum. If a Participant defers in excess of the allowable maximum, the Department and Pay Agency shall withdraw and return to the Participant the excess amount deferred. Deferrals will resume with the first paycheck received in the following calendar year.

g) Deferrals can be made by reductions in Compensation only.

h) The Participant election shall also include the designation of Investment Options. In the event the Participant fails to designate an Investment Option, the Participant shall be invested in the Plan's default Investment Option, consistent with the direction from the U.S. Department of Labor, as selected by the Board in accordance with Section 2700.670(c). This election shall remain in effect until a new election is filed.

i) An employee who has been automatically enrolled in the Plan may elect, within 90 days after enrollment, to withdraw from the Plan and receive a refund of amounts deferred, as well as any earnings after Plan fees. An employee making such an election shall forfeit all employer matching contributions, if any, made prior to the election. Any refunded amount shall be included in the employee's gross income for the taxable year in which the refund is issued. The effective date of the withdrawal will be as soon as administratively practicable. Unless the Participant affirmatively elects otherwise, any withdrawal request will be treated as an affirmative election to cease having elective deferrals made on the Participant's behalf.

j) After the Auto-Enrollment Opt-Out Period, an Auto-Enrollment Eligible Employee will be invested as follows:

1. If an Auto-Enrollment Eligible Employee does not have a contribution allocation on file, contributions will go into the Plan's default Investment Option, in accordance with subsection (h).

2. If an Auto-Enrollment Eligible Employee already has a contribution investment allocation on file, the existing allocation will be used instead.

History

• Source: Amended at 48 Ill. Reg. 10011, effective June 21, 2024

80 Ill. Adm. Code 2700.415 Designation of Beneficiary

a) A Participant may designate a Beneficiary or Beneficiaries who shall receive any balance in the Participant's Deferred Compensation Account in the event of the Participant's death.

b) A designation of Beneficiary shall be effective for subsequent distributions when received by the Department or the Recordkeeper. The designation shall be provided in a manner prescribed by the Department and Recordkeeper.

c) A Participant may, at any time, change their Beneficiary in a format prescribed by the Department and Recordkeeper on the Recordkeeper's website or a Participant may call the Recordkeeper to request a paper form.

d) No Beneficiary shall have any rights under this Plan until the death of the Participant who has designated the Beneficiary and a separate account has been established by the Recordkeeper.

e) Participants may designate primary and contingent Beneficiaries. A contingent Beneficiary's interest shall become effective only upon the death of any and all primary Beneficiaries, or if any and all of the primary Beneficiary designations have been found invalid.

f) If more than one Beneficiary is named in either category, benefits shall be paid according to the following:

1. Beneficiaries can be designated to share equally or to receive specific percentages.

2. If a Beneficiary dies before the Participant, only the surviving Beneficiaries shall be eligible to receive any benefits in the event of the death of the Participant. If more than two Beneficiaries are originally named to receive different percentages of the benefits, surviving Beneficiaries shall share in the same proportion to each other as indicated in the original designation.

g) A person, trust, estate or other legal entity may be designated as a Beneficiary.

h) If a Beneficiary has not been designated, or a designation is ineffective due to the death of all Primary and Contingent Beneficiaries prior to the death of the Participant, or the designation is ineffective for any reason, the estate of the Participant shall be the Beneficiary.

i) Upon the death of the Participant, any Beneficiary entitled to the value of the Deferred Compensation Account under the provisions of this Section shall become a "vested Beneficiary" and have all the rights of the Participant, with the exception of making any deferrals or applying for a Loan under the Plan.

j) Before the account can be distributed, the Beneficiary must provide the Department or the Recordkeeper with their Social Security Number and a certified copy of the Participant's death certificate.

k) In the event of a conflict between the provisions of this Section and any annuity contract purchased prior to January 1, 1999, this Section shall prevail.

History

• Source: Amended at 47 Ill. Reg. 12412, effective August 4, 2023

80 Ill. Adm. Code 2700.420 Allowable Deferrals

a) Minimum Deferrals. Each Employee who becomes a Participant must agree to defer a minimum amount of $10 per Pay Period or 1% of Compensation each Pay Period.

b) Maximum Deferrals − No limit. Participants may contribute any whole percentage or dollar amount up to 100% of currently available Compensation each payroll period, subject to the limitations under Code sections 402(g) and 415.

History

• Source: Amended at 46 Ill. Reg. 15777, effective August 31, 2022

80 Ill. Adm. Code 2700.425 Automatic Escalation of Deferred Compensation Rate for Auto-Enrolled Participants

a) All Auto-Enrolled Participants who have been enrolled in the Plan for greater than 180 days will have their Deferred Compensation rate automatically increased by 1% annually. (See Section 24-105.2 of the Illinois Pension Code.)

b) The automatic annual increases will go into effect beginning with the first pay period that begins on or after January 1 of each year or as soon as administratively practicable thereafter.

c) Automatic annual increases will continue until:

1. The Participant is no longer an Auto-Enrolled Participant; or

2. The Participant's deferral rate reaches 10% of Compensation or is otherwise limited by the Plan, including Section 2700.420 and Section 2700.430.

d) Auto-Enrolled Participants may, at any time, opt out of the next scheduled automatic annual increase and all future automatic increases by making an affirmative deferral election, including an election to cease contributions. Affirmative deferral elections will be processed in accordance with Section 2700.410.

History

• Source: Added at 47 Ill. Reg. 12412, effective August 4, 2023

80 Ill. Adm. Code 2700.430 Basic Annual Limitation

The maximum amount of the Annual Deferral under the Plan for any calendar year shall not exceed the lesser of the Applicable Dollar Amount or the Participant's Includible Compensation for the calendar year. The Applicable Dollar Amount in a calendar year is adjusted for cost-of-living, to the extent provided under section 415(d) of the Code.

History

• Source: Amended at 46 Ill. Reg. 15777, effective August 31, 2022

80 Ill. Adm. Code 2700.435 Age-based Catch-up Annual Deferral Contributions

a) A Participant who has deferred the maximum allowed by Section 2700.430 may defer an additional amount for the calendar year in which their 50th birthday occurs and all calendar years thereafter, subject to the limitation that total deferrals not exceed 100% of the Employee's Includible Compensation. This additional deferral amount shall be no more than the amount prescribed by Code section 414(v) for the calendar year, and shall be in accordance with the limitations on the amount, as adjusted from time to time by the Secretary of the Treasury pursuant to Code sections 414(v) and 457(b), or any other amount as amended or set forth by the Code.

1. An Employee who is using the catch-up provision of subsection (b) is not eligible for this catch-up deferral.

2. An Employee who is using the Special Catch-up provision of Section 2700.440 is not eligible for this catch-up deferral.

b) For tax years beginning after December 31, 2024, a Participant who has deferred the maximum allowed by Section 2700.430 may defer an additional amount for the calendar year in which their 60th birthday occurs through the calendar year in which their 63rd birthday occurs, subject to the limitation that total deferrals not exceed 100% of the Employee's Includible Compensation. This additional deferral amount shall be no more than the adjusted dollar amount prescribed by Code section 414(v)(2)(B)(i) for the calendar year, and shall be in accordance with the limitations on the amount, as adjusted from time to time by the Secretary of the Treasury pursuant to Code sections 414(v) and 457(b), or any other amount as amended or set forth by the Code.

1. An Employee who is using the catch-up provision of subsection (a) is not eligible for this catch-up deferral.

2. An Employee who is using the Special Catch-up provision of Section 2700.440 is not eligible for this catch-up deferral.

History

• Source: Amended at 49 Ill. Reg. 11174, effective August 25, 2025

80 Ill. Adm. Code 2700.440 Special Section 457 Catch-up Limitation

a) If the applicable year is one of a Participant's last 3 calendar years ending before the year in which the Participant attains Normal Retirement Age, and the amount determined under this Section exceeds the amount computed under Sections 2700.430 and 2700.435 of this Part, then the Annual Deferral limit in the Plan shall be the lesser of:

1. An annual amount equal to 2 times the Applicable Dollar Amount for the applicable year as provided for in Section 2700.430 of this Part; or

2. The sum of:

A) An amount equal to the aggregate limit, as defined in Section 2700.430 of this Part, for the current year plus each prior calendar year beginning after December 31, 2001 during which the Participant was an Employee under the Plan, minus the aggregate amount of Compensation that the Participant deferred under the Plan after December 31, 2001, plus

B) An amount equal to the aggregate limit referred to in section 457(b)(2) of the Code for each prior calendar year beginning after December 31, 1978 and before January 1, 2002 during which the Participant was an Employee (determined without regard to Section 2700.435 and this Section) minus the aggregate contributions to pre-2002 coordination plans for those years.

b) In no event can the deferred amount be more than the Participant's Compensation for the applicable years.

c) If the Participant is or has been a participant in one or more other eligible plans within the meaning of section 457(b) of the Code, then this Plan and all other eligible 457(b) plans shall be considered as one plan for purposes of applying foregoing limitations of this Section. For this purpose, the Department shall take into account any other eligible plan for which the Department receives, from the Participant, sufficient information concerning his or her participation in the other plan.

d) In applying this Section, a year shall be taken into account only if the Participant was eligible to participate in the Plan during all or a portion of the year and Compensation deferred, if any, under the Plan during the year was subject to the basic annual limitation described in Section 2700.430 of this Part or any other plan ceiling required by section 457(b) of the Code.

e) For purposes of subsection (a)(2)(B), "contributions to pre-2002 coordination plan" means any employer contribution, salary reduction or elective contribution under any other eligible Code section 457(b) plan, or a salary reduction or elective contribution under any Code section 401(k) qualified cash or deferred arrangement, Code section 402(h)(1)(B) simplified employee pension deferred arrangement, Code section 403(b) annuity contract, and Code section 408(p) simple retirement account, or under any plan for which a deduction is allowed because of a contribution to an organization described in section 501(c)(18) of the Code, including plans, arrangements or accounts maintained by the Employer or any employer for whom the Participant performed services. However, the contributions for any calendar year are only taken into account for purposes of subsection (a)(2)(B) of this Section to the extent that the total of the contributions does not exceed the aggregate limit referred to in section 457(b)(2) of the Code for that year.

f) If the Annual Deferral on behalf of a Participant for any calendar year exceeds the limitations described in subsection (a), or the Annual Deferral on behalf of a Participant for any calendar year exceeds the limitations described in subsection (a) when combined with other amounts deferred by the Participant under another eligible deferred compensation plan under section 457(b) of the Code, for which the Participant provides information that is accepted by the Department, then the Annual Deferral, to the extent in excess of the applicable limitation (adjusted for any income or loss in value, if any, allocable to the investment), shall be distributed to the Participant. The Participant shall be responsible for the proper tax reporting for any contributions in excess of the maximum deferral limitations set forth in Sections 2700.430, 2700.435 and 2700.440.

g) An Employee whose employment is interrupted by qualified military service under Code section 414(u) or who is on a leave of absence for qualified military service under Code section 414(u) may elect to make additional Annual Deferrals upon resumption of employment with the State equal to the maximum Annual Deferrals that the Employee could have elected during that period if the Employee's employment with the State had continued (at the same level of Compensation) without the interruption or leave, reduced by the Annual Deferrals, if any, actually made for the Employee during the period of the interruption or leave. This right applies for 5 years following the resumption of employment (or, if sooner, for a period equal to 3 times the period of the interruption or leave).

h) If a Participant is eligible both for the Age-based Catch-Up in Section 2700.435 and the Special Section 457 Catch-Up Limitation in Section 2700.440 in a calendar year, the rule that allows for the greater catch-up contribution applies.

History

• Source: Amended at 49 Ill. Reg. 11174, effective August 25, 2025

Chapter I Illinois State Board of Investment

Part 2700 State (of Illinois) Employees' Deferred Compensation Plan

80 Ill. Adm. Code 2700.450 Revocation of Deferral

a) Any Participant may revoke their election to have Compensation deferred.

b) Following notice of revocation, the Participant's full Compensation shall be restored as soon as administratively possible.

c) Revocation shall not cause distribution of the Participant's Account.

History

• Source: Amended at 46 Ill. Reg. 15777, effective August 31, 2022

80 Ill. Adm. Code 2700.500 Normal Retirement Age

For the purposes of this Plan, Normal Retirement Age means age 70½ unless the Participant has elected an alternative Normal Retirement Age.

80 Ill. Adm. Code 2700.510 Alternative Normal Retirement Age

a) A Participant may elect an alternative Normal Retirement Age. Such an election shall be in writing and shall be submitted to the Department.

b) A Participant's alternative Normal Retirement Age shall not be earlier than the earliest date that the Participant will become eligible to retire and receive unreduced retirement benefits under one of the following retirement systems of which the Employee is a member:

1. General Assembly Retirement System;

2. State Employees' Retirement System of Illinois;

3. State Universities Retirement System;

4. Teachers' Retirement System of the State of Illinois; or

5. Judges Retirement System of Illinois.

c) If the Participant is not eligible to receive benefits under a basic retirement plan maintained by the State, the Participant's alternative Normal Retirement Age may not be earlier than the attainment of age 50.

d) The alternative Normal Retirement Age may not be later than the date the Participant attains the age of 70½.

History

• Source: Amended at 39 Ill. Reg. 4506, effective March 16, 2015

80 Ill. Adm. Code 2700.600 Deferred Compensation Accounts

a) The State of Illinois shall establish a Deferred Compensation Account for each Participant that shall be the basis for any distributions payable to the Participant under Section 2700.730.

b) Each Participant's Deferred Compensation Account shall be credited with the amount of any Compensation deferred and shall be further credited or debited, as applicable, with:

1. any increase or decrease resulting from investments made by the State pursuant to Section 2700.670;

2. any applicable expenses incurred by the State in maintaining and administering the Plan;

3. any debits for the amount of any distribution;

4. any credit for the initial value on the effective date of the Plan of any bookkeeping account maintained under the Prior Plans; and

5. any adjustment resulting from amounts loaned, repaid or defaulted in respect of a Loan under Section 2700.770.

History

• Source: Amended at 36 Ill. Reg. 17518, effective January 1, 2013

80 Ill. Adm. Code 2700.610 Allocation of Investment Earnings or Losses

a) To the extent that Investment Options are established by the Board, Deferred Compensation Accounts shall be allocated among the Investment Options according to the investment elections in effect on behalf of the Participants. Earnings and losses of each Investment Option shall be based on the actual investment experience of the Investment Option.

b) Earnings and losses shall be measured from the Valuation Date coincident with or immediately preceding the date on which any Deferred Compensation is invested in any Investment Option to the Valuation Date coincident with or immediately preceding the date any Deferred Compensation is withdrawn from any Investment Option.

c) The amount of earnings or losses allocated to each Deferred Compensation Account shall reflect the proportion a Participant's Deferred Compensation Account in relation to the other Deferred Compensation Accounts having an interest in that Option.

History

• Source: Amended at 33 Ill. Reg. 13451, effective September 14, 2009

80 Ill. Adm. Code 2700.620 Investment Option Valuation

a) Any Investment Option under this Plan shall be valued at fair market value as of each Valuation Date.

b) Any withdrawals or distributions made under this Plan shall be made in cash by electronic transfer, or as authorized by the State.

History

• Source: Amended at 33 Ill. Reg. 13451, effective September 14, 2009

80 Ill. Adm. Code 2700.630 Administrative Costs

a) It is the intent of the Plan that it shall not be implemented or administered so as to be an expense to the State of Illinois, except for the State's obligation to pay the Deferred Compensation Accounts as provided in the Plan. Therefore, any expenses of maintaining and administering the Plan shall be borne by the Participants. Cost shall include, but not be limited to, the costs of:

1. making investments, exchanges or distributions if any;

2. collecting the Deferred Compensation;

3. providing information to Participants, Employees and other agencies of the State; and

4. administering the Plan Loan feature under Section 2700.770.

b) The method of allocating, calculating and deducting any expenses shall be determined by the Board.

c) To defray certain of the expenses incurred in administering the Plan, an asset charge at an annual rate not to exceed a cap of 1% shall be levied directly against the Account of each Participant in the Plan. This charge shall be assessed to offset certain costs incurred by the State in administering the Plan. Any asset charge shall be based on these costs, but in no case may the asset charge provided for in this subsection (c) exceed the cap of 1%.

d) A Loan origination fee may be levied against the Account of each Participant who applies for and receives a Loan from his or her Account Balance as provided in Section 2700.770.

e) In maintaining and administering the Plan, fees and expenses will also be charged in respect of the Plan's Investment Options and be reflected in the returns received from each Investment Option.

History

• Source: Amended at 36 Ill. Reg. 17518, effective January 1, 2013

80 Ill. Adm. Code 2700.640 Method of Making Investment Requests

a) A Participant shall, at the time of enrollment, make an investment request under the Plan, unless the Participant is automatically enrolled in the Plan.

b) Once made, an investment request shall continue for any deferments unless later changed by the Participant.

c) A Participant may change investment requests for future amounts of Deferred Compensation an unlimited number of times.

d) A change in investment request shall be made to the Plan's Recordkeeper by telephone notice or use of internet on-line access programs. To the extent allowed by law, the Recordkeeper shall make a Participant financially whole in situations in which a Participant's transaction request was received timely and in good order, but, due to an error or omission by the Recordkeeper, was not executed in compliance with the Participant's instructions.

e) A Participant may change an investment request governing amounts previously deferred. However, after June 1, 1994, amounts previously deferred into the stable value option shall not be exchanged directly or indirectly into a money market fund. Any exchange from the stable value option must first be exchanged into one of the other investment options for a period of 90 days.

History

• Source: Amended at 46 Ill. Reg. 15777, effective August 31, 2022

80 Ill. Adm. Code 2700.650 Participant Statements

a) Each Participant shall be provided quarterly with an accounting of his or her Deferred Compensation Account, including, but not limited to, the amount deferred and any amounts credited or debited up to the quarter end and a separate accounting showing amounts credited or debited up to the quarter end for a Participant's outstanding Loan under Section 2700.700.

b) The accounting shall be made not later than 60 days after all deferrals for the quarter have been invested.

c) Participants are responsible for notifying the Department in writing of any investment or other error within 14 days after the receipt of any statement.

d) The liability of the Plan to the Participants for administrative errors shall not exceed the amount necessary to correct the error. Errors under $5.00 will not be corrected.

History

• Source: Amended at 36 Ill. Reg. 17518, effective January 1, 2013

80 Ill. Adm. Code 2700.660 Custodial Account

a) Notwithstanding any contrary provision of the Plan, in accordance with section 457(g) of the Code, all amounts of Compensation deferred pursuant to the Plan, all property and rights purchased with these amounts, all Loans made and repaid with these amounts, and all income attributable to these amounts, property, or rights shall be held in one or more Custodial Accounts for the exclusive benefit of Participants and Beneficiaries under the Plan. For purposes of this subsection, the Custodian of any Custodial Account created pursuant to the Plan must be a bank, as described in section 408(n) of the Internal Revenue Code, or a person who meets the non-bank trustee requirements in accordance with the regulations under section 408(a)(2) of the Code relating to the use of non-bank trustees. All amounts of Compensation deferred under the Plan and all Loan repayments received shall be transferred to a Custodial Account described in section 401(f) of the Code within a period that is not longer than is reasonable for the proper administration of the accounts of Participants. The Recordkeeper shall act as agent on behalf of the Plan to take custody of Participant Loans.

b) The Participant and his or her Beneficiary shall not have any property interest whatsoever in any specific asset of the State of Illinois on account of his or her election to defer any Compensation under this Plan.

History

• Source: Amended at 36 Ill. Reg. 17518, effective January 1, 2013

80 Ill. Adm. Code 2700.670 Investment Options

a) The Board shall offer different types of Investment Options to meet various Participant investment objectives. Investment Options may consist of collective trust funds, other pooled investment vehicles, and/or mutual funds whose eligible investments, investment guidelines, and investment philosophies are governed by a prospectus or similar disclosure. Investment Options may also include separately managed accounts that are governed by an investment management agreement that would include investment guidelines. Additionally, the Board may create Investment Options consisting of the investments described in this subsection (a).

b) The Board will offer a series of target date funds that allow Participants to choose a single fund that is based on their expected target retirement date.

c) The Board will designate the target date funds as the default Investment Option for any Participant who fails to make an investment choice for their contributions.

d) The Board will establish at least one investment option within each of the following broad asset classes for the investment of Deferred Compensation:

1. Capital Preservation (Money Market or Stable Value).

2. Fixed Income (Bonds).

3. US Equity (Stocks).

4. International Equity (Stocks).

e) The Board may also establish additional Investment Options at its own discretion to serve the needs of the Plan's Participants.

f) The Board is specifically authorized to utilize outside investment managers to the extent deemed appropriate by the Board.

g) The Board also has the authority to eliminate Investment Options offered by the Plan, provided that, in such event, Participants will be given no less than 30 days' notice of the elimination and effective date. The Board will provide Participants an opportunity to direct their balances in the to-be terminated Investment Option to other Investment Options prior to the termination effective date. Balances not directed by Participants will be transferred or "mapped" to the Plans' Investment Options the Board deems appropriate.

h) The Board is authorized to adopt a custom naming convention (also known as "white labeling") that is specific to each Investment Option in the Plan, which is typically intended to more clearly represent the type of investment offered.

History

• Source: Amended at 46 Ill. Reg. 15777, effective August 31, 2022

80 Ill. Adm. Code 2700.680 In-Plan Conversions and Rollovers to the Plan

a) A Participant who is entitled to receive an eligible rollover distribution from another eligible retirement plan may request to have all or a portion of the eligible rollover distribution paid to the Plan.

b) The Department may require documentation from the distributing plan as it deems necessary to effectuate the rollover in accordance with Code section 402 and to confirm that the plan is an eligible retirement plan within the meaning of Code section 402(c)(8)(B).

c) For purposes of this Section, an eligible rollover distribution means any distribution of all or any portion of a Participant's benefit under another eligible retirement plan, except that an eligible rollover distribution does not include:

1. any installment payment for a period of 10 years or more;

2. any distribution made as a result of an Unforeseeable Emergency or other distribution that is made to a Participant;

3. any amount constituting a security interest for an outstanding Loan under the eligible retirement plan; or

4. for any other distribution, the portion, if any, of that distribution that is a required minimum distribution under Code section 401(a)(9). Code section 401(a)(9) outlines required distributions and the manner in which those distributions must be made.

d) In addition, an eligible retirement plan means an individual retirement account described in Code section 408(b), a qualified trust described in Code section 401(a), an annuity plan described in Code section 403(a) or 403(b), or an eligible governmental plan described in Code section 457(b) that accepts the eligible rollover distribution.

e) The Plan will not accept an eligible rollover distribution that includes an outstanding Loan as an asset from an eligible retirement plan.

f) The Recordkeeper, at the direction of the Department, shall establish and maintain for the Participant a separate account for any eligible rollover distribution paid to the Plan from any eligible retirement plan that is not an eligible governmental plan under Code section 457(b).

g) In addition, the Recordkeeper, at the direction of the Department, shall establish and maintain for the Participant a separate account for any eligible rollover distribution paid to the Plan from any eligible retirement plan that is an eligible governmental plan under Code section 457(b).

h) Notwithstanding any provision of this Part to the contrary, the Plan may accept a rollover contribution that consists of designated Roth Contributions from an applicable retirement plan described in Code section 402A(e)(1), but only to the extent the rollover is permitted under Code section 402(c). Additionally, a direct rollover of a distribution from a Roth Contributions Account may only be made to another Roth contribution account under an applicable retirement plan described in Code section 402A(e)(1) or to a Roth IRA described in Code section 408A, and only to the extent the rollover is permitted under Code section 402(c).

i) The Plan may allow in-plan Roth conversions. To the extent permitted by applicable law, Participants may, at their discretion, elect to convert all or a portion of their existing Pre-Tax Contributions to Roth Contributions at any time, and this conversion will not be considered a distribution under the Plan.

j) The Plan may allow indirect rollovers, in which an Employee or a former Employee with an Account Balance contributes amounts to the Plan that were previously directly paid from an eligible retirement plan providing that those assets were withdrawn within the last 60 days (unless a waiver has been granted by the IRS).

History

• Source: Amended at 47 Ill. Reg. 12412, effective August 4, 2023

Chapter I Illinois State Board of Investment

Part 2700 State (of Illinois) Employees' Deferred Compensation Plan

80 Ill. Adm. Code 2700.690 Plan-to Plan Transfers to the Plan

a) Participants who participate in another eligible governmental plan under section 457(b) of the Code may transfer assets to the Plan as provided in this Section. A transfer is permitted only if the other plan provides for the direct transfer of a Participant's interest in the other plan to the Plan.

b) The transfer is permitted only in the form of cash or other similar property deemed acceptable to the Department.

c) The Department may require documentation from the other plan as it deems necessary to effectuate the transfer in accordance with section 457(e)(10) of the Code and 26 CFR 1.457-10(b) (2012) and to confirm that the other plan is an eligible governmental plan as defined in 26 CFR 1.457-2(f) (2012).

d) The Plan will not accept a transfer from an eligible governmental plan that includes an outstanding loan as an asset.

e) The amount transferred shall be credited to the Participant's Account Balance and shall be held, accounted for, administered and otherwise treated in the same manner as an Annual Deferral by the Participant under the Plan, except that the transferred amount shall not be considered an Annual Deferral under the Plan in determining the maximum deferral under Section 2700.430 of this Part.

History

• Source: Amended at 36 Ill. Reg. 17518, effective January 1, 2013

80 Ill. Adm. Code 2700.700 Distribution Events

a) Distributions under this Plan shall be made in accordance with Code section 401(a)(9) (including, but not limited to, the Plan provisions described in Sections 2700.315 and 2700.740) and treasury regulations issued under section 401(a)(9) (26 CFR 1.401(a)(9)), including the minimum distribution incidental benefit requirement of Code section 401(a)(9)(G) and treasury regulations 1.401(a)(9)-2 through 1.401(a)(9)-9 (26 CFR 1.401(a)(9)-2 through (a)(9)-9 (2012)). However, these provisions of the Code and treasury regulations shall override the other distribution provisions of the Plan only to the extent that the other Plan provisions provide for a distribution that is less rapid than is required under the provisions of the Code and the treasury regulations.

b) In accordance with the Coronavirus Aid, Relief, and Economic Security Act (the CARES Act; 15 U.S.C. 116), the Plan will not make required minimum distributions to Plan Participants who otherwise would be required to take a required minimum distribution in calendar year 2020. 2020 required minimum distributions requested prior to the CARES Act passage may be recontributed to the Plan as provided in Section 2203 of the CARES Act.

c) In accordance with the CARES Act, the Plan will permit Plan Participants who are qualified individuals (as provided in section 2202 of the CARES Act) to request Coronavirus-Related Distributions up to an aggregate limit of $100,000 from May 29, 2020 through December 28, 2020. Plan Participants may repay all or part of the amount of a Coronavirus-Related Distribution, provided the repayment is made within 3 years after the date that the distribution was received. If repaid, the distribution will be treated as though it were repaid in a direct trustee-to-trustee transfer.

d) A Participant's Deferred Compensation Account may begin to be distributed 30 days after the date of one of the following events:

1. Severance from Employment;

2. Death; or

3. Delayed Distribution Date.

e) A Participant's Deferred Compensation Account may begin to be distributed in the calendar year in which the Participant attains age 59½.

f) A Participant's Deferred Compensation Account may begin to be distributed as soon as possible but not later than 30 days after determination of an Unforeseeable Emergency.

g) A Participant impacted by a qualified disaster as declared by the Federal Emergency Management Agency (FEMA) under Section 401 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act may begin to have their Account distributed in compliance with the conditions specified in Section 2700.780.

h) A Participant, with $7,000 or less in the Participant's Deferred Compensation Account, may elect to cash out the Account in compliance with conditions specified in Section 2700.735.

i) The Deferred Compensation Account of a Participant severed from employment as defined in Section 2700.200(a) with a balance of $1,000 or less will be forcibly distributed in cash in accordance with Code section 401(a)(31)(B). Prior to this forced distribution, the Participant will be notified and will be given reasonable opportunity to voluntarily withdraw the full Account balance.

j) No distributions shall be made to a Participant who is employed as an independent contractor before a date that is at least 12 months after the day on which the Participant's employment contract expires. Should the independent contractor be re-employed by the State as either an Employee or independent contractor during the 12-month waiting period, no distribution shall be started on the projected distribution date. If the contractor has attained age 70½ at the time the contract is terminated, the 12-month waiting period is waived.

k) Participants are responsible for notifying the Department (e.g., email, phone call) of their Severance from Employment.

l) Beneficiaries are responsible for notifying the Department (e.g., email, phone call) or the Recordkeeper (e.g., website, phone call) of the death of the Participant and supplying the Department with a certified copy of the Death Certificate.

m) A Participant who does not receive the initial distribution until the calendar year following the year in which the Participant reaches the applicable age as defined under Code section 401(a)(9) or separates, if they work past that age, shall receive at least 2 taxable distributions in the same year.

n) If a Participant has a separate account attributable to rollover contributions to the Plan, the Participant may at any time elect to receive a distribution of all or any portion of the amount held in the rollover account.

o) An alternate payee, pursuant to the terms of a qualified domestic relations order, may at any time elect to receive a distribution of all or any portion of the amount held and maintained on behalf of the alternate payee upon the proper execution and designation under the qualified domestic relations order. An alternate payee is not eligible to apply for a Loan pursuant to Section 2700.770.

p) If a Participant has an outstanding Loan, the Participant's or Beneficiary's accrued benefit shall be subject to offset or other adjustment upon distribution, in satisfaction of any outstanding Loan balance.

q) Notwithstanding any provision in this Part to the contrary, for a Participant's Roth Contributions only, a distribution shall not be a "qualified distribution" unless it meets the requirements of Code section 402A(d).

History

• Source: Amended at 49 Ill. Reg. 11174, effective August 25, 2025

Chapter I Illinois State Board of Investment

Part 2700 State (of Illinois) Employees' Deferred Compensation Plan

80 Ill. Adm. Code 2700.710 Beneficiary Election of Method of Distribution

a) If the Participant dies prior to January 1, 2022, before the account has been exhausted, the remaining account values shall be paid to the Designated Beneficiary or Non-Designated Beneficiary. For purposes of this Section, a "Non-Designated Beneficiary" is a Beneficiary who is not a natural person, such as a trust, estate or other legal entity. The Beneficiary shall have the right to elect the time and method of distribution, subject to the limitations set forth by the Plan, notwithstanding Section 2700.730(b), in the following manner:

1. If the Participant dies before the required beginning distribution date under subsection (j), payments to:

A) A surviving spouse may be delayed until December 31 of the year in which the Participant would have attained the applicable age as defined under Code section 401(a)(9). The entire account must be withdrawn over a period not extending beyond the single life expectancy of the surviving spouse. If the surviving spouse, who is the Designated Beneficiary, dies prior to the required beginning date, the surviving spouse's designated Beneficiary shall receive distribution in full by the end of the fifth calendar year that contains the fifth anniversary of the surviving spouse's death or over a period of time designated by the single life expectancy of the surviving spouse in the year following the year of death and reduced by one for each subsequent year of distribution.

B) A non-spousal Beneficiary must be distributed in full by the end of the fifth calendar year that contains the fifth anniversary of the Participant's death, or distributed in full over a period of time designated by the single life expectancy of the Beneficiary in the year following year of death and reduced by one for each subsequent year of distribution.

C) A Non-Designated Beneficiary must be distributed in full by the end of the calendar year that contains the fifth anniversary of the Participant's death.

2. If the Participant dies on or after the required beginning date:

A) The Beneficiary may elect to receive distribution for the period of time up to, but not longer than, the Participant's life expectancy in the year of death, determined by the Single Life Expectancy Table and reduced by one each subsequent year, or the Beneficiary's recalculated single life expectancy as of the year following the year of death of the Participant. A non-spousal Beneficiary must have that age reduced by one for each subsequent year of distribution.

B) A surviving spouse may elect distributions over the surviving spouse's own single life expectancy. In the case of the death of the surviving spouse, this period of time may be used to continue payments to the spouse's declared Beneficiaries.

C) A Non-Designated Beneficiary must be distributed in full by the end of the calendar year that contains the fifth anniversary of the Participant's death.

3. If the account holder is a Designated Beneficiary, distributions to a successor Beneficiary may continue at least as quickly as, but no longer than, the single life expectancy of the deceased designated Beneficiary reduced by one for each subsequent year of distribution.

b) If the Participant dies on or after January 1, 2022, before the account has been exhausted, the remaining account values shall be paid to the Eligible Designated Beneficiary, Designated Beneficiary, or Non-Designated Beneficiary. The Beneficiary shall have the right to elect the time and method of distribution, subject to the limitations set forth by the Plan, notwithstanding Section 2700.730(b), in the following manner:

1. An Eligible Designated Beneficiary that is a surviving spouse may elect to receive distributions over the period of time up to, but not longer than, the Beneficiary single life expectancy, or in full by the end of the calendar year that contains the tenth anniversary of the Participant's death. If no election is made by September 30 of the year following the year of the Participant's death or year in which the Participant would have attained the applicable age as defined under Code section 401(a)(9), whichever is later, then the account will be distributed in full by the end of the calendar year that contains the tenth anniversary of the Participant's death.

2. An Eligible Designated Beneficiary that is not a surviving spouse may elect to receive distributions over the period of time up to, but not longer than, the Beneficiary's single life expectancy, or in full by the end of the calendar year that contains the tenth anniversary of the Participant's death.

A) If no election is made by September 30 of the year following the year of the Participant’s death or year the Participant would have attained the applicable age as defined under Code section 401 (a)(9), whichever is later, then the account will be distributed in full by the end of the calendar year that contains the tenth anniversary of the Participant's death.

B) A minor child shall cease to be an Eligible Designated Beneficiary as of the date the individual reaches majority and any remaining account value must be distributed within 10 years after that date.

3. Any other Designated Beneficiary must be distributed in full by the end of the calendar year that contains the tenth anniversary of the Participant's death.

4. A Non-Designated Beneficiary must be distributed in full by the end of the calendar year that contains the fifth anniversary of the Participant's death.

5. In the case that a Designated Beneficiary dies before the account has been entirely distributed, rules for distributions to a successor Beneficiary are as follows:

A) Upon the death of a Designated Beneficiary, the account shall be entirely distributed to a successor Beneficiary by the date the Designated Beneficiary would have been required to receive a complete distribution.

B) Upon the death of an Eligible Designated Beneficiary who is not a surviving spouse, the account shall be distributed to a successor Beneficiary within 10 years after the death of the Eligible Designated Beneficiary.

C) Upon the death of an Eligible Designated Beneficiary who is a surviving spouse:

i) If the surviving spouse dies before distributions have begun, then the surviving spouse becomes the Participant for purposes of this Section and for the purposes of distributions to a successor Beneficiary.

ii) If the surviving spouse dies after distributions have begun but before the account is entirely distributed, the remaining account value shall be entirely distributed to a successor Beneficiary within 10 years after the death of the Eligible Designated Beneficiary.

History

• Source: Amended at 48 Ill. Reg. 10011, effective June 21, 2024

80 Ill. Adm. Code 2700.720 Election of Delayed Distribution Date (repealed)

History

• Source: Repealed at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.730 Election of Method of Distribution

a) In an election to commence benefits as provided for under Section 2700.700, a Participant entitled to a distribution of benefits may elect to receive payment in any of the following forms of distribution:

1. a lump sum payment of the total Account Balance; or

2. a partial lump sum payment; or

3. installment payments on an annual, semi-annual, quarterly, or monthly basis.

b) A Participant, Beneficiary of a Participant, or a Participant's former spouse who is an alternate payee under a domestic relations order, as defined in section 414(p) of the Code, who is entitled to an eligible rollover distribution may elect, at the time and in the manner prescribed under the Plan, to have the distribution paid directly to an eligible retirement plan as a direct rollover. An eligible retirement plan means an individual retirement account described in section 408(a) of the Code, an individual retirement annuity described in section 408(b) of the Code, a qualified trust described in section 401(a) of the Code, an annuity plan described in section 403(a) or 403 (b) of the Code, or an eligible governmental plan described in section 457(b) of the Code, that accepts the eligible rollover distribution.

c) For purposes of this Section, an eligible rollover distribution means any distribution of all or any portion of a Participant's Account Balance, except that an eligible rollover distribution does not include:

1. any distribution made under Section 2700.740 as a result of an Unforeseeable Emergency; or

2. the portion, if any, of the distribution that is a required minimum distribution under section 401(a)(9) of the Code other than those distributions described in subsections (c)(1) and (c)(2).

d) In no event shall any distribution under this Section begin later than the latter of:

1. April 1 of the year following the calendar year in which the Participant attains the applicable age as defined under Code section 401(a)(9); or

2. April 1 of the year following the year in which the Participant retires or otherwise has a Severance from Employment.

e) If distributions commence in the calendar year following the latter of the calendar year in which the Participant attains the applicable age as defined under Code section 401(a)(9), or the calendar year in which the Severance from Employment occurs, the distribution on the date that distribution commences must be equal to the annual installment payment for the year that the Participant has a Severance from Employment and an amount equal to the annual installment payment for the year after Severance from Employment must also be paid before the end of the calendar year of commencement.

f) Any election made under this Section may be revoked at any time.

g) Any portion of the Deferred Compensation Account that has not been distributed shall continue to be credited and/or debited according to the provisions of Sections 2700.600 and 2700.610.

History

• Source: Amended at 48 Ill. Reg. 10011, effective June 21, 2024

80 Ill. Adm. Code 2700.735 Distribution for Certain Balances of $7,000 or Less

At the direction of the Participant, a Participant's total Account Balance shall be paid in a lump sum on the next Valuation Date following the direction if:

a) the total Account Balance does not exceed $7,000;

b) the Participant has not previously received a distribution of the total amount payable to the Participant under this Section; and

c) no Annual Deferral has been made with respect to the Participant during the 2-year period ending immediately before the date of the distribution.

History

• Source: Amended at 49 Ill. Reg. 11174, effective August 25, 2025

Chapter I Illinois State Board of Investment

Part 2700 State (of Illinois) Employees' Deferred Compensation Plan

80 Ill. Adm. Code 2700.740 Unforeseeable Emergency

a) A distribution of all or a portion of a Participant's Deferred Compensation Account or a change in method of distribution to a Participant shall be permitted in the event the Participant experiences an Unforeseeable Emergency.

b) Distributions shall not be made to the extent that the hardship is or may be relieved:

1. through reimbursement or compensation by insurance or otherwise;

2. by liquidation of the Participant's assets to the extent the liquidation of assets would not itself cause severe financial hardship;

3. by cessation of deferrals under the Plan; or

4. through receipt of a Loan under Section 2700.770.

c) A distribution pursuant to this Section shall not be permitted unless the Participant has first exhausted the amount otherwise available for a Loan under Section 2700.770, except to the extent the Participant can demonstrate in its hardship distribution application that receipt of a Loan would itself cause severe financial hardship.

d) For the purposes of this Plan, a Beneficiary whose interest has "vested" in accordance with Section 2700.415 shall have all rights of a Participant to request a distribution in the event of an Unforeseeable Emergency.

e) A Participant desiring a distribution by reason of a serious Unforeseeable Emergency must apply to the Recordkeeper and demonstrate that:

1. the circumstances being experienced were not under the Participant's control;

2. the circumstances constitute a real emergency that is likely to cause the Participant great financial hardship;

3. the Unforeseeable Emergency that is the subject of the request occurred no more than 24 months prior to the date of the request;

4. the amount of the need cannot be reasonably relieved:

A) through reimbursement or compensation by insurance or otherwise;

B) by liquidation of assets (including those of the Participant's spouse and minor children), to the extent the liquidation would not itself cause an immediate and heavy financial need;

C) by stopping elective contributions to the Plan;

D) following receipt of a Loan under Section 2700.770; or

E) by taking withdrawals from the plans maintained by the employer and any other company, or by borrowing from commercial resources on reasonable commercial terms; and

5. an Unforeseeable Emergency request form and 457 direct emergency withdrawal worksheet have been completed and submitted to the Recordkeeper, along with all documentation possessed by the Participant that supports the basis of the request.

f) The Recordkeeper shall have the authority to require medical or other evidence it may need to determine the necessity for Participant's withdrawal request. In the event this information is not provided, the case shall be considered closed 60 days after the date of the request for additional information.

g) The Recordkeeper shall reach its decision to process or reject the financial hardship withdrawal request, in accordance with Section 2700.315(f), within 30 days following receipt of the completed application and necessary information required by the application.

h) In the event the basis for the hardship does not fall into the guidelines established by Section 2700.315(f), the Recordkeeper shall forward all relevant information to the Hardship Committee for consideration and a final decision.

i) The Hardship Committee may request additional information from the Participant in order to make its decision on applications processed through either subsection (i) or (j). The Hardship Committee shall reach its decision within 30 days after receipt of the application and information necessary to reach a final determination.

j) If a Participant is not satisfied with the decision of the Hardship Committee on an application for an Unforeseeable Emergency distribution or change in distribution, the Participant may appeal in writing to the Board within 20 days after the mailing date of the Hardship Committee's decision.

k) The Board, or its duly appointed representative, shall, within 60 days after receipt of the appeal, conduct an interview with the Participant and review evidence presented by the Participant.

l) The Board or the Executive Committee of the Board shall then render a final decision within 30 days after the hearing that shall be binding on all parties.

m) If an application for an Unforeseeable Emergency distribution is approved, the distribution shall be limited to an amount sufficient only to meet the emergency, which amount shall not include any security interest for an outstanding Loan under Section 2700.770 or exceed the amount of the Participant's Deferred Compensation Account as of the Valuation Date next preceding or coincident with the withdrawal.

n) The allowed distribution shall be payable in a method determined by the Recordkeeper and shall commence as soon as possible, but not later than 30 days after notice to the Participant and the Department of approval of the request.

History

• Source: Amended at 47 Ill. Reg. 12412, effective August 4, 2023

80 Ill. Adm. Code 2700.745 Plan-to-Plan Transfers from the Plan

a) Participants and Beneficiaries may elect to have all or any portion of their Account Balance transferred to another eligible governmental plan within the meaning of section 457(b) of the Code and 26 CFR 1.457-2(f) (2012).

b) A transfer is permitted under this Section only if:

1. the Participant has had a Severance from Employment with the State and is an employee of the entity that maintains the other eligible governmental plan; and

2. the other eligible governmental plan provides for the acceptance of plan-to-plan transfers with respect to the Participants and Beneficiaries and for each Participant and Beneficiary to have an amount deferred under the other plan immediately after the transfer at least equal to the amount transferred.

c) The Plan shall not permit a plan-to-plan transfer of a Loan or that part of any Account Balance constituting a security interest for an outstanding Loan.

d) Upon the transfer of assets under this Section, the Plan's liability to pay benefits to the Participant or Beneficiary under this Plan shall be discharged to the extent of the amount transferred for the Participant or Beneficiary.

e) The Recordkeeper may require documentation from the receiving plan as it deems appropriate or necessary to comply with this Section or to effectuate the transfer pursuant to 26 CFR 1.457-10(b) (2012).

History

• Source: Amended at 36 Ill. Reg. 17518, effective January 1, 2013

80 Ill. Adm. Code 2700.750 Permissive Service Credit Transfers

a) If a Participant is also a participant in a tax-qualified defined benefit governmental plan (as defined in section 414(d) of the Code) that provides for the acceptance of plan-to-plan transfers with respect to the Participant, then the Participant may elect to have any portion of the Participant's Account Balance transferred to the defined benefit governmental plan.

b) A transfer under this Section may be made before the Participant has had a Severance from Employment.

c) A transfer may be made under this Section only if the transfer is either for the purchase of permissive service credit (as defined in section 415(n)(3)(A) of the Code) under the receiving defined benefit governmental plan or a repayment to which section 415 of the Code does not apply by reason of section 415(k)(3) of the Code.

d) The amount of the transfer must be an amount equal to the amount of the intended purchase of the permissive service credit. No partial payment is allowed.

History

• Source: Amended at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.760 Leave of Absence

a) Any Participant who is granted a leave of absence by the Employer may continue to participate in this Plan as long as the leave of absence is approved by the Employer.

b) If an approved leave of absence is terminated by the Employer or Employee without the resumption of the employment relationship, and if the Employee has been removed from the payroll for 30 days, the Participant shall be treated as having a Severance of Employment under this Plan, as of the date of termination of the leave, and may elect a distribution method as provided in Section 2700.730 of this Part.

History

• Source: Amended at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.770 Loans

a) Eligible Participants and Nondiscrimination. A Participant who is an Employee may apply for and receive a Loan from the Participant's Account Balance as provided in this Section. Loans shall be made available on a reasonably equivalent basis, and Loans shall not be made available to highly compensated Participants as defined by the Internal Revenue Service in an amount greater than the amount made available to other Participants. A Beneficiary may not apply for a Loan from the beneficiary's Account Balance.

b) Interest and Security. Loans must be adequately secured. All Loans shall provide a fixed rate of interest of 1% above the prime interest rate as published in the Wall Street Journal on the first business day of the month in which the loan was originated.

c) Participants shall not have more than one Loan outstanding at a time; a Loan must be repaid in full before another Loan can be applied for and received. A Participant may only apply for and receive another Loan 30 days after the date a previous Loan is repaid in full.

d) Loan Amount. No Loan shall exceed the value of the vested portion of the Participant's Account Balance. The amount to be loaned shall be selected by the Participant at the time a Loan application is filed but shall not be for an amount less than $1,000. The maximum amount of any Loan may not exceed the lesser of $50,000 or 50% of the Participant's vested Account Balance under the Plan on the date the Loan is made.

1. The $50,000 maximum Loan amount must be reduced by the highest outstanding balance of all other loans during the one-year period ending on the day before the Loan is made.

2. Unless it has been repaid by the Participant or offset from the Participant's Account Balance, a Loan that has been deemed distributed to a Participant (including interest accruing on the Loan) is considered as an outstanding Loan.

e) Any amount in an account or accounts established for an alternate payee shall be excluded in determining the amount available for purposes of subsection (d).

f) Loan Term. A Loan shall, by its terms, require that repayment (principal and interest) be amortized in level payments, not less frequently than quarterly, over a period not extending beyond five years from the date of the Loan. Notwithstanding anything in this Section to the contrary, in accordance with the Coronavirus Aid, Relief, and Economic Security Act (the CARES Act; 15 U.S.C. 116), a Participant who is a qualified individual for the purposes of section 2202 of the CARES Act is permitted to delay Loan repayments due between May 29, 2020 and December 31, 2020; however, interest will accrue on all deferred payments.

g) A Participant may pay off the entire Loan balance its due date by contacting the Recordkeeper and requesting the Loan's payoff amount, which shall include unpaid principal and accrued interest. Payoff must be made via a single payment.

h) Military Suspension. Loan repayments may be suspended as permitted under Code section 414(u)(4).

i) Loan Default. Failure to make Loan repayments in the manner and within the time period provided for in the Loan shall result in a default on the Loan. If a Participant defaults on a Loan, foreclosure on the note and attachment of security will not occur until the affected Participant experiences a distributable event under the Plan.

j) In the event a Participant dies with an outstanding Loan, the Participant's Loan request shall be void as of the date of death and the proceeds shall not be disbursed, so long as the Recordkeeper is notified of the Participant's death prior to the disbursement of proceeds.

k) The amount of the Loan may not be changed or revoked by the Participant and shall remain in effect until repaid or defaulted.

l) Appeal of Loan Denial. A Participant that is not approved for a Loan or a Loan amendment may appeal the denial in writing to the Hardship Committee within 30 days after the date of the Loan denial. The Hardship Committee shall render a final decision, within 30 days after receipt of the appeal, that shall be binding on all parties. If an appeal for a Loan is approved, the Loan shall be made and repaid in accordance with this Section.

m) Loan Application and Initiation

1. The Recordkeeper will administer Loans in accordance with this Section.

2. A Plan Participant, who is an active Employee, may apply for a Loan from the Plan. Beneficiaries and alternate payees are not eligible for a Loan. A Participant may initiate a Loan via telephone, online, or a paper form with the Recordkeeper. If a Participant meets the Plan requirements for eligibility contained in this Section, and certifies that the Participant has no other outstanding loans across all qualified Employer plans, then the Participant may initiate a Loan. In order to initiate a Loan, a Participant will be required to provide banking information to allow for ACH Debit and agree to the terms and conditions of the Recordkeeper's ACH Debit set up.

3. Once a Loan is approved by the Recordkeeper, the Participant shall execute a promissory note in the form prescribed by the Recordkeeper.

4. Participants will be permitted to investigate a Loan even if they are not eligible to initiate a Loan.

5. Loans may not be refinanced.

6. A Participant will be charged a loan origination fee when the Loan is processed. Additionally, a loan maintenance fee will be deducted quarterly from the Participant's account.

7. Loan Repayments:

A) The Loan shall be repaid monthly via ACH Debit in substantially equal installments of principal and accrued interest under a level amortization schedule. The repayment schedule will be established when the Loan is initiated.

B) The Plan does not permit partial pre-payment or partial advance payment of future Loan payments.

C) The Participant is responsible for notifying the Recordkeeper of any failure of Loan repayments to be initiated or otherwise made in accordance with the terms of the Loan.

D) If a Loan repayment is not successfully debited from the Participant's banking account, the Recordkeeper will notify the Participant and the Participant will be required to take one of the following actions prior to the quarter following the quarter of the missed Loan repayment (the cure period): immediately pay the total amount of any rejected Loan repayments; or pay the entire remaining Loan balance in full. If all delinquent payments are not received by the end of the cure period, the Loan will be defaulted.

E) The Loan repayment amount shall be invested in accordance with the Participant's current investment election on file with the Recordkeeper.

8. Through the Recordkeeper's website, Participants will have the ability to access and monitor Loan information.

History

• Source: Amended at 47 Ill. Reg. 12412, effective August 4, 2023

80 Ill. Adm. Code 2700.780 Qualified Disaster Recovery Distributions

a) A distribution of all or a portion of a Participant's Deferred Compensation Account shall be permitted in the event the Participant experiences a qualified disaster.

b) To be eligible for a Qualified Disaster Recovery Distribution:

1. A Participant's principal place of abode must be located in the qualified disaster area at any time during the incident period; and

2. A Participant must have sustained an economic loss by reason of such qualified disaster.

c) The term "qualified disaster area" means the area with respect to which the disaster was declared under section 401 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170). The term shall not include any area which is a qualified disaster area solely by reason of section 301 of the Taxpayer Certainty and Disaster Tax Relief Act of 2020.

d) The aggregate amount of distributions received by an individual, which may be treated as qualified disaster recovery distributions with respect to any qualified disaster in all taxable years, shall not exceed $22,000.

e) The distribution request must be made on or after the first day of the incident period of a qualified disaster and before the date that is 180 days after the applicable date with respect to such disaster.

f) The term "incident period" means, with respect to any qualified disaster, the period specified by the Federal Emergency Management Agency as the period during which such disaster occurred.

g) The term "applicable date" means the latest of:

1. The first day of the incident period with respect to the qualified disaster; or

2. The date of the disaster declaration with respect to the qualified disaster.

h) Any individual who receives a qualified disaster recovery distribution may, at any time during the 3-year period beginning on the day after the date on which such distribution was received, make one or more contributions in an aggregate amount not to exceed the amount of such distribution and in accordance with the requirements contained in Section 72(t)(11)(c) of the Internal Revenue Code as amended by the SECURE 2.0 Act of 2022 (26 U.S.C. 72(t)(11)(c)).

History

• Source: Added at 49 Ill. Reg. 11174, effective August 25, 2025

Chapter I Illinois State Board of Investment

Part 2700 State (of Illinois) Employees' Deferred Compensation Plan

80 Ill. Adm. Code 2700.800 Nonassignability

a) The contract entered into between the Employer and a Participant through this Plan and the benefits, proceeds or payments under this Plan cannot be sold, assigned, pledged, commuted, transferred or otherwise conveyed by an Employee, Participant or Beneficiary. Any attempt to assign or transfer shall not be recognized and shall impose no liability upon the Employer.

b) Except as otherwise required by law and as provided in Sections 2700.850 and 2700.860 of this Part, any Deferred Compensation monies withheld pursuant to this Plan shall not be subject to attachment, garnishment, or execution, or to transfer by operation of law in the event of bankruptcy or insolvency of the Participant or otherwise.

History

• Source: Amended at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.810 Payments to Minors and Incompetents

If the Department is notified that a Participant or Beneficiary entitled to receive any benefit under this Plan is adjudicated by a Court of Law to be mentally incompetent, or that a Beneficiary is a minor at the time when a benefit under this Plan becomes payable to him or her, the Department shall, upon receipt of a Court order, direct the Recordkeeper to authorize payment of the benefit to any other person or institution, including a custodian under any State's Gift to Minors Act, who has been duly appointed as the Participant's or Beneficiary's guardian, or a person or institution who is then maintaining or has custody of the Participant or Beneficiary, or to a Court of Law for distribution pursuant to that Court's order.

History

• Source: Amended at 33 Ill. Reg. 13451, effective September 14, 2009

80 Ill. Adm. Code 2700.820 Missing Persons

a) If the Department is unable to ascertain the whereabouts or identity of any person who is due to receive a benefit under this Plan at the time that benefit is due, the Department shall attempt to serve notice on such person by certified mail addressed to that person's last known address.

b) Should such attempt to serve notice fail, the Department shall ask the help of the Department of Financial Institutions in advertising the need to locate the person pursuant to 38 Ill. Adm. Code 180.

c) Should such attempt to locate that person fail, the Department shall authorize payment of that benefit and all other benefits due such a person to the primary Beneficiary(ies).

d) If there are no other primary Beneficiaries, the Department shall authorize payment of that benefit to the contingent Beneficiaries.

e) If there are no contingent Beneficiaries, the Department shall authorize payment of that benefit to the estate of the Participant.

f) If there is no open estate, or if the heirs of the estate cannot be found to open an estate, then seven years after the Participant's death, the Department shall authorize payment of that benefit to the General Revenue Fund of the State of Illinois.

History

• Source: Amended at 23 Ill. Reg. 6039, effective May 5, 1999

80 Ill. Adm. Code 2700.830 Severability

If any provision of this Plan shall be for any reason invalid or unenforceable, the remaining provisions shall, nevertheless, continue in effect and shall not be invalidated thereby.

80 Ill. Adm. Code 2700.840 Days and Dates

Whenever a time limit is expressed in terms of a number of days, they shall be consecutive calendar days, including weekends and holidays. If the last day of a period of days would occur on a weekend or a holiday recognized by the State of Illinois, the last day of the period shall be the next business day following.

80 Ill. Adm. Code 2700.850 Domestic Relations Orders

a) Notwithstanding Section 2700.800 of this Part, if a judgment, decree or order (including approval of a property settlement agreement) that relates to the provision of child support, alimony payments, or the marital property rights of a spouse or former spouse, child, or other dependent of a Participant is made pursuant to the domestic relations law of the state (domestic relations order), then the amount of the Participant's Account Balance shall be paid in the manner and to the person or persons so directed in the domestic relations order.

b) Payment under a judgment, decree or order shall be made without regard to whether the Participant is eligible for a distribution of benefits under the Plan.

c) The Department shall establish reasonable procedures for determining the status of any decree or order and for effectuating distribution pursuant to the domestic relations order.

History

• Source: Added at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.860 Irs Levy

Notwithstanding Section 2700.800 of this Part, the Department may pay from a Participant's or Beneficiary's Account Balance the amount that the Department finds is lawfully demanded under a levy issued by the Internal Revenue Service with respect to that Participant or Beneficiary or is sought to be collected by the United States Government under a judgment resulting from an unpaid tax assessment against a Participant or Beneficiary.

History

• Source: Added at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.870 Mistaken Contributions

If any contribution (or any portion of a contribution) is made to the Plan by a good faith mistake of fact, then, within one year after the payment of the contribution and upon receipt in good order of a proper request approved by the Department, the amount of the mistaken contribution (adjusted for any income or loss in value, if any, resulting from the good faith mistake) shall be returned directly to the Participant or, to the extent required by the Department, to the Employer, who will then return the funds to the Participant.

History

• Source: Added at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.900 Amendment of Plan

a) The Department shall have the authority to propose amendments to this Plan from time to time by submitting them in writing to the Board for approval.

b) No amendment or modification shall adversely affect the rights of Participants or their Beneficiaries to the receipt of Compensation deferred prior to such amendment or modification unless required by State or Federal law to maintain the tax status of the Plan and any Compensation previously deferred.

80 Ill. Adm. Code 2700.910 Termination of Plan

a) The Board shall have the authority to terminate this Plan, or to substitute a new Plan.

b) Upon termination of the Plan, each Participant shall be deemed to have withdrawn from the Plan as of the date of such termination, and the Participant's full Compensation will be restored to a nondeferred basis.

c) The Plan will otherwise continue in effect until all Deferred Compensation Accounts have been distributed in accordance with the Plan.

d) Changes in the Plan, termination of the Plan, or substitution of a new Plan shall be made in accordance with the Illinois Administrative Procedures Act (Ill. Rev. Stat. 1981, ch. 127, pars. 1001 et seq.).

80 Ill. Adm. Code 2700.920 Merger with Prior Plans

a) This Plan constitutes an amendment and restatement of the State Employees' Deferred Compensation Plan (80 Ill. Adm. Code 2700) adopted at 7 Ill. Reg. 10845, effective August 31, 1983 (Prior Plan III).

b) All Participants and any Compensation deferred under the Prior Plans are, from the Effective Date of this Plan, governed by the terms of this Plan subject to the following provisions:

1. All deferrals elected under the Prior Plans shall continue without further action so long as they do not exceed the limits defined in Section 2700.430 of this Part.

2. Any investment requests made under the Prior Plans shall continue to apply to any deferrals made under this Plan until changed by a Participant in accordance with Section 2700.640 of this Part.

3. Any election of the method of distribution of benefits made through Prior Plan I shall be void, and a Participant or Beneficiary may elect the form of distribution in accordance with Sections 2700.710 and 2700.730 of this Part.

4. Any election of the method of distribution of benefits made through Prior Plan II and III shall remain in full force and effect unless it conflicts with the provisions of this Plan. In the event of a conflict, a Participant or Beneficiary shall have 30 days from date of notification to elect a new method of distribution consistent with the requirements of this Plan.

c) Any Delayed Distribution Dates elected under Prior Plan II by a Participant or Beneficiary made prior to October 27, 1982 shall remain in full force and effect and are irrevocable. Delayed Distribution Dates elected under Prior Plan II made after October 27, 1982 shall be void if they conflict with the provisions of this Plan. A Participant whose Delayed Distribution Date is void shall have his or her Deferred Compensation Account distributed in accordance with Section 2700.730 of this Part.

d) A Participant who has elected a Delayed Distribution Date but not yet reached it may choose, within 60 days from the effective date of this Plan, to transfer the value of the account to another eligible plan authorized under section 457 of the Code.

History

• Source: Amended at 30 Ill. Reg. 8408, effective April 21, 2006

80 Ill. Adm. Code 2700.APPENDIX A Administrative Rules (repealed)

Section 2700.EXHIBIT B Administrative Rule II (Repealed)

Section 2700.EXHIBIT C Administrative Rule III (Repealed)

Section 2700.EXHIBIT D Administrative Rule IV (Repealed)

Section 2700.EXHIBIT E Administrative Rule V (Repealed)

Section 2700.EXHIBIT F Administrative Rule VI (Repealed)

History

• Source: Repealed at 18 Ill. Reg. 7224, effective May 2, 1994
• Source: Repealed at 18 Ill. Reg. 7224, effective May 2, 1994
• Source: Repealed at 18 Ill Reg. 7224, effective May 2, 1994
• Source: Repealed at 18 Ill. Reg. 7224, effective May 2, 1994
• Source: Repealed at 18 Ill. Reg. 7224, effective May 2, 1994

Chapter II Board of Regents

Part 2750 Tax Deferred Annuity Plan

80 Ill. Adm. Code 2750.10 Faculty and Administrative Employees - Benefits

a) In accordance with the applicable provisions of the United States Internal Revenue Code and "An Act in relation to State finance", approved June 10, 1919, as amended, the Board of Regents has adopted a tax sheltered annuity plan for the employees of the Regency System to be known as the Tax Deferred Annuity Plan.

b) Description of Plan

1. Approval of Companies

The Board of Regents will approve companies to write tax deferred Annuity contracts under this plan.

2. Conditions of Agreement with Employees

Each person now employed or hereafter employed by the Board of Regents shall, while this plan remains in effect, have the privilege of electing to participate in the Tax Deferred Annuity Plan in consideration for which the Board of Regents shall pay the amount of such adjustment in earnings to any one insurance company approved by the Board of Regents, as hereinafter provided, to be applied as a premium on an annuity contract under which the employee's rights are non-forfeitable except for failure to pay future premiums.

A) Each employee who desires to participate in the plan shall elect to do so in writing on forms provided by the University's insurance office or other designated office.

B) New employees of the Board of Regents who have a tax-deferred plan (excluding any life insurance) purchased through a previous employer from a company which is not on the Regency System approved list of companies may exercise one of two options:

i) Suspend contributions to that company leaving prior contributions on deposit until retirement age or

ii) exercise a tax-rollover permitted by Internal Revenue Service which permits direct transfer of tax-deferred annuity contributions from one company to a company on the Regency System approved list without making the transferred contributions reportable income in the year of transfer.

C) Any such election to participate in this program shall become effective as soon as possible, but no later than 30 days after the date on which the election form is delivered to the applicable insurance office.

D) An employee may revoke participation only in accordance with applicable Federal and State law with such revocation to be effective as soon as possible but not later than the first payroll period following thirty (30) days after the date of written revocation.

3. Conditions of Approval Affecting Participating Companies

A) All tax-deferred annuity contracts issued must comply with the United States Internal Revenue Code, as amended. Participating companies must be authorized by the Director of Insurance of the State of Illinois to issue tax-deferred annuity contracts.

B) All monies withheld through agreements between the Board and the employee will be used to purchase only qualified tax-deferred annuity contracts and will exclude waiver of premium provisions, disability income provisions, and life insurance.

C) Upon request the company must provide the Secretary of the Board of Regents all information about its contracts including, but not limited to, all charges and commissions schedules, and must agree that this information may be made available to employees on a comparative basis with other companies. A principal officer of the company will attest to the accuracy of the information provided.

4. Administration of Tax-Deferred Annuity Plan

A) This plan shall be administered by the Secretary of the Board of Regents who shall have the authority to prescribe such additional rules not inconsistent herewith, as are deemed appropriate for accomplishing the purposes herein set forth.

B) Neither the Board of Regents, nor any representative thereof, will recommend any one qualified company.

C) Upon receipt of documented evidence of any violation of Board regulations pertaining to tax-deferred annuities by a representative of an approved company, the Secretary may prohibit the issuance of any additional agreements to Regency employees for an indefinite period of time appropriate to the seriousness of the violation.

D) The Board will notify the approved company of the violation of its Regulations and will include a copy of the specific regulation violated. It will give the company 60 days to respond to the notice of violation, including the actions it will take to prevent a repetition of the violation. The response will be reviewed by the Board. If the Board is satisfied that the company has taken corrective action to prevent a recurrence of the violation, no penalty will be imposed. If the Board feels that the company has not taken corrective action to prevent a recurrence of the violation, the privilege of selling tax deferred annuity contracts may be suspended for a minimum of 60 days.

80 Ill. Adm. Code 2750.20 Civil Service Employees - Benefits

The Board of Regents has adopted a tax sheltered annuity plan for the employees of the Regency Universities to be known as "The Tax-Deferred Annuity Plan." (For details see the Tax Deferred Annuity Plan, Faculty and Administrative Employees Section 2750.10 of this Part.)

Chapter I Department of Central Management Services Governor's Travel Control Board

Part 2800 Travel

80 Ill. Adm. Code 2800.100 Definitions

The following definitions shall apply to this Part:

"Board": The Governor's Travel Control Board

"Council": The Travel Regulation Council

"Commuting Mileage": The actual round trip mileage between residence and headquarters.

"Commuting Expense": The cost of one round trip between residence and headquarters. Cost may include mileage, parking fees, tolls, etc. Mileage cost is determined by multiplying the commuting mileage by the mileage reimbursement rate defined in the Travel Regulation Council Rules (80 Ill. Adm. Code 3000).

History

• Source: Amended at 19 Ill. Reg. 36, effective January 1, 1995

80 Ill. Adm. Code 2800.110 Application and Interpretation

a) Nothing in this Part shall be construed to conflict with or replace the Travel Regulation Council rules (80 Ill. Adm. Code 3000).

b) This Part shall apply to all full and part time employees and all public members of authorities, boards and commissions, whether salaried or unsalaried, not subject to the jurisdiction of another travel control board.

c) This Part shall not apply to:

1. the Governor;

2. Independent contractors unless made applicable under the terms of a contract between the independent contractor and a State agency.

80 Ill. Adm. Code 2800.120 Remote Attendance

If a quorum of the members of the Council are physically present, as provided for in Section 2.01 of the Open Meetings Act [5 ILCS 120], a member not physically present may attend by way of video or audio conference if:

a) The member is prevented from physically attending due to:

1. personal illness or disability;

2. employment purposes or the business of the public body;

3. a family or other emergency;

4. unexpected childcare obligations. [5 ILCS 120/7]; and

b) The member notifies the Chair and/or the Council staff prior to the meeting, unless advance notice is impractical, of their desire to attend by way of video or audio conference; and

c) A majority vote of the Council is held approving of the member's attendance by way of video or audio conference.

History

• Source: Added at 48 Ill. Reg. 13372, effective August 26, 2024

80 Ill. Adm. Code 2800.200 Travel Control System

Each agency shall develop a system to ensure internal compliance with this Part, provide for prior authorization and control of travel sufficient to prevent obligation of funds exceeding appropriation and allotment limitations and to hold travel to the minimum required for the efficient and economical conduct of the State's business. Agency documentation must be sufficiently detailed to support any decision or request made under this Part.

80 Ill. Adm. Code 2800.210 Travel Coordinator

Each Agency Head shall designate one or more Travel Coordinator(s) who shall operate the Travel Control System for the agency and shall have those duties assigned by the Agency Head. The name(s) of the Travel Coordinator(s) shall be reported to the Department of Central Management Services.

80 Ill. Adm. Code 2800.220 Travel Authority

All travel subject to this Part shall be authorized and approved by the Agency Head or an authorized representative in accordance with the Travel control System prior to any travel.

80 Ill. Adm. Code 2800.230 Government Charge Cards (repealed)

History

• Source: Repealed at 38 Ill. Reg. 11767, effective May 23, 2014

80 Ill. Adm. Code 2800.235 Expenses at Headquarters or Residence

a) As a condition of employment, employees expect to incur commuting expenses between their residence and headquarters. These expenses are not reimbursable. Expenses associated with State business in excess of commuting expenses are reimbursable at headquarters and/or residence. An employee whose travel during a given day does not include travel through headquarters shall be reimbursed for all mileage traveled that day in excess of the employee's ordinary commuting mileage. An employee whose travel does include travel through headquarters shall be reimbursed for all mileage in excess of commuting mileage. All travel must be by the most direct route.

b) Examples of reimbursable mileage expenses include:

1. Residence/Lincoln – Headquarters/Springfield. Employee drives from residence in Lincoln to Chicago and returns to residence. Reimbursement is for all mileage in excess of commuting mileage.

2. Residence/Lincoln – Headquarters/Springfield. Employee drives from residence in Lincoln to Collinsville and back to residence. Reimbursement is for all mileage in excess of commuting mileage.

3. Residence/Carbondale – Headquarters/Marion. Employee drives from residence to headquarters. Later, employee drives from headquarters to Anna and back to residence. Reimbursement is for all mileage in excess of commuting mileage.

4. Residence/Evanston – Headquarters/JRTC, Chicago. Employee drives from residence to McCormick Place for an event. After the event, the employee drives to headquarters, then to residence. Reimbursement is for all mileage in excess of commuting mileage.

5. Residence/Chicago – Headquarters/JRTC, Chicago. Employee normally commutes to work by train. However, in order to attend a meeting at another location, the employee drives from residence to headquarters, then to the meeting location, then returns to headquarters and back to residence. Reimbursement is for all mileage in excess of commuting mileage. The fact that the employee normally rides the train to work has no effect on determining reimbursement.

History

• Source: Amended at 38 Ill. Reg. 11767, effective May 23, 2014

80 Ill. Adm. Code 2800.240 Preparation and Submission of Travel Vouchers

All claims for the reimbursement of travel expenses shall be submitted on authorized reimbursement forms (Form C-10) and shall be itemized in accordance with this Part.

a) The purpose of the travel shall be indicated on the travel vouchers.

b) When applicable, the travel voucher shall show, in the space provided, the dates and times of travel, the points of departure and destination, the mode of transportation, the cost of the transportation secured, lodging, meals, per diem and other expenses.

c) If meals or per diem are not claimed, times of arrival and departure are not required.

d) When a privately owned vehicle is used, the travel voucher shall show, at minimum, commuting mileage (if applicable), the dates, points of travel and mileage. If the distance traveled between any given points is greater than the usual route between these points shown on a road map, the reason for the greater distance shall be explained and detailed separately.

e) Travel vouchers shall be supported by receipts in all instances for railroad and airplane transportation, lodging, taxis, and all other items in excess, individually, of $10.00 except for meals.

f) The travel expense voucher shall be prepared in ink, typewritten or in electronic form. The voucher shall be signed by the individual who has incurred the expense and his/her supervisor. Signatures include those made in ink as well as any symbol executed or adopted. In addition, signatures are any security procedure employed or adopted, using electronic means or otherwise, by or on behalf of a person with intent to authenticate a record.

History

• Source: Amended at 43 Ill. Reg. 11938, effective October 1, 2019

80 Ill. Adm. Code 2800.250 Approval and Submission of Travel Vouchers

a) Each voucher shall be first approved by the individual's immediate supervisor, who shall certify that the travel shown was required by official duties.

b) The voucher shall then be approved by the Agency Head or a designated representative, who shall sign the original of the voucher. The original and one copy of the travel voucher, together with the required receipts and attachments, shall be forwarded to the Comptroller for issuance of the warrant for payment.

80 Ill. Adm. Code 2800.260 Items Directly Billed

a) Agency Heads shall keep billing of travel expenses directly to the State to the least extent possible.

b) Employees may not be reimbursed for items billed directly to the State. Such direct billed items shall be indicated on the travel voucher along with all reimbursable items. All columns of travel vouchers are to be totaled and cross-footed. The direct-billed total will then be deducted from the cross-footed total with the balance being the amount to be reimbursed to the employee. In all such cases supporting documentation shall also be attached if available. For transportation expenses billed directly, a copy of the State of Illinois Transportation Request form shall be attached to the invoice voucher (Form C-13). For lodging expenses billed directly, room, tax, hotel parking and business phone calls only shall be accepted. However, charges for business phone calls must be noted as such on the invoice voucher (Form C-13). Charges for phone service in a room which are automatically added to the bill by the hotel may also be direct billed. Any charges in excess of the allowable lodging rate specified in the Reimbursement Schedule (found in the rules of the Travel Regulation Council) or for restaurants, room services, personal telephone calls and other expenses shall be paid by the traveler upon check-out. Such expenses shall not be deducted from the traveler's reimbursement in exchange for direct billing. Meal and incidental expenses shall not be billed directly to the State. Such expenses shall not be in excess of the maximums allowed.

History

• Source: Amended at 38 Ill. Reg. 11767, effective May 23, 2014

80 Ill. Adm. Code 2800.270 Conference Registration Fees

An employee may be reimbursed from the travel line 1290 for conference registration fees of $50.00 or less on Form C-10 (Travel Voucher). Conference registration fees billed directly to the State are to be paid from Contractual Services. When conference fees include lodging and/or meals and no detailed breakdown is given, the entire amount is to be charged to Contractual Services.

80 Ill. Adm. Code 2800.300 Incidental Expenses for Private and State Owned Automobiles

a) Reimbursement for the cost of automobile parking fees and bridge, road and tunnel tolls shall be allowed. The fee for parking an automobile at a common carrier terminal, or other parking area, while the traveler is away from headquarters shall be allowed only to the extent that the fee, plus the allowable mileage reimbursement to and from the terminal or other parking area, does not exceed the estimated cost for use of a limousine or taxicab to and from the terminal.

b) When the use of public transportation or common carrier is a reasonable alternative, the mileage payment shall not exceed the cost of its use. A reasonable alternative exists when the cost of travel, taking into account both transportation time and per diem expenses would be less if public transportation or common carrier were used.

c) Where the nature and location of the work at a temporary duty station are such that suitable meals cannot be procured there, the expenses of daily travel required to procure meals at the nearest available place shall be considered necessary transportation. A statement of the necessity for such daily travel shall accompany the travel voucher. Necessity may be shown by lack of refrigeration or cooking facilities, or lack of restaurants at the site, or need to accommodate special dietary restrictions.

d) Transportation between place of lodging and place of business at a temporary duty station shall be allowed as a transportation expense.

80 Ill. Adm. Code 2800.400 Conference Lodging

Any employee attending a conference or seminar in the course of State business which is sponsored by an organization other than the State of Illinois may stay in the lowest priced room available at or near the hotel or motel in which the conference or seminar is located or in accommodations arranged by conference/seminar organizations, and shall be reimbursed for actual lodging expenses in excess of those allowed by the Reimbursement Schedule. The traveler must assert in writing that accommodations were the lowest priced available at or near the conference/seminar site or that the accommodations were arranged by the conference/seminar organizers. This provision does not apply to conference/seminars of or for State officers or employees sponsored by one or more State agencies.

80 Ill. Adm. Code 2800.410 Employee Owned or Controlled Housing

State employees on travel status may stay in employee owned or controlled (rented, leased, etc.) property, including recreational vehicles, and shall be reimbursed, upon request, for the cost of lodging not to exceed 90% of the applicable lodging rate per day. The lodging reimbursement for the employee's mortgage, installment or rental payment shall not exceed the daily rate (employee's payment/number of days in the term payment) multiplied by the number of days the employee is on travel status. For purposes of this Section, any platform fees, taxes and cleaning fees associated with a short-term rental shall be included in the total cost of the reimbursement. Security deposits associated with leases and rentals are the responsibility of the State employee and are not reimbursable. Agencies shall report quarterly to the Board fiscal year to date expenses of employees receiving reimbursement under this provision. Prior to receiving reimbursement a statement giving the address of the property, mortgage, installment or rental payment and distance from the work site must be filed with the Board. This option is not available if other costs such as mileage would make this a more expensive alternative.

History

• Source: Amended at 48 Ill. Reg. 5259, effective March 19, 2024

80 Ill. Adm. Code 2800.500 Conference Meals

a) If a conference fee includes a meal, the meal or per diem allowance shall be reduced by the actual value of the meal or the amount of the applicable meal allowance shown in the Reimbursement Schedule, whichever is less.

b) When an employee must purchase a meal at a conference as an expense separate from the conference fee and the amount is in excess of the meal allowance shown in the Reimbursement Schedule, the employee may request an exception to this Part, seeking reimbursement for the actual cost in accordance with the applicable Section in Subpart G. However, if the exception is granted, the employee's meal or per diem allowance shall be reduced by the applicable meal allowance shown in the Reimbursement Schedule.

80 Ill. Adm. Code 2800.510 Meal Allowances

An employee must be on travel status as defined in 80 Ill. Adm. Code 3000.140, work at least 10 consecutive hours and work at least two hours prior to or past their regular workday to be eligible for a meal allowance. This rule shall be applied as follows:

a) For an employee to be eligible for a breakfast reimbursement, the employee must be on travel status, work 10 consecutive hours and leave headquarters or residence (if reporting directly to the destination) two hours prior to the start of the employee’s regular workday.

b) For an employee to be eligible for a dinner reimbursement, the employee must be on travel status, work 10 consecutive hours and arrive back at headquarters or residence (if reporting directly from destination) at least two hours following the end of the employee’s regular workday.

c) For employees commencing travel after the close of business, dinner is allowable if travel commences within 1.5 hours after the end of the employee’s regular workday, but only in the event that the employee is not eligible for per diem (see 80 Ill. Adm. Code 3000.500).

History

• Source: Added at 46 Ill. Reg. 20205, effective December 6, 2022

80 Ill. Adm. Code 2800.600 Lack of Receipts

If receipts required pursuant to subsection 2800.240(e) are not available, a typed statement signed by the traveler certifying the amounts paid will be accepted.

History

• Source: Amended at 19 Ill. Reg. 36, effective January 1, 1995

80 Ill. Adm. Code 2800.610 Out-of-Country Travel Expenses (Repealed)

History

• Source: Repealed at 50 Ill. Reg. 2493, effective February 6, 2026

Chapter I Department of Central Management Services Governor's Travel Control Board

Part 2800 Travel

80 Ill. Adm. Code 2800.620 Reimbursement Rates

All business travel shall be reimbursed according to the rates as set forth in Section 3000.Appendix A of the Travel Regulation Council rules. (80 Ill. Adm. Code 3000.Appendix A)

History

• Source: Added at 47 Ill. Reg. 12038, effective July 28, 2023

80 Ill. Adm. Code 2800.650 Headquarter Designation for Agency Heads

All Agency Heads shall be headquartered at the location where official duties require the largest part of their working time. Exceptions to this rule may be granted by the Board upon written request from the Agency Head. Factors the Board will consider in deciding if an exception should be granted include cost, frequency of travel and the ability to determine a single location at which the largest part of working time is spent.

History

• Source: Added at 16 Ill. Reg. 4831, effective March 12, 1992

80 Ill. Adm. Code 2800.700 Special Exceptions - Requested In Advance

a) Exceptions to the operation of specific provisions of this Part may be granted in advance by the Chairman of the Governor's Travel Control Board when necessary to meet special or unavoidable circumstances and when in the best interest of the State. Exceptions are to be requested in writing by the Agency Head and submitted sufficiently in advance to allow meaningful consideration. These exceptions are granted to specific individuals or specified groups of individuals in a single agency.

b) Travel outside of Illinois (including travel outside the contiguous United States) requires the approval of the Governor's Office of Management Budget prior to the travel. All requests shall be submitted to the Governor's Office of Management and Budget's on-line travel system (eTravel) at least 30 days in advance of the departure date. Requests shall be approved, partially approved or denied based on the needs of the agency. The agency submitting the request must describe the purpose of the travel and why it is critical and provide a detailed breakdown of travel-related costs.

History

• Source: Amended at 38 Ill. Reg. 11767, effective May 23, 2014

Chapter I Department of Central Management Services Governor's Travel Control Board

Part 2800 Travel

80 Ill. Adm. Code 2800.710 Ex Post Facto Exceptions

a) Exceptions to the operation of specific provisions of this Part may be granted after the fact by the Chairman of the Governor's Travel Control Board when necessary to meet special or unavoidable circumstances and when in the best interests of the State. Exceptions are to be requested in writing by the Agency Head. The affected employee may request an exception if the Agency Head will not do so. The request must state in detail the nature of the request, the reasons for non-compliance, and why the request should be granted.

b) In all cases of requests for approval for payment of hotel rates which exceed the maximum rates permitted, a diligent effort must have been made to obtain lodging in a hotel honoring the State rate. A reasonable number of hotels must be contacted. Contacting three or four additional hotels in an urban area will be considered reasonable. This is not required in the case of an individual who attends a conference and stays at or near the hotel where the conference is held as provided for in Section 2800.440.

History

• Source: Amended at 20 Ill. Reg. 7379, effective May 13, 1996

80 Ill. Adm. Code 2800.APPENDIX A Reimbursement Schedule (repealed)

History

• Source: Repealed at 47 Ill. Reg. 12038, effective July 28, 2023

Chapter III Higher Education Travel Control Board

Part 2900 Higher Education Travel

80 Ill. Adm. Code 2900.10 Authority, Philosophy and Definitions

a) Authority

1. This Part is promulgated under the authority vested in the Higher Education Travel Control Board by Section 12-1(a)(3) of the State Finance Act [30 ILCS 105]. Nothing in this Part shall be construed to conflict with or replace the Travel Regulation Council Rules (80 Ill. Adm. Code 3000) unless it conflicts with federal law.

2. The Board shall have jurisdiction over travel of the Board of Higher Education, the Board of Trustees of the University of Illinois, the Board of Trustees of Southern Illinois University, the Board of Trustees of Chicago State University, the Board of Trustees of Eastern Illinois University, the Board of Trustees of Governors State University, the Board of Trustees of Illinois State University, the Board of Trustees of Northeastern Illinois University, the Board of Trustees of Northern Illinois University, the Board of Trustees of Western Illinois University, the Illinois Community College Board, the Illinois Student Assistance Commission, the State Universities Retirement System, the University Civil Service Merit Board, the Board of Trustees of the Illinois Mathematics and Science Academy, and all employees of the named Agencies and of the institutions governed or maintained by the named Boards.

b) Philosophy

The Higher Education Travel Control Board believes first and foremost that State employees are honest individuals and that claims for reimbursement are made in all good faith. The Board is therefore obliged to deal fairly with institutions and individuals in carrying out its responsibilities.

c) Definitions

"Act" means the State Finance Act [30 ILCS 105].

"Agency" means any of the boards, commission or system named in subsection (a)(2).

"Agency Head" means the chief executive officer of an Agency or a designated representative. Representatives must be authorized by the Agency head and must be on file with the Office of the Comptroller. Filing of the Signature Authorization Card (SCO-95) shall constitute authorization.

"Commuting Mileage" means the actual round trip mileage between residence and headquarters.

"Designated Deputy" means an individual designated by a member of the Board, and approved by the appointing authority, to serve in the member's stead at any or all Board meetings.

"GSA" means the: Federal General Services Administration

"Headquarters" means:

The official headquarters of an Agency employee is generally the primary post of duty or official station in a specified location, the limits of which are no broader than the corporate limits of the city or town in which the employee is stationed, or may be a defined geographical area.

In the case of an employee whose duties require travel almost every working day, the official headquarters may be the employee's place of residence.

In those instances in which an employee's official headquarters is a location other than that at which official duties require the spending of the largest part of working time, the Agency shall be responsible for maintaining adequate records to support these exceptions. In all such instances, the Agencies shall comply with reporting requirements of Section 12-3 of the Act.

The official headquarters for members of the Agencies covered by this Part shall be the residences of the members.

"Board" means the Higher Education Travel Control Board. In accordance with Section 12-1(a)(3) of the Act, the Higher Education Travel Control Board consists of 11 members, one appointed by each of the following: the Board of Trustees of the University of Illinois, the Board of Trustees of Southern Illinois University, the Board of Trustees of Chicago State University, the Board of Trustees of Eastern Illinois University, the Board of Trustees of Illinois State University, the Board of Trustees Northeastern Illinois University, the Board of Trustees of Northern Illinois University, the Board of Trustees of Western Illinois University, the Board of Trustees of Governors State University, the Illinois Community College Board, and the Illinois Board of Higher Education. Each member shall be an officer, member or employee of the board making the appointment, or of an institution governed or maintained by that board. Any chairman or member of the Board, with the consent of the respective appointing official, may designate a deputy to serve in his or her place at any or all meetings of the Board. The designation shall be in writing and directed to the chairman of the Board.

"Member" means an individual appointed under subsection (c)(1) or that individual's duly appointed and approved designated deputy.

"Public Building" means any building or portion of a building owned or leased by any public body.

"Travel Control Board" means those boards created by Section 12-1(a) of the State Finance Act.

"Council" or "TRC" means the Travel Regulation Council created by Section 12-2 of the Act that consists of the Chairmen or designee of each of the Travel Control Boards created by Section 12-1 of the Act.

"Travel Regulations" means this Part, the Travel Regulation Council rules at 80 Ill. Adm. Code 3000 and 41 CFR 300 through 304.

"Travel Through Headquarters" means any travel to or through the corporate city limits of the employee's designated headquarters, regardless of whether the employee made a stop at the work site or changed vehicles or modes of transportation.

History

• Source: Amended at 48 Ill. Reg. 3427, effective February 23, 2024

80 Ill. Adm. Code 2900.15 Regular Meetings

a) Section 12-1(b) of the Act provides that the Board shall meet at least once each quarter. Meetings shall be at the time and place designated by the Board. The Board must meet in a public building. A schedule of regular meetings designating the dates, times and places shall be announced and public notice given as required by the Open Meetings Act [5 ILCS 120]. No member of a travel control board may receive additional compensation for service as a member. Meetings may be conducted by video conference. If unable to physically attend a meeting, by majority vote of the Board, members may attend via telephone because of personal illness or disability, employment purposes, business for the Board, or a family or other emergency.

b) If a regularly scheduled meeting must be rescheduled, in compliance with Section 2.03 of the Open Meetings Act, a notice of change must be given 10 days prior to the meeting, published in a newspaper of general circulation in the area, and posted at the meeting location.

History

• Source: Added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.20 Special Meetings

Special meetings may be called by the Chairman or by any 2 appointed members of the Board. Meetings may be conducted by video conference. Notice of a special meeting must be given 48 hours in advance, as required by Section 2.02 of the Open Meetings Act. If unable to physically attend a special meeting, by majority vote of the Board, members may attend via telephone because of personal illness or disability, employment purposes, business for the Board, or a family or other emergency.

History

• Source: Old Section 2900.20 renumbered to Section 2900.55 and new Section 2900.20 added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.25 Quorum

Six members of the Board shall constitute a quorum if there are 11 members then serving. If there are 10 or fewer members serving, 5 members shall constitute a quorum. In order to conduct a regular or special meeting via teleconference, 6 members must participate.

History

• Source: Added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.30 Powers and Duties

As directed by Section 12-1 of the Act, it is the duty of the Board to:

a) Promulgate and publish official travel regulations governing the Agencies named in Section 2900.10(a)(2).

b) Review requested exceptions to travel regulations and take action on those requests.

c) Submit a report of travel reimbursement exceptions approved by the Board, at least once a quarter, to the Legislative Audit Commission.

History

• Source: Old Section 2900.30 renumbered to Section 2900.60 and new Section 2900.30 added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.35 Board Officers

a) The officers of the Board shall be elected by majority vote of the Board and shall consist of a Chairman and Vice-Chairman/Secretary, both of whom shall be members of the Board or deputies designated by members.

b) All officers shall be elected for a 2 year term and shall hold office until a successor is selected.

c) Any officer may be removed from office by a vote of 6 members. The question concerning removal of an officer must be put at a regular or special meeting of the Board preceded by the mailing of notice to each Board member and to the officer 10 days prior to the meeting. The notice shall set forth the proposed action.

History

• Source: Added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.40 Election of Officers

Officers shall normally be elected at the regular January meeting. In case of a vacancy of an office for any reason, the Board shall fill, by majority vote, the office for the unexpired term.

History

• Source: Old Section 2900.40 renumbered to Section 2900.65 and new Section 2900.40 added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.45 Duties of Officers

a) The Chairman shall:

1. Preside at all Board meetings, with full power to vote on and discuss all matters before the Board;

2. Receive Agency requests for exceptions to travel regulations;

3. Submit a written report of travel reimbursement exceptions approved by the Board, at least once each quarter, to the Legislative Audit Commission;

4. Represent the Higher Education Travel Control Board on the State Travel Regulation Council or other appropriate bodies;

5. File rules and amendments to rules on behalf of the Board in compliance with the Administrative Procedure Act;

6. Conduct meetings in accordance with Roberts Rules of Order, newly revised;

7. Carry out other functions assigned by the Board;

8. Prepare meeting notices and agenda, with accompanying supporting data, and distribute to Board members at least 10 days in advance of meeting date; and

9. Notify the appropriate Agency, in writing, of action taken by the Board on a request for exception to travel regulations through issuance of minutes to each member of the Board.

b) The Vice Chairman/Secretary shall:

1. Serve as Chairman in the absence of the Chairman;

2. In the event of death, resignation or removal of the Chairman from office, succeed to the office of Chairman until the Board elects a new Chairman; and

3. Carry out other functions assigned by the Board.

History

• Source: Added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.50 Amendments to Bylaws

The bylaws of the Board may be amended at any regular or special meeting of the Board by a majority vote of the total membership of the Board, provided that notice of the intention to amend the bylaws must be presented in writing at least 10 days prior to the meeting date. The notice shall provide, so far as possible, the exact wording of the amendment proposed.

History

• Source: Old Section 2900.50 renumbered to Section 2900.70 and new Section 2900.50 added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.55 Authority to Travel

Each Agency shall develop a system for the control of travel sufficient to prevent obligation of funds exceeding budget limitations and to hold travel to the minimum required for the efficient and economical conduct of the Agency's business.

History

• Source: Renumbered from Section 2900.20 and amended at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.60 Allowable Transportation Expenses

a) Allowable Expenses

1. Transportation may include fares and expenses incidental to transportation, such as baggage transfer, official telephone messages in connection with items classed as transportation and reasonable tips.

2. Reimbursement for taxicab fares incurred in the efficient and economical pursuit of the Agency's business will be allowed. All taxicab fares in excess of $10 shall be accompanied by a receipt indicating the amount paid.

3. When the nature and location of the work at a temporary duty station are such that suitable meals cannot be procured there, the expenses of daily travel required to procure meals at the nearest available place shall be considered necessary transportation. A statement of the necessity for this daily travel shall accompany the travel voucher.

4. Transportation between place of lodging and place of business at a temporary duty station shall be allowed as a transportation expense.

5. Reimbursement of expenses between the residence and the official headquarters of any individual subject to this Part shall not be allowed.

b) Routing of Travel

All travel shall be by the most direct route. Travel by other routes may be allowed when the necessity of that route is satisfactorily established by the Agency. The responsibility of insuring use of the most direct routes of travel possible, and for allowing use of other routes under certain circumstances, belongs with each individual Agency. Expenses due to deviations for convenience shall be borne by the employee. Distances between destinations shall be determined using the Illinois Highway Map published by the Illinois Department of Transportation and odometer readings when mileage is not available on the Highway Map. Mileage in and around a city of destination may be claimed.

c) Mode of Travel

1. All travel shall be by the most economical mode of transportation available, considering travel time, costs, number of persons traveling together and work requirements. Modes of transportation authorized for official travel include automobiles, railroads, airlines, buses, taxicabs and other usual means of conveyance.

2. State vehicles shall be used when most economical. When applicable, State Vehicles and Garage administrative rules (see 44 Ill. Adm. Code 5040) issued by the Department of Central Management Services shall govern the use of State-owned vehicles. Agency rules further defining use of vehicles may also apply. Specific instructions covering services and repairs of these vehicles are to be found in the glove compartment of each vehicle.

d) Accommodations on Transportation Conveyances

1. Airplane Accommodations

A) Travel on airplane shall ordinarily be coach class.

B) Reimbursement for first-class or business-class accommodations on commercial air carriers shall be explained on the travel voucher and shall be permitted when any one of the following conditions exists:

i) Regularly scheduled flights between authorized origin and destination points provide only first-class or business-class accommodations.

ii) Space is not available in less-than-first-class or business- class accommodations in time to carry out the purpose of the travel. Confirmation from the flight selected showing no available alternatives at the time of booking and shall be supplied to each university's Department of University Payables, or similar department with the responsibility to process and remit payment for travel expenses, and must be retained in that unit's records. An example confirmation may include a copy of the seating chart showing available seats or documentation from the carrier noting availability.

iii) An Agency authorizes or approves the use of first-class or business-class accommodations as necessary for the conduct of the mission or for reasons of the traveler's health.

iv) An Agency Head or Dean authorizes the use of business-class accommodations when the flight meets the criteria established under 41 CFR 301-10.125.

C) Seat Selection. An agency Department Head or Dean may authorize expenditures for seat selection as necessary for the conduct of the mission or for reasons of the traveler's health.

D) Documentation of all authorized accommodations must accompany the travel voucher, and supporting documentation must be retained in the University Payables' records.

2. Arrangements on airplanes, trains or boats shall be the least costly reasonably available alternative.

3. Chartered aircraft, boats, trains, buses or such other conveyance shall be used only as a last resort or if proven to be most economical for the circumstances. A full explanation for the use of such transportation must accompany the voucher.

4. The rental of an auto while on travel status is allowed, if circumstances require. The most economical vehicle available that is suitable for the State's business shall be obtained. Optional insurance on rented vehicles is not reimbursable. Fuel service options may be reimbursed on a pro-rated basis.

e) Use of Privately Owned Vehicles

1. Privately owned vehicles may be used when authorized by appropriate Agency personnel. Employees using private vehicles while on State business must have insurance coverage in an amount not less than that required by Section 10-101(b) of the Illinois Vehicle Code [625 ILCS 5]. Prior to authorization to use a privately owned vehicle the Agency head shall require employees to file a statement certifying that they are duly licensed and carry at least the minimum insurance coverage or shall require these certifications to be noted on the travel voucher.

2. When an individual rendering service to the Agency uses privately owned vehicles in the conduct of official business outside official headquarters and that use is authorized or approved by the Agency's authorized representative as being advantageous to the Agency, payment shall be made on a mileage basis and shall be in accordance with the maximum rates established by the federal government for travel expenses, subsistence expenses, and mileage allowances under 5 U.S.C. Subchapter I and 41 CFR 300 through 304. (Section 12-2(f) of the Act) The current rates can be found at https://www.gsa.gov/travel. In the event the rate set under federal regulations increases or decreases during the course of the State's fiscal year, the effective date of the new rate shall be the effective date of the change in the federal rate.

3. Reimbursement for the cost of vehicle parking fees and bridge, road and tunnel tolls shall be allowed. All fees or tolls in excess of $10 shall be accompanied by a receipt indicating the amount paid.

4. When the use of public transportation is a reasonable alternative, the mileage payment shall not exceed the cost of its use. A reasonable alternative exists when the cost of travel, taking into account both transportation, time and per diem expenses, would be less if public transportation were used.

5. Mileage will be payable to only one of 2 or more individuals traveling in the same vehicle. The names of the individuals and their respective employing Agencies shall be stated on the travel voucher.

6. Use by an employee of privately owned aircraft on State business is governed by 80 Ill. Adm. Code 3000.300(g).

f) Travel Through Headquarters

1. Examples of reimbursable mileage expenses are as follows:

A) Residence − Lincoln/Headquarters − Springfield. Employee drives from residence in Lincoln to Chicago and returns to residence. Reimbursement is for all mileage because the travel was not through headquarters.

B) Residence − Lincoln/Headquarters − Springfield. Employee drives from residence in Lincoln to Collinsville and back to residence. Reimbursement is for all mileage in excess of commuting mileage. The travel, by the most direct route, was through headquarters.

C) Residence − Carbondale/Headquarters − Marion. Employee drives from residence to headquarters. Later, employee drives from headquarters to Anna and back to residence. Reimbursement is for all mileage in excess of commuting mileage.

D) Residence − Evanston/Headquarters − Chicago. Employee drives from residence to McCormick Place for an event. After the event, the employee drives to headquarters, then to residence. Reimbursement is for all mileage in excess of commuting mileage because the travel was through headquarters.

E) Residence − Chicago/Headquarters − Chicago. Employee normally commutes to work by train. However, in order to attend a meeting at another location, the employee drives from residence to headquarters, then to the meeting location, then returns to headquarters and back to residence. Reimbursement is for all mileage in excess of commuting mileage. The fact that the employee normally rides the train to work has no effect on determining reimbursement.

2. As a condition of employment, employees expect to incur commuting expenses between their residence and headquarters. These expenses are not reimbursable. Meals, lodging and per diem are not reimbursable at headquarters or at residence.

History

• Source: Amended at 48 Ill. Reg. 3427, effective February 23, 2024

80 Ill. Adm. Code 2900.65 Special Expenses

a) The cost of miscellaneous business related expenses incurred shall be allowed if reasonable. Examples of reimbursable expenses include:

1. Hire of room, exhibit space, set up, etc., for official business.

2. Laundry and dry cleaning if on travel status for at least 7 consecutive days.

3. Storage and handling of baggage.

4. Taxis, including reasonable tips.

5. Telephone calls on official business, including calls of 3 minutes or less to announce safe arrival or delay or change in plans.

6. Telephone calls to secure lodging.

7. Hotel internet charges when used for official business and Agency head approval is obtained.

b) Examples of non-reimbursable expenses include:

1. Alcoholic beverages.

2. Coat check.

3. Entertainment.

4. Late checkout and room guarantee charges (unless special circumstances exist and Agency head approval is obtained).

5. Meals for other State employees or officers.

6. Parking tickets or other traffic tickets and charges associated with locksmith service.

7. Tips incurred beyond those specifically provided in this Part.

8. Transportation to procure meals, except as provided in Section 2900.60(a)(3).

History

• Source: Renumbered from Section 2900.40 and amended at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.70 Lodging

a) It is the responsibility of each employee to request the lowest available lodging rate at the time of making reservations. However, a person who, due to a disability, may require special lodging consideration may be reimbursed for the actual cost of the least costly lodging that is substantially accessible. The traveler shall require confirmation that "State rates" offered by hotels/motels are within the maximum allowed. If an exception is not granted by the Board, the employee shall absorb the excess cost. Employees shall be prepared to provide identification and proof of State employment to obtain State lodging rates.

b) Lodging allowances are specified at the maximum rates established by the federal government for travel expenses, subsistence expenses, and mileage allowances under 5 U.S.C. Subchapter I and 41 CFR 300 through 304. (Section 12-2(f) of the Act) The current rates can be found at https://www.gsa.gov/travel. State of Illinois travel regulations allow for payments in excess of applicable rates when approved by the Board. In all cases of requests for approval for payment of hotel rates that exceed the maximum rate permitted, a diligent effort must be made to obtain lodging in a hotel honoring the applicable rate. A reasonable number of hotels must be contacted. This is not required in the case of an individual who attends a conference and stays at or near the hotel where the conference is held, as provided in Section 2900.100(a). A report of all lodging exceptions granted by an Agency shall be submitted for approval at the quarterly meeting of the Board.

History

• Source: Amended at 48 Ill. Reg. 3427, effective February 23, 2024

80 Ill. Adm. Code 2900.75 Employee Owned or Controlled Housing

a) State employees on travel status may stay in employee owned or controlled (rented, leased, etc.) property, including motor homes, and shall be reimbursed, upon request for the cost of lodging not to exceed 75% of the applicable lodging rate per day. Lodging reimbursement shall not exceed the mortgage, installment or rental payment made by the employee. The monthly mortgage, installment or rental payment may not exceed $960 in the city of Chicago, $700 in suburban Cook County or Lake, McHenry, Kane, Will or DuPage County, and $550 in the 96 downstate counties. The total reimbursement for the fiscal year shall not exceed the mortgage, installment or rental total of that fiscal year. Exceptions to the monthly mortgage, installment or rental payment allowed may be granted by the Board upon written request from the Agency head. Once that amount is reached, further lodging reimbursement shall not be given for travel to the city or work site containing the employee owned or controlled housing. Each Agency shall monitor expenses to ensure compliance with travel regulations and shall report to the Board when the maximum reimbursement is reached. Agencies shall report quarterly to the Board fiscal year to date expenses of employees receiving reimbursement under this provision. Prior to receiving reimbursement, a statement giving the address of the property, mortgage, installment or rental payment and distance from the work site must be filed with the Board. This option is available only if it is proven to be the least costly alternative.

History

• Source: Added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.80 Meal Allowances

Meal allowances are specified as allowable by 41 CFR 300 through 304. The current rates can be found at https://www.gsa.gov/travel. Receipts are not required to support the claim.

History

• Source: Amended at 48 Ill. Reg. 3427, effective February 23, 2024

80 Ill. Adm. Code 2900.85 Per Diem

Per diem allowances are set at the rate allowable by 41 CFR 300 through 304. The current rates can be found at https://www.gsa.gov/travel.

History

• Source: Amended at 48 Ill. Reg. 3427, effective February 23, 2024

80 Ill. Adm. Code 2900.90 Receipts Required

Receipts are required for any transportation, lodging or miscellaneous expense that individually exceeds $10. If the receipts are not available, a signed affidavit by the traveler certifying the amount may be acceptable. Agencies are responsible for proper monitoring of claims under this Section.

History

• Source: Added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.95 Meals for Other Persons

Meals purchased for non-State employees while on travel status and in conjunction with State business are reimbursable in reasonable amounts. An affidavit specifying why, for whom, and certifying that the claim does not include alcoholic beverages shall be attached to the travel voucher. Agencies are responsible for proper monitoring of claims under this Section.

History

• Source: Added at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.100 Approved Conferences/Official Meetings

a) When an employee attends a recognized conference in the conduct of official Agency business and obtains overnight accommodations at the hotel or motel where the conference is being held, or at a hotel or motel where conference officials arrange for accommodations, the individual may be reimbursed for room cost in an amount greater than the maximum room allowance provided by 41 CFR 300 through 304 if the room rate is the lowest available at that hotel or motel. Lodging allowances can be found at https://www.gsa.gov/travel. A copy of the conference agenda depicting the hotels must be attached to the travel voucher.

b) If the conference fee includes a meal, the meal or per diem allowance shall be reduced by the actual value of the meal or the amount of the applicable meal allowance shown in the reimbursement schedule, whichever is less.

c) An employee may be reimbursed from the Travel line 1290 for conference registration fees of $50 or less on Form C-10 (Travel Voucher). Conference registration fees billed directly to the State are to be paid from Contractual Services (line 1200). When conference fees include lodging and/or meals and no detailed breakdown is given, the entire amount is to be charged to Contractual Services.

History

• Source: Amended at 48 Ill. Reg. 3427, effective February 23, 2024

80 Ill. Adm. Code 2900.105 Exceptions to the Regulations

a) Exceptions

The Board will review requests submitted by Agencies for travel reimbursement involving exceptions for travel and may approve exceptions to travel regulations when they are deemed to be in the best interest of the Agency. Requests for exceptions shall be submitted in writing and apply only to one instance or event. Approval is based upon a review of the circumstances in relation to economic factors and feasibility. The Board may consider exceptions either before or after payment has been made by the Agency.

b) Refund of Disbursements

Amounts disbursed for travel reimbursement claims that are disapproved by the Board shall be refunded to and deposited in the fund from which payment was made.

c) Agency Policies

The rates for reimbursements set forth in this Part represent the maximums permitted. The Agency may establish policies allowing for lesser reimbursement in cases where the Agency and traveler agree a lower rate is reasonable and in the best interest of the Agency and the State of Illinois.

d) Report to Legislative Audit Commission

A report of travel reimbursement claims involving exceptions to travel regulations reviewed by the Board shall be submitted to the Legislative Audit Commission at least once each quarter.

History

• Source: Amended at 48 Ill. Reg. 3427, effective February 23, 2024

80 Ill. Adm. Code 2900.110 Travel Vouchers

a) Preparation of Travel Vouchers

1. All claims for the reimbursement of travel expenses shall be prepared in accordance with this Part.

2. The purpose of the travel shall be indicated on the travel voucher.

3. The travel voucher shall show in the space provided the dates of travel, points of departure and destination, mode of transportation, and cost of the transportation secured. When a privately owned vehicle is used, the travel voucher shall also show the rate of reimbursement, mileage and amount of reimbursement.

4. If the distance traveled between any given points is greater than the usual route between these points shown on a map or internet program, the reason for the greater distance shall be stated. (See Section 2900.30 (b).)

5. Travel vouchers shall be supported by receipts in all instances for railroad and airplane transportation, for lodging, and all other items in excess of $10.

6. The travel expense voucher shall be signed by the individual who has incurred the expense.

7. Each travel voucher must contain a certification as required by Section 12 of the State Finance Act [30 ILCS 105/12].

8. Individuals submitting travel vouchers are personally responsible for their accuracy and propriety. Any misrepresentation may be cause for disciplinary or legal action. It is the individual agencies' responsibility to detect misrepresentation and impose consequent disciplinary action.

b) Approval and Submission of Travel Vouchers

1. All copies of each travel voucher shall be first approved in accordance with Agency policy to certify that the travel shown was required by official duties.

2. All copies of the travel voucher shall then be approved in writing by the Agency's authorized representative. After such processing, appropriate copies of the voucher shall be forwarded to the Comptroller, or appropriate Agency department, for payment.

3. Travel vouchers that are not prepared in accordance with this Part or not properly supported by receipts or affidavits when required shall be returned to the originator for correction.

c) Items Billed Directly

No requests for reimbursement shall be made for items of expenditure in connection with travel that are billed directly to the Agency. However, those charges shall be itemized on the individual's travel voucher. Such expenses shall not be in excess of the maximum allowed. Meal and incidental expenses billed directly to the Agency that are in excess of the amount allowed shall be deducted from the per diem allowance.

History

• Source: Renumbered from Section 2900.60 and amended at 32 Ill. Reg. 4784, effective April 4, 2008

80 Ill. Adm. Code 2900.115 Reimbursement Rates

All business travel shall be reimbursed according to the maximum rates established by the federal government for travel expenses, subsistence expenses, and mileage allowances under 5 U.S.C. Subchapter I and 41 CFR 300 through 304. (Section 12-2(f) of the Act) The current rates can be found at https://www.gsa.gov/travel.

History

• Source: Amended at 48 Ill. Reg. 3427, effective February 23, 2024

Chapter IV Travel Regulation Council

Part 3000 The Travel Regulation Council

80 Ill. Adm. Code 3000.100 Authority

This Part is promulgated under the authority vested in the Travel Regulation Council by Sections 12-1, 12-2 and 12-3 of the State Finance Act [30 ILCS 105/12-1, 12-2 and 12-3].

History

• Source: Amended at 37 Ill. Reg. 4383, effective March 22, 2013

80 Ill. Adm. Code 3000.110 Philosophy

The Travel Regulation Council believes first and foremost that State employees are honest individuals and that claims for reimbursement are made in all good faith. The Council is therefore obliged to deal fairly with agencies and individuals in carrying out its responsibilities.

80 Ill. Adm. Code 3000.120 Policy

It is the policy of the State to reimburse employees for reasonable authorized expenses incurred by them in the performance of their duties. The Travel Regulation Council will at least biennially review and revise rates to reflect, as accurately as possible, the actual amounts necessary to reimburse employees. Rates of reimbursement are shown in Appendix A, Reimbursement Schedule.

80 Ill. Adm. Code 3000.130 Scope and Interpretation

a) This Part shall apply to the following:

1. All full and part-time employees of the State regardless of funding source;

2. Public members, whether salaried or unsalaried of State Boards, Commissions, and Authorities, advisory or otherwise;

3. Wards and charges of the State.

b) The following are specifically exempt from this Part:

1. Elected constitutional officers and members of constitutional State Boards.

2. Members of the General Assembly

3. Judges

4. The Auditor General

5. Independent Contractors

c) Questions regarding interpretation and application of this Part shall first be addressed to an individual's employing agency. The employing agency may refer the question to the Travel Control Board holding jurisdiction over the Agency. The Travel Regulation Council shall have final interpretation of this Part. The decision of the Council as to the proper interpretation of any such rule shall be final and binding. All covered agencies and employees shall comply with the Council's decision in the absence of a written opinion from the Attorney General or a decision of a court of competent jurisdiction.

80 Ill. Adm. Code 3000.140 Definitions

Act: The State Finance Act [30 ILCS 105].

Agency: Any department, board, commission, committee, authority, or institution as defined in the Illinois State Auditing Act [30 ILCS 5/1-7].

Agency Head: The chief executive officer of an agency or a designated representative. Representatives must be authorized by the Agency Head and must be on file with the Office of the Comptroller. Filing of the Signature Authorization Card (SCO-95) shall constitute authorization.

Commuting Expense: The cost of one round trip between residence and headquarters. Cost may include mileage, parking fees, tolls, etc. Mileage cost is determined by multiplying the commuting mileage by the mileage reimbursement rate defined in Appendix A, Reimbursement Schedule.

Commuting Mileage: The actual round trip mileage between residence and headquarters.

Headquarters: The post of duty or station at which official duties require the employee to spend the largest part of working time. Headquarters shall ordinarily be the corporate city limits in which the employee is stationed or may be a designated geographical area. Headquarters shall be designated by the Agency Head in accordance with policies established by the appropriate Travel Control Board.

Travel Control Board: Those Boards created by the State Finance Act [30 ILCS 105/12-1].

Travel Regulation Council: The Travel Regulation Council (TRC or the Council) shall consist of the Chairmen or designee of each of the statutorily created Travel Control Boards.

Travel Status: An employee shall be considered "on travel status" while away from headquarters on authorized state business. Travel status shall begin when an employee leaves headquarters or, if reporting directly to destination, from residence or other location. Travel status shall conclude when an employee returns to headquarters or, if reporting directly from original destination, to residence or other location at the completion of authorized State business.

History

• Source: Amended at 48 Ill. Reg. 2844, effective February 6, 2024

80 Ill. Adm. Code 3000.150 Remote Attendance

If a quorum of the members of the Council are physically present, as provided for in Section 2.01 of the Open Meeting Act [5 ILCS 120], a member not physically present may attend by way of video or audio conference if:

a) The member is prevented from physically attending due to:

1. personal illness or disability;

2. employment purposes or the business of the public body;

3. a family or other emergency [5 ILCS 120/7]; and

b) The member notifies the chair and/or the Council staff prior to the meeting, unless advance notice is impractical, of their desire to attend by way of video or audio conference; and

c) A majority vote of the Council is held approving of the member's attendance by way of video or audio conference.

History

• Source: Added at 48 Ill. Reg. 2844, effective February 6, 2024

80 Ill. Adm. Code 3000.200 Travel Control System

Each Travel Control Board shall prescribe a travel control system for the agencies and employees under its jurisdiction.

80 Ill. Adm. Code 3000.210 Designation of Headquarters

a) Section 12-3 of the State Finance Act, [30 ILCS 105/12-3], requires that Form TA-2 be completed and filed with the Legislative Audit Commission for any individual whose headquarters has been designated as a location other than that at which official duties require the largest part of working time. The reports shall be filed no later than July 15 for the period from January 1 through June 30 of that year and no later than January 15 for the period July 1 through December 31 of the preceding year. If an agency has more than one facility or institution, the report shall indicate on its face to which facility or institution the data pertain.

b) Agencies with no officers or employees in this status will file negative reports.

c) The Travel Control Boards shall prescribe procedures for headquarters designation for Agency Heads under their respective jurisdictions.

History

• Source: Amended at 20 Ill. Reg. 7372, effective May 13, 1996

80 Ill. Adm. Code 3000.220 Expenses at Headquarters or Residence

a) As a condition of employment, employees expect to incur commuting expenses between their residence and headquarters. These expenses are not reimbursable. Meals, lodging and per diem are not reimbursable at headquarters or at residence. Expenses associated with State business in excess of commuting expenses are reimbursable at headquarters and/or residence. An employee whose travel does not include travel through headquarters shall be reimbursed for all mileage. An employee whose travel does include travel through headquarters shall be reimbursed for all mileage in excess of commuting mileage. All travel must be by the most direct route.

b) "Travel through headquarters" is defined as:

Any travel to or through the corporate city limits of the employee's designated headquarters, regardless of whether the employee made a stop at the work site or changed vehicles or modes of transportation.

c) Examples of reimbursable mileage expenses are as follows:

1. Residence/Lincoln – Headquarters/Springfield. Employee drives from residence in Lincoln to Chicago and returns to residence. Reimbursement is for all mileage because the travel was not to or through headquarters.

2. Residence/Lincoln – Headquarters/Springfield. Employee drives from residence in Lincoln to Collinsville and back to residence. Reimbursement is for all mileage in excess of commuting mileage. The travel, by the most direct route, was through headquarters.

3. Residence/Carbondale – Headquarters/Marion. Employee drives from residence to headquarters. Later, employee drives from headquarters to Anna and back to residence. Reimbursement is for all mileage in excess of commuting mileage.

4. Residence/Evanston – Headquarters/JRTC, Chicago. Employee drives from residence to McCormick Place for an event. After the event, the employee drives to headquarters, then to residence. Reimbursement is for all mileage in excess of commuting mileage because the travel was through headquarters.

5. Residence/Chicago – Headquarters/JRTC, Chicago. Employee normally commutes to work by train. However, in order to attend a meeting at another location, the employee drives from residence to headquarters, then to the meeting location, then returns to headquarters and back to residence. Reimbursement is for all mileage in excess of commuting mileage. The fact that the employee normally rides the train to work has no effect on determining reimbursement.

d) Agencies are responsible for monitoring claims under this Section.

History

• Source: Amended at 37 Ill. Reg. 4383, effective March 22, 2013

80 Ill. Adm. Code 3000.230 Preparation and Submission of Vouchers or Travel Expenses

The Travel Control Boards shall prescribe procedures for the preparation and submission of vouchers for travel expenses for agencies under their respective jurisdictions to comply with the Comptroller's Uniform Statewide Accounting System and shall include the certification required by Section 12 of the State Finance Act [30 ILCS 105/12].

History

• Source: Amended at 20 Ill. Reg. 7372, effective May 13, 1996

80 Ill. Adm. Code 3000.300 Modes of Transportation

a) All travel shall be by the most economical mode of transportation available considering travel time, costs and work requirements. Modes of transportation authorized for official travel include automobiles, railroads, airlines, buses, taxicabs, and other usual means of conveyance.

b) State vehicles may be used when most economical. When applicable, Vehicle Rules (44 Ill. Adm. Code 5040) issued by the Department of Central Management Services shall govern use of State-owned vehicles. Agency rules further defining use of vehicles may also apply. Specific instructions covering service and repairs of these vehicles are to be found in the glove compartment of each vehicle.

c) Arrangements on airplanes, trains, or boats shall be the least costly reasonably available alternative.

d) Chartered aircraft, boats, trains, buses or other similar conveyance shall be used only as a last resort or if proven to be most economical for the circumstances. A full explanation for the use of that transportation must accompany the voucher.

e) The rental of an automobile while on travel status is allowed, if circumstances require. The most economical vehicle available that is suitable for the State's business shall be obtained. The collision damage waiver and personal accident insurance on rented vehicles are not reimbursable.

f) Privately owned vehicles may be used when authorized by appropriate agency personnel.

1. Employees using private vehicles on State business must have insurance coverage in an amount not less than that required by Section 10-101(b) of the Illinois Vehicle Code [625 ILCS 5]. Prior to that authorization the Agency Head shall require employees to file a statement certifying that they are duly licensed and carry at least the minimum insurance coverage or shall require that certification to be noted on the travel voucher.

2. Reimbursement for use of a private vehicle shall be on a mileage basis and shall be in accordance with the rate promulgated pursuant to 5 U.S.C. 5707(b)(2)(A)(i) and 41 CFR 301-10.303. As provided for in the Act, if the rates set under federal regulations increase or decrease during the course of the State's fiscal year, the effective date of the new rate shall be the effective date of the change in the federal rate. [30 ILCS 105/12-2(f)]

g) Agency Heads may authorize the use of privately owned aircraft on State business.

1. Employees using privately owned aircraft on State business shall be duly licensed by the appropriate licensing body for the particular aircraft to be flown, shall carry insurance in at least the amount of $500,000 combined single limit, and shall certify this to the Agency Head. The certification of insurance shall be available for review and shall be noted on the travel voucher.

2. Reimbursement for the use of privately owned aircraft may be set by the individual Boards, but shall not exceed the rate set by the Federal Government pursuant to 5 U.S.C. 5707(b)(2) and 41 CFR 301-4.2(a)(2), as revised September 8, 1998 (Federal Register, Vol. 63, #173, Government Printing Office). No later amendments or editions shall act to vary this rate.

History

• Source: Amended at 48 Ill. Reg. 2844, effective February 6, 2024

80 Ill. Adm. Code 3000.310 Routing

All travel shall be by the most direct route. Expenses due to deviations for convenience shall be borne by the employee. Distances between destinations shall be as shown on the Illinois Highway Map published by the Secretary of State. Where no mileages are available, odometer readings shall be used. Mileage in and around a city of destination may be claimed as such.

80 Ill. Adm. Code 3000.400 Lodging Allowances

The maximum daily lodging allowance shall be in accordance with the rates promulgated pursuant to 5 U.S.C. 5702(a)(1)(B). As provided for in the Act, if the rates set under federal regulations increase or decrease during the course of the State's fiscal year, the effective date of the new rate shall be the effective date of the change in the federal rate. [30 ILCS 105/12-2(f)] Except as provided for in Section 3000.430, only commercial lodging may be reimbursed.

History

• Source: Amended at 48 Ill. Reg. 2844, effective February 6, 2024

80 Ill. Adm. Code 3000.410 Least Costly Lodging

It is the responsibility of each employee to request the lowest available lodging rate at the time of making reservations. However, a person who due to a handicap may require special lodging consideration may be reimbursed for the actual cost of the least costly lodging that is substantially accessible. The traveler should require confirmation that "State rates" offered by hotels-motels are within the maximums allowed. If an exception is not granted by the appropriate Travel Control Board, the employee shall absorb the excess cost. Employees should be prepared to provide identification and proof of State employment to obtain State lodging rates.

80 Ill. Adm. Code 3000.420 Conference Lodging

Conference lodging charges or lodging at official meeting hotels when pre-approved by the Agency Head in excess of the maximums allowed in Appendix A, Reimbursement Schedule are considered exceptions to this Part. Policies regarding conference lodging may be established by the Travel Control Boards for their respective jurisdictions.

80 Ill. Adm. Code 3000.430 Employee Owned or Controlled Housing

The Travel Control Boards may establish policies and procedures for obtaining reimbursement for the use of employee owned or controlled housing while on travel status.

80 Ill. Adm. Code 3000.500 Per Diem Allowance

a) The per diem allowances shall be in accordance with the rates promulgated pursuant to 5 U.S.C. 5702(a)(1)(A). As provided for in the Act, if the rates set under federal regulations increase or decrease during the course of the State's fiscal year, the effective date of the new rate shall be the effective date of the change in the federal rate. [30 ILCS 105/12-2(f)]

b) Per diem shall be paid for travel which includes overnight lodging or is 12 or more continuous hours. It is given in lieu of the meal allowance and is to cover the cost of meals and meal tips. Receipts need not be submitted to support this allowance. First and last day of travel shall be at the rates provided for in accordance with subsection (a).

c) The location for computing per diem shall be based on the location at which State business is conducted or the stopover point while on travel status. For travel which does not require lodging, the rate is the rate applicable for the location at which State business is conducted. For single day travel during which business is conducted at multiple locations, the rate is the highest rate of the business locations.

1. Example 1: An employee is traveling to Springfield from Chicago. Business is conducted in Springfield, then the employee returns to Chicago the same day. The rate will be the first and last day travel rate for Springfield.

2. Example 2: An employee is traveling from Springfield to East St. Louis. Business is conducted in East St. Louis. The employee then travels to Marion and conducts business there. The employee then travels back to Springfield. The per diem rate is based on East St. Louis, since that is the higher per diem, and the first and last day of travel rate will apply.

3. Example 3: An employee is traveling to Chicago from Springfield. Business is conducted in Chicago. The employee stays overnight in Chicago and travels back to Springfield the next day. The rate is for Chicago both days, and the first and last day of travel rate applies for both days of travel.

d) Meal allowance and per diem may not be mixed on the same day.

History

• Source: Amended at 49 Ill. Reg. 3522, effective March 7, 2025

80 Ill. Adm. Code 3000.510 Meal Allowance

a) The meal allowances shall be in accordance with the rates promulgated pursuant to 5 U.S.C. 5702(a)(1)(A). As provided for in the Act, if the rates set under federal regulations increase or decrease during the course of the State's fiscal year, the effective date of the new rate shall be the effective date of the change in the federal rate. [30 ILCS 105/12-2(f)]

b) The meal allowances are given when the traveler is not eligible to receive per diem. Receipts need not be submitted to support these.

c) Breakfast is payable when an employee is on travel status and leaves headquarters or residence (if reporting directly to the destination) at or before 6:00 a.m.

d) Lunch is not a reimbursable expense. The amount for lunch is established for the purpose of setting a per meal ceiling on conference lunches and meals purchased for non-State officers and employees.

e) Dinner is payable when an employee is on travel status and arrives back at headquarters or residence (if reporting directly from destination) at or after 7:00 p.m. For employees commencing travel after close of business, but before 6:30 p.m., dinner reimbursement is allowed if the traveler would not be eligible for per diem.

History

• Source: Amended at 48 Ill. Reg. 2844, effective February 6, 2024

80 Ill. Adm. Code 3000.600 Reimbursable and Non-Reimbursable Expenses

a) The cost of business related special expenses, if reasonable, shall be reimbursable. Examples are:

1. Hire of room, exhibit space, set up, and such for official business.

2. Laundry and dry cleaning if on travel status for at least seven (7) consecutive days.

3. Storage and handling of baggage.

4. Taxis including reasonable tips.

5. Telephone calls on official business including calls of 3 minutes or less to announce safe arrival or delay-change in plans.

6. Telephone calls to secure lodging

b) Examples of non-reimbursable expenses are:

1. Alcoholic Beverages

2. Coat Check

3. Entertainment

4. Late check-out and room guarantee charges

5. Meals for other State employees or Officers

6. Parking tickets or other traffic tickets

7. Tips incurred beyond those specifically provided in this Part

8. Transportation to procure meals except as provided in Section 3000.610.

80 Ill. Adm. Code 3000.610 Expenses Related to Transportation

a) Reimbursement for the cost of automobile parking fees and tolls shall be allowed. Parking fees at a terminal or other parking area while the traveler is away from headquarters shall be allowed.

b) When the use of a common carrier is a reasonable alternative, the mileage payment shall not exceed the cost of its use. A reasonable alternative exists when the cost of travel, taking into account both transportation, time and meal expenses would be less if a common carrier were used.

c) Where the nature and location of work at a temporary duty station are such that suitable meals cannot be procured there, the expenses of daily travel required to procure meals at the nearest available place shall be considered necessary transportation. A statement of the necessity for such daily travel shall accompany or be noted on the travel voucher.

80 Ill. Adm. Code 3000.620 Receipts Required

Receipts are required for any transportation, lodging, or miscellaneous expense that individually exceeds $10.00. Lack of receipts is an exception to this Section and shall be addressed in accordance with policies established by the respective Travel Control Boards. Agency Heads and/or Travel Control Boards may require receipts for lesser amounts.

80 Ill. Adm. Code 3000.630 Meals for Other Persons

Meals purchased for non-State employees while on travel status and in connection with State business are reimbursable in reasonable amounts. A statement specifying why, for whom, and certifying that the claim does not include alcoholic beverages shall be attached to the travel voucher. Agencies are responsible for proper monitoring of claims under this Section.

80 Ill. Adm. Code 3000.700 Exceptions to the Rules

The Travel Control Boards shall establish policies and procedures for granting exceptions to this Part. The Boards shall report quarterly to the Legislative Audit Commission on exceptions granted.

80 Ill. Adm. Code 3000.710 Board/Agency Rules

The Travel Control Boards and agencies may establish travel rules for their respective employees which may be more restrictive than those established by the Council. Agencies which set such policies shall do so with the advice of the appropriate Travel Control Board. However, reimbursement rates shall be at the amount required by Section 12-2(f) of the Act.

History

• Source: Amended at 48 Ill. Reg. 2844, effective February 6, 2024

80 Ill. Adm. Code 3000.720 Non-Required Travel

When travel is not required as a condition of employment and is a benefit to both the agency and the employee, the Agency Head or designee may provide partial reimbursement. The reimbursement may not in any case exceed the rates otherwise authorized.

80 Ill. Adm. Code 3000.APPENDIX A Reimbursement Schedule

The following rates are effective for the Travel Control Boards.

Type of Reimbursement

Rate

Mileage

Auto

See Section 3000.300(f)(2)

Plane

See Section 3000.300(g)(2)

Per Diem/Meals

Per Diems

See Section 3000.500

Meals

See Section 3000.510

Lodging

Inside the United States

See Section 3000.400

Out-of-Country

Actual Reasonable

History

• Source: Amended at 48 Ill. Reg. 2844, effective February 6, 2024

Chapter V Department of Central Management Services

Part 3100 Auto Liability

80 Ill. Adm. Code 3100.100 Summary and Purpose

This Part outlines the conditions and procedures under which an employee's insurance coverage under the State's Self-Insured Motor Vehicle Liability Plan (Plan) may be revoked. The purpose of this Part is strictly to determine insurability under the plan and shall not constitute an admission of liability.

80 Ill. Adm. Code 3100.200 Review of Accidents

a) Claims adjustors in the Department of Central Management Services (CMS), Bureau of Benefits Auto Liability Unit (Unit) shall investigate all motor vehicle accidents involving State employees who were driving State vehicles or who were engaged in State business at the time the accident occurred.

b) After reviewing all relevant evidence, the claims adjustor shall determine whether the employee involved in the accident was "at fault." This determination will be apart from the determination of liability.

History

• Source: Amended at 37 Ill. Reg. 7742, effective May 23, 2013

80 Ill. Adm. Code 3100.300 Standards to Be Used by Claims Adjustors

a) For the purposes of this Part, an employee shall be "at fault" when:

1. the accident is caused by the failure of the employee to operate the motor vehicle with the degree of care that would normally be exercised by an ordinary reasonable person; and

2. the failure of the employee to exercise due care is more than 50% responsible for the resulting accident.

b) In determining an employee to be at fault, the claims adjustor shall consider:

1. any mitigating factors present, such as an employee's being required to drive under adverse weather conditions or on congested roadways;

2. special requirements of the employee's assignment or standing departmental orders or policies, including the needs of law enforcement, public safety and emergency personnel.

c) The determination of "at fault" made by the claims adjustor is a determination of insurability and shall not under any circumstances be interpreted as an admission of liability. All findings shall be treated as confidential information. The records shall not be available for non-official inspection and use or subject to release under a Freedom of Information Act [5 ILCS 140] request without the prior permission of the affected employee.

History

• Source: Amended at 37 Ill. Reg. 7742, effective May 23, 2013

80 Ill. Adm. Code 3100.400 Monitoring Reports (repealed)

History

• Source: Repealed at 21 Ill. Reg. 10036, effective July 15, 1997

80 Ill. Adm. Code 3100.500 Notice of Multiple at-Fault Accidents – Warning Status

a) If an employee is involved in two at-fault accidents within two years in which damages exceed $500 per occurrence, that employee will be sent a letter via certified mail from the Unit placing them in warning status. Employees placed on warning status will be encouraged to complete a remedial driver's training course approved by CMS. For purposes of damage calculation, property damages to third parties or to the State vehicle or other State property will be based on the lesser of two repair estimates or on the estimate by the State's damage appraisal vendor. Bodily injury damages will be calculated based on medical evidence. Where primary coverage is provided by the State employee's personal insurance carrier, damage will be as documented by the private carrier.

b) The letter shall notify the employee that an additional at-fault accident within one year after receipt of the letter will place the employee's coverage under the Plan on probation.

History

• Source: Amended at 37 Ill. Reg. 7742, effective May 23, 2013

80 Ill. Adm. Code 3100.600 Probation

a) Should a State employee be involved in an additional at-fault accident in which damages exceed $500 within one year after receiving the notice specified in Section 3100.500, that employee's coverage under the Plan shall be placed on probation for one year.

b) An employee whose coverage is placed on probation shall be notified by the Unit via certified mail that if he or she is involved in an additional at-fault accident for which damages exceed $500, as defined in 80 Ill. Adm. 3100.500, within one year after the date of the notice, the employee shall be deemed an unacceptable risk and coverage under the plan may be revoked.

c) Upon receiving written evidence from the provider of the course that an employee whose coverage is placed on probation has satisfactorily completed a remedial driver's training course approved by CMS, that employee shall be removed from probation. If one year has not expired since receipt of the warning status letter, the individual will be returned to warning status until the expiration of one year from the receipt of the warning status letter. CMS will reimburse employees successfully completing an approved course of remedial training. The criteria for approval of a remedial training course shall include:

1. a curriculum based on teaching recognized defensive driving techniques and accident prevention;

2. course length sufficient to teach these skills, not in excess of 2 weeks or shorter than 8 hours; and

3. a reasonable fee for instruction, not in excess of $100.

History

• Source: Amended at 37 Ill. Reg. 7742, effective May 23, 2013

80 Ill. Adm. Code 3100.700 Revocation of Coverage

An employee's coverage under the Plan shall be revoked when:

a) The employee was grossly negligent or guilty of willful and wanton misconduct which was a material cause of a motor vehicle accident in which the employee was at fault; or

b) The employee is deemed to be an unacceptable risk.

80 Ill. Adm. Code 3100.800 Gross Negligence

For the purposes of this Part, an employee shall be deemed to be grossly negligent when the employee operated the motor vehicle involved in a manner which demonstrates that the employee failed to exercise even a slight degree of ordinary due care to prevent injury to the person or property of another.

History

• Source: Amended at 21 Ill. Reg. 10036, effective July 15, 1997

80 Ill. Adm. Code 3100.900 Willful and Wanton Misconduct

For the purposes of this Part, an employee shall be deemed to have engaged in willful and wanton misconduct when the employee operated the motor vehicle involved in a manner which demonstrates an intentional disregard for the safety of other persons or property.

History

• Source: Amended at 21 Ill. Reg. 10036, effective July 15, 1997

80 Ill. Adm. Code 3100.1000 Unacceptable Risk

For the purposes of this Part, an employee is deemed an unacceptable risk when:

a) An employee has an at-fault accident within the probationary period and damages exceed $500 as defined in 80 Ill. Adm. Code 3100.500;

b) An at-fault accident results in property damage liability reserved by the Unit claims adjustor and verified by the claims supervisor in the amount of $1 million or more;

c) An at-fault accident results in bodily injuries and damages are reserved by the Unit claims adjustor and verified by the claims supervisor in the amount of $1 million or more;

d) An at-fault accident results in the wrongful death of a person; or

e) An at-fault accident results in bodily injury or property damage to a third party and the employee is subsequently convicted as driving under the influence as defined in Article V of the Illinois Rules of the Road [625 ILCS 5/Ch. 11, Art. V]. For purposes of this Subpart, court supervision or revocation of license for failure to submit to a breath test shall not constitute conviction.

History

• Source: Amended at 37 Ill. Reg. 7742, effective May 23, 2013

80 Ill. Adm. Code 3100.1100 Review Prior to Revocation of Coverage

a) Prior to revoking the coverage of any employee under the Plan, the Director of CMS shall convene a special committee to review all accidents leading to the revocation.

b) This committee shall be composed of three employees of CMS and one representative of the employing agency chosen by the Director of that agency. If the employee whose coverage is to be revoked is represented by a collective bargaining unit, then a representative of that collective bargaining unit chosen by the unit shall also be appointed to the committee.

c) The committee shall hear all relevant evidence, including evidence or statements presented by the affected employee. The purpose of the committee's review is to verify that the record supports that the requirements of Section 3100.1000 were present and support the revocation of coverage.

d) The committee shall also consider any mitigating factors, including but not limited to length of service, prior driving record, the employee's position and the type of driving engaged in. The purpose of this review is to determine that mitigating factors, such as those defined in Section 3100.300, are sufficient to support the continuation of probationary status or dictate that revocation be for a limited time.

e) The committee shall recommend to the Director that the employee's coverage either be revoked or that the employee remain on probationary status.

f) If the committee recommends that coverage be revoked, it shall also recommend the length of the revocation period. Coverage may be revoked for between one and five years. The basis for this recommendation shall be the standards incorporated in subsections (c) and (d).

g) The Director of CMS will then determine whether coverage should be revoked and the length of the revocation. This decision shall be based on the standards incorporated in subsections (c), (d) and (f).

h) The employee shall be notified of the Director's decision by letter sent by certified mail. Revocation shall be effective 10 days from the date of mailing.

History

• Source: Amended at 37 Ill. Reg. 7742, effective May 23, 2013

80 Ill. Adm. Code 3100.1200 Appeal

a) The employee shall have the right to appeal the Director's decision.

b) An appeal shall be filed with CMS within 30 days after the effective date of the revocation. The revocation shall remain in full force and effect during the appeal.

c) Any appeal shall be conducted as an administrative hearing pursuant to the requirements of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/Art. 10].

d) The decision of the hearing officer shall be final and binding and shall constitute the employee's final administrative relief.

History

• Source: Amended at 37 Ill. Reg. 7742, effective May 23, 2013

Chapter I Department of Innovation and Technology

Part 4000 Mandatory Cybersecurity Training

80 Ill. Adm. Code 4000.100 Purpose

This Part implements the annual State of Illinois' employee cybersecurity training requirements set forth in Section 25 of the Data Security on State Computers Act [20 ILCS 450].

80 Ill. Adm. Code 4000.105 Definitions

Terms not defined in this Section shall have the same meaning as in the State Officials and Employees Ethics Act [5 ILCS 430]. The following definitions are applicable for purposes of this Part:

"Act" means the Data Security on State Computers Act [20 ILCS 450].

"Agency" or "DoIT" means the Department of Innovation and Technology.

"Designated Contact" means the State employee appointed by an agency, board or commission to serve as the entity's cybersecurity-training liaison with DoIT and shall monitor and support that entity's compliance with the cybersecurity training requirements of this Part.

"Employee" means:

any person employed full-time, part-time, or pursuant to a contract and whose employment duties are subject to the direction and control of an employer with regard to the material details of how the work is to be performed;

any appointed or elected commissioner, trustee, director, or board member of a board of a State agency, including any retirement system or investment board subject to the Illinois Pension Code [40 ILCS 5]; or

any other appointee [5 ILCS 430/1-5];

but does not include an employee of the legislative branch, the judicial branch, a public university of the State, or a constitutional officer other than the Governor. (Section 25(a) of the Act).

80 Ill. Adm. Code 4000.200 Training to Be Provided by Department of Innovation and Technology

a) Every employee shall annually undergo training by the Department of Innovation and Technology concerning cybersecurity. (Section 25(b) of the Act).

b) The training shall include, but not be limited to, detecting phishing scams, preventing spyware infections and identity theft, and preventing and responding to data breaches. (Section 25(b) of the Act).

c) DoIT shall provide access to electronic-based, in-person, or paper-based cybersecurity training, with reasonable efforts made to provide training in the format requested to accommodate the needs of the employee and his or her employing agency.

1. All employees are encouraged to complete cybersecurity training through electronic means.

2. In-person training may include a web conference service component.

d) DoIT shall establish a minimum of two training periods per year. Tentative training dates will be provided by DoIT, via electronic mail, to each Designated Contact by January 15th of each calendar year.

e) DoIT shall confirm training dates at least 60 calendar days prior to the training to each Designated Contact.

80 Ill. Adm. Code 4000.205 Responsibility of Employees and Employer Agencies, Boards and Commissions

a) Each agency, board and commission with an employee required to complete cybersecurity training shall designate an internal contact to monitor and track compliance with the cybersecurity training requirements.

b) The agency, board or commission shall promptly notify DoIT of its selection, including contact information for that Designated Contact. This information shall be submitted at security.training@illinois.gov.

c) To facilitate delivery of training materials, each agency, board and commission with employees required to complete annual cybersecurity training shall maintain a list identifying each employee who is required to complete annual cybersecurity training. The Designated Contact shall notify DoIT of the number of employees in its agency required to complete cybersecurity training.

d) Upkeep of the employee list referenced in subsection (a) is the sole responsibility of the employer agency, board or commission.

1. The Designated Contact shall provide to DoIT the employee list, as well as the email address of each employee, and any further information DoIT may request, no later than 30 calendar days prior to the training launch. DoIT's notice of the training will include what information the Designated Contact is required to provide.

2. The Designated Contact shall be responsible for providing paper copies of the training materials to those employees within his or her agency who do not have State-issued computers.

3. The Designated Contact shall annually provide to DoIT the list of those employees who have completed cybersecurity training.

e) Each agency, board and commission is responsible for responding to audit requests for information regarding completion of cybersecurity training within that specific agency, board or commission.

f) Each employee is responsible for ensuring that he or she is able to timely complete the mandatory cybersecurity training in person, online, or in paper form. In the event that the training is not completed, disciplinary action may be enforced by the employee's supervising agency.