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0000 Introduction

0200 Roles & Responsibilities

0400 Affirmative Action

0600 Jurisdictional Classification

0800 Classification & Compensation

1000 Recruitment

1200 Examinations

1400 Eligible Lists

1600 Interviewing & Hiring

1800 Appointments

2000 Probation

2200 Separations & Leaves

2300 Reductions
in Force

2400 Training & Development

2600 Employee Services

2800 Automated Position and Personnel System

3000 Appendix

Disclaimer

State Management Personnel Manual

1400 ELIGIBLE LISTS

1450 PREFERRED LISTS

.1 BACKGROUND

.110 Description and Legal Basis

Generally preferred lists contain the names of former permanent employees of the State who have been separated due to reductions in force, reorganizations, reassignments or disability. Specifically, permanent employees may obtain preferred list rights pursuant to the following:

  1. CSL §81.1 provides preferred list rights for employees who are suspended or demoted pursuant to CSL §80 or 80-a.
  2. CSL §71 provides preferred list rights for employees separated after a leave of absence of more than one year due to a disability as defined in the worker's compensation law, who are now able to return to work but have not been reinstated.
  3. CSL §73 provides preferred list rights for employees separated after a leave of absence of more than one year due to an ordinary disability, who are now able to return to work but have not been reinstated.
  4. CSR 4.11 and 4.12 provide preferred list rights for employees appointed contingent permanent pursuant to these two rules who are subsequently separated due to the return of the prior permanent incumbent of the position.
  5. CSL §70.2 provides preferred list rights for employees who are separated due to a transfer of function between State Departments or Agencies and/or Civil Divisions of the State.
  6. Ret. and S.S. Law §102 c. provides preferred list rights for employees
    receiving disability retirement benefits who are determined to be able
    to return to active service.
  7. Ret. and S.S. Law §507 d. provides preferred list rights for employees receiving accidental disability benefits whose benefits have ceased.
  8. Civil Service policy grants preferred list rights to employees who refuse to accept an involuntary reassignment to a county other than the one in which currently employed.

[NOTE: Since this was issued CSL §78. Transfer of personnel upon the abolition of positions in state civil service, and §79. Establishment of redeployment lists in the state service; general provisions have been added.]

.2 POLICY

.210 Establishment and Duration

Unlike examination eligible lists which are established as of a specific date, preferred lists rights become effective as of the date of the eligibility of the individual employees. Preferred lists are continually changing as the names of eligibles and additional appropriate titles are added or removed.

.211 Establishment
Depending upon the law, rule or policy governing their specific situation the names of permanent employees are placed on preferred lists for their former title, direct line lower level title and other appropriate titles (as determined by the Department of Civil Service) as of the date:

  1. Of separation of employees covered by §80 or 80-a; or
  2. On which a disabled employee has been found able to return to work (CSL §71 or 73); or
  3. On which an employee is separated as a result of the return of the prior permanent incumbent (Rule 4.11 and 4.12); or
  4. The name of the disability beneficiary or accidental disability beneficiary is certified as able to return to work and/or is no longer eligible for benefits (Ret. and S.S. Law §102 c and 507 c;), or
  5. Of separation of an employee affected by a transfer of function (§70.2); or
  6. Of separation of an employee refusing reassignment to another county; or
  7. The Department of Civil Service determines that a new title is appropriate for filling from a preferred list on a title-for-title basis; or
  8. A title is added as a "comparable title" as a result of a reevaluation.

.212 Duration - An employee's eligibility for reinstatement from a preferred list continues for not more than four years. However, the names of eligibles may be removed or inactivated before four years by the Department of Civil Service as described in below.

.220 Placement of Names and Ranking

  1. The names of laid off permanent employees are placed on preferred lists for their title of layoff, direct-line lower level titles and for other selected titles, based on a high degree of similarity between duties, minimum qualifications and examinations. Additionally titles may be selected based on the expectation that eligibles will be able to perform the duties of the title after a minimum period of orientation.
  2. The names of individuals placed on preferred lists are interfiled regardless of the reason for their preferred list status or the date on which their names were placed on the preferred list.
  3. The name of each eligible is ranked on a preferred list according to the category the eligible is in for the location, agency and title for which a certification of the list is produced.
    1. Title-for-title category - Eligibles laid off from a title are
      certified first to fill that title
    2. Direct-line category - Eligibles laid off from higher-level titles in a direct promotion line are certified second.
    3. Appropriate title category - Eligibles laid off from similar titles in the same occupational field are certified third.

Within each of these categories, eligibles laid off from the layoff unit where the job is being filled are certified before eligibles laid off from some other unit. Eligibles who had completed their probation are certified before those who were on probation when they were laid off, and eligibles who are otherwise the same in terms of these rules are ranked-by seniority.

.230 Removal of Names [However see Policy Bulletin # 95-02.]

.231 Effect of Declination

  1. The names of eligibles who fail to reply to, or decline an offer of a full-time permanent job:

  1. At their former salary grade in their county of layoff-are removed from the preferred list and reemployment roster.
  2. At their former salary grade in a county other than their county of layoff-are removed from the preferred list and reemployment roster for the county.
  3. At a lower salary grade in their county of layoff-are removed from the preferred list and reemployment roster for all titles at that grade and below.
  4. At a lower salary grade in a county other than their county of layoff-are removed from the preferred list and reemployment roster for all titles at that salary grade and below for all counties in the geographic area except their county of layoff.

  1. Eligibles who fail to reply to, or decline, an offer of:

  1. Temporary employment - will have their eligibility for temporary employment affected as described in .231 above. Their eligibility for permanent employment will not be affected.
  2. Part-time employment - will have their eligibility affected for part-time as described in .231 above. Their eligibility for full-time employment will not be affected.
  3. Contingent permanent employment - will have their eligibility affected, as if the offer were for temporary employment as described above. Their eligibility for permanent or contingent permanent will not be affected.

[NOTE: Number 3 above is no longer true. See Policy Bulletin 93-03]

  1. Eligibles may be allowed to decline specific job offers and remain on the preferred list.

.232 Effect of Reemployment
The names of eligibles reemployed in State service:

  1. On a full-time permanent or contingent permanent basis will be removed from active certification of the preferred list and reemployment roster for all titles at that salary grade and below.
  2. On a temporary basis may be removed from active certification of the preferred list and reemployment roster, for temporary positions at that salary level and below, but will continue to be certified for permanent and contingent permanent employment. If the temporary appointment is short term (usually three months or less) eligibles may remain active for temporary appointment rather
    than being removed from the preferred list.
  3. On a part-time basis may be removed from active certification of the preferred list and reemployment roster for other part-time positions.

.233 Agencies may request the removal of the name of an eligible from the preferred list and/or reemployment roster for misconduct or disability.

.234 Eligibles may voluntarily remove their own names from preferred .lists and reemployment rosters. Unlike eligibles who request temporarily inactive status, the names of eligibles whose names are removed at their request will not be restored.

.235 Eligibles whose names have been removed from the preferred list due to declination or failure to reply may request restoration.

.240 Certification Limitations

.241 Certain eligibles may have their rights to be certified on a preferred list restricted by law, rule or policy as follows:

  1. Eligibles who have had their names placed on a preferred list after separation for ordinary disability (CSL §73) shall be limited to preferred lists for their former department or agency.
  2. Eligibles who have had their name placed on preferred lists due to separation because of a transfer of function (CSL §70.2) shall be restricted to preferred lists and reemployment rosters which are certified for positions in their former agency and for positions in the agency to which the function was transferred.
  3. Eligibles who obtain preferred list rights pursuant to CSR 4.11 or 4.12 who were simultaneously permanently reinstated or returned to a lower level position, are eligible for certification only to positions in their layoff unit.
  4. Eligibles who were serving part-time as of their date of layoff, who have never served full-time in their title, or who did not have at least one year of permanent part-time service prior to layoff, will be restricted to part-time reemployment.
  5. Eligibles may request that their names be restricted from specific certifications of the preferred list and reemployment roster for good cause.
  6. The Department of Civil Service may restrict the names of eligibles who have resigned, or have been terminated during probation, from a position subsequent to an appointment from a preferred list or reemployment roster.

.250 Temporarily Inactive Status

Eligibles may request to have their names temporarily inactive on the preferred list and reemployment roster.

.4 PROCEDURES

.410 Certification, Canvassing, Interviewing and Reporting Results of Canvass of Preferred Lists

.411 Preferred list certifications may be requested by agency personnel offices by telephoning the Preferred List/ Reemployment Roster Unit (PURR) of the Department of Civil Service. Preferred list certifications may also be initiated by the PL/RR unit and sent to agencies as a result of payroll audit activities.

  1. Agencies are provided with two copies of each certification. One should be kept by the agency for their records and the other returned to the PL/RR unit with results of canvass.
  2. It is essential that agencies accurately report canvass results in a
    timely manner. Agencies must return certifications to the PL/RR
    unit within 60 days of the date of the certification. Provisional
    and/or temporary employees may be terminated by the PL/RR in
    less than 60 days when it is known that there are eligibles willing
    to accept appointment.
  3. The names of the individuals who will appear on a certification of the preferred list cannot be provided prior to the production of the certification.

.412 Canvass Letters and Interviews

  1. Agencies are also provided with form S-290 (preferred list canvass letter), which must be used when canvassing a preferred list. [See 1600 Interviewing & Hiring]
  2. Canvass letters must specify the title, salary grade, location and duration of the position. Agencies may not canvass for permanent, and temporary, or full-time and part-time on the same canvass letter.
  3. Agencies must allow at least ten business days for eligibles to return a mail canvass and two business days to indicate their
    availability in response to a telephone canvass.
  4. Agencies should ensure that sufficient time is scheduled for interviews, and that eligibles are given accurate information concerning the terms and conditions of the employment being offered. In addition, they are responsible for conducting interviews in accordance with professional and legal standards. If a job offer is made at the interviews, the eligibles must be given a reasonable amount of time to accept or decline.

.413 Reporting Results of Canvass

  1. When reporting appointments from a certification, agencies must indicate the type, effective date, location and item number in the space provided under the eligible's name.

  2. When reporting an acceptance, declination or failure to reply, the Department of Civil Service requires that agencies submit appropriate documentation to serve as the basis for clearing certifications. Declinations must be verified in accordance with the specific instructions which appear on the certifications under each eligible's name.

    1. When a canvass is conducted by mail, the original canvass
      letter returned by the eligible must be returned with the
      certification.
    2. If an eligible fails to respond to a mail canvass, a copy of
      the canvass letter mailed to the eligible must be returned
      with the certification.
    3. In the case of a canvass conducted by telephone a copy of
      the letter to the eligible confirming the declination must be
      returned with the certification. The letter must include
      specific information on the title, salary, location and
      duration of the position.
  1. The Department of Civil Service may conduct a follow-up canvass to verify the accuracy of agency reports of canvass and interview. If, in the judgment of the Department of Civil Service, undue influence or other improper practices were used to obtain declinations, agencies will not be allowed to make appointments from other sources. In such cases, reemployment eligibles will be reactivated

.420 Appointments from Preferred Lists (See also 1800 APPOINTMENTS)

  1. Appointments from a preferred list certification must be made in rank order from those eligibles willing to accept the offer of employment (i.e., "Rule of one").
  2. Appointments from a preferred list certification must be made.with an effective date within 60 days from the date of the certification.
  3. Appointments from a preferred list certification are reinstatements, and no probationary period is served by the eligible except when

  1. Eligibles were serving a probationary period at the time of their
    layoff and must complete the probationary period; or
  2. Eligibles are permanently reinstated to a traineeship title and are
    therefore on probation while completing the requirements of the
    traineeship.

D. See the appropriate section of the payroll manual for the processing and coding of payroll forms (PR-75).

.430 Removal and Restoration of Names

.431 Removal [Note: See also Policy Bulletin #95-02 in this section.]

Agencies may request the removal of an eligible from the preferred list and/or reemployment roster by providing to the Department of Civil Service sufficient specific information to support the request. Generally, eligibles will be removed only if they are unable to perform the duties of the position due to a physical or medical condition, or where the eligible is proven to be guilty of misconduct serious enough to warrant removal from the service.
The appropriate section of the Department of Civil Service (i.e., Employee Health Services or Investigations) will review the request and notify the agency of their determination. Civil Service will notify eligibles of their removal and their right to request a hearing. Agencies will be required to prove allegations of misconduct at a hearing in the same manner as would be required to remove an employee pursuant to §75 of the Civil Service Law.

.432 Restoration
The Department of Civil Service may restore the names of eligibles to the preferred list who have declined, or failed to reply to offers of employment, or who were terminated/resigned during probation for good cause. Generally, such exceptions or restorations will be allowed when

  1. The eligible has a significant medical or physical condition or disability which affects the ability of the eligible to perform the duties of the title, or to commute to the location of the position; or
  2. The eligible has a significantly serious family situation or has had previous employment in the title or with the agency such that requiring the eligible to accept employment in the position would constitute a hardship; or
  3. The eligible was unavailable to reply to a canvass for good cause.

.440 Certification Limitations

Generally, preferred list eligibles are expected to be willing and able to return to work immediately. Therefore, only in a limited number of special cases will eligibles' names be restricted from certifications of the preferred list. Where deemed appropriate, the Department of Civil Service may restrict the certification of the name of an eligible who requests such restriction, or who has been terminated, or who has resigned from a position to which they have been appointed from a preferred list, reemployment roster or placement roster.

All requests from eligibles for restriction must be in writing and should contain sufficient specific information to support the request. Also certain eligibles may be restricted from certification if they lack a required license or qualification (e.g., driver's license). Generally, the restriction from certification will take one of the following forms:

  1. Restriction from a specific title; or
  2. Restriction from a specific agency; or
  3. Restriction from positions requiring extensive travel as part of the
    duties of the positions or which require commuting for the eligible
    which would constitute a hardship.

.450 Temporarily Inactive Status

Eligibles may request to have their names temporarily inactive on preferred lists and reemployment rosters by completing form S-291 [Request for Temporary Inactive Status (PL/RR)] available from the Department of Civil Service. Each request is reviewed on a case-by-case basis. Generally, eligibles will be granted temporarily inactive status only if they have serious personal or medical reasons which temporarily prevent them from accepting employment, or if they have been reemployed by New York State Government in a higher level position on a temporary or provisional basis. Temporarily inactive status is subject to the following limitations:

  1. Eligibles granted temporarily. inactive status will be inactive on both
    the preferred list and reemployment roster.
  2. Eligibles may not become temporarily inactive only for specific locations
    or titles.
  3. Eligibles will not have their preferred list and/or reemployment roster
    eligibility extended by the period of temporarily inactive status.
  4. Eligibles must reactivate their name by written request to the
    Department of Civil Service.
  5. Eligibles who reactivate their name will have no rights to any positions
    filled during the period of inactive status.

TM-10; NEW MATERIAL 4/87

 

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