Section 212.230  Personnel Records and Performance Reviews


a)         Personnel Records


1)         A personnel file shall be established for each employee upon entry into employment and shall be maintained in the Division of Administrative Services.  When the following records are maintained, they must be maintained in the personnel file:


A)        Applications for employment, letters of recommendation, resumes and school transcripts


B)        Offers and acceptances of employment


C)        Employment information cards


D)        Personnel transaction forms


E)        Written commendations and disciplinary actions


F)         Annual performance appraisals


2)         Records that are non-confidential are not made confidential because of their inclusion in the personnel file.


3)         An employee is entitled to view his or her personnel file during working hours with reasonable notice to the Director of Administrative Services or his or her designee.  These records may be inspected only in the presence of the Executive Director or his or her designee or the Director of Administrative Services or his or her designee.  Certain records in the personnel file, in accordance with the law, may be withheld from the employee's inspection.  In addition, personnel files may be viewed by those who exercise direct supervision over that employee, members of the Board, the Executive Director, the Assistant Executive Director, the Director of Administrative Services, the Agency Human Resources Manager, and, to the extent legal advice is sought, attorneys in the Division of the General Counsel.  Other employees, only at the discretion of the Executive Director, may view an employee's personnel file on a need to know basis only.


4)         An employee shall be notified of any additions to or deletions from his or her personnel file.  If an employee disagrees with any information contained in the personnel record, the employee may submit a written statement to the Director of Administrative Services explaining his or her position for inclusion in the employee's personnel file.


5)         Performance records shall constitute material in an employee's personnel file that is relevant to determining the appropriateness of proposed or recommended personnel transactions. 


6)         Performance records shall be considered in all cases, unless excepted by this Part, of promotion, demotion, discharge, layoff, reinstatement, merit salary increases and certification.  In considering any potential change in an employee's current status, the employee's most recent performance records may be given greater weight than the employee's earlier performance records.


b)         Performance Evaluations:  Performance records of non-Executive Employees shall include an evaluation of employee performance prepared at least annually on prescribed forms.  Executive employees shall be evaluated in the time and manner prescribed by the Executive Director or the Board.


1)         For an employee serving a 6-month probationary period, two evaluations shall be prepared by the Director and submitted to the Director of Administrative Services or his or her designee, one at the end of the third month of the employee's probationary period and another after the fifth month of the probationary period.


2)         For an employee serving a 4-month probationary period as a result of a promotion, one evaluation shall be prepared by the Director and submitted to the Director of Administrative Services or his or her designee, after the third month of the probationary period.


3)         Additional performance evaluations of individual employees may be conducted by the Executive Director or a Director as deemed necessary.


4)         Performance evaluations shall be conducted by the Director of the employee's organizational unit or the employee's direct supervisor.  The Executive Director shall conduct performance evaluations for Directors and Executive Employees.


5)         Employees shall be required to sign all evaluation forms to indicate they have read the evaluation and it has been discussed with them by the Executive Director or the Director, whichever is appropriate.


(Source:  Amended at 42 Ill. Reg. 5024, effective February 28, 2018)