REPORT ON

MERIT SYSTEM ADMINISTRATION

FOR THE

CITY OF MOUNT VERNON CIVIL SERVICE COMMISSION

I FOREWORD

This Report presents the findings of a Review of Merit System Administration in the City
of Mount Vernon Civil Service Commission, conducted in October 2006, pursuant to the
provisions of §26(2) of the Civil Service Law. The Report discusses and evaluates all aspects of
merit system administration of the City of Mount Vernon Civil Service Commission, and
includes recommendations for improving those areas in which deficiencies are identified.

The City of Mount Vernon Civil Service Commission has merit system jurisdiction over
1,104 classified employees, of which 704 are in the City, 341 are in the School District and 59
are in the Library. Of these classified service employees, 593 are in the competitive class.*

*Figures are as reported by the City of Mount Vernon Civil Service Commission in the 2006
Annual Report to the State Civil Service Commission.
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II SUMMARY OF FINDINGS AND RECOMMENDATIONS

Overall, the administration of civil service by the City of Mount Vernon Civil Service
Commission is rated as Fair.

The Civil Service Law provides the Civil Service Commission with a wide range of
authority and responsibility for administration of the merit system in the City of Mount Vernon.
Specifically, the Civil Service Commission is responsible for:

1. Adopting and enforcing rules regarding employment, which includes rules pertaining
to the jurisdictional classification of positions.

2. Classifying positions under its jurisdiction and maintaining a detailed classification

plan.

3. Conducting an examination program to assess the merit and fitness of candidates

competing for appointment in the public service.

4. Ensuring the propriety of all appointments in the classified service by certifying only
those candidates deemed qualified and eligible for permanent appointment, and ensuring
that all non-permanent appointments comport with the Civil Service Law and City of
Mount Vernon Civil Service Rules.

5. Ensuring that appointing authorities submit timely reports regarding the status of the
individuals they employ, and maintaining employment histories for employees under its
jurisdiction.

6. Enforcing the provisions of the Civil Service Law by reviewing the payrolls of
appointing authorities, resolving any discrepancies, and certifying the payrolls prior to
payment.

The City of Mount Vernon Civil Service Commission needs to make improvements in all
of these major areas, with particular concern in the areas of position classification, application
review, provisional control and payroll certification.

Proper classification procedures are not being followed when new positions are created
and the classification plan is in need of a systematic review.

The Civil Service Commission’s application review process is lax and needs
improvement. Instances were found where the Commission approved candidate applications for
examination, provisional appointment and for positions allocated to the non-competitive class
even though it appeared the candidates did not meet the minimum qualifications for the
positions.
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Several issues were identified with regard to provisional appointees. First, as mentioned
above, several provisional appointees had their applications approved when it did not appear that
they met the minimum qualifications for the position. Second, an examination is not always
ordered in a timely manner. Lastly, two incidents were found where a provisional was allowed
to serve in the face of a mandatory eligible list. While one of the eligible lists has since expired,
one is still active.

The Review found that although the Civil Service Commission is receiving payrolls on a
regular basis, they are not being certified. Payrolls are not signed by the Civil Service
Commission, and the Civil Service Commission has no formal procedure for resolving payroll
discrepancies. In essence, no formal process is followed to certify the payroll at least once each
fiscal year, as required by Civil Service Law and Rules.

The City of Mount Vernon Civil Service Commission’s performance of these as well as
other related functions is discussed in detail in this Report, along with recommendations to come
into compliance with the Civil Service Law and to improve merit system administration.

The following is a listing of recommendations for the City of Mount Vernon Civil
Service Commission to come into compliance with the Civil Service Law and Rules and to
improve merit system administration.
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RECOMMENDATIONS TO COME INTO COMPLIANCE WITH CIVIL

SERVICE LAW AND/OR RULES

1. The Civil Service Commission must review the duties and responsibilities performed
by individuals in the titles listed in Schedule A as other than competitive, but not
officially listed in the Rules, and determine if the titles merit removal from the
competitive class. If so, the Civil Service Commission must follow the procedures
outlined in §20(2) of the Civil Service Law and amend the Appendices of the Rules.
(See page 11)

2. The Civil Service Commission must review its copy of the Rules Appendices, add the
missing titles, and correct the other discrepancies noted in Schedules A-1 and A-2,
so the City of Mount Vernon Civil Service Commission’s copy of the Rules
Appendices contains the titles that have been formally approved by the State Civil
Service Commission and filed with the Secretary of State. (See page 12)

3. The Civil Service Commission must adopt a procedure to review exempt class
positions as they become vacant to come into compliance with §41(2) of the Civil
Service Law. (See page 12)

4. The Civil Service Commission must review the duties and responsibilities of each of
the positions listed in Schedule B and either assign the position to an existing class
or adopt a new classification. Additionally, if the Civil Service Commission
determines that it is unnecessary to maintain class specifications for exempt class
positions, the City of Mount Vernon Civil Service Rules must be amended to delete
the requirement to maintain specifications for exempt class positions. (See page 14)

5. The Civil Service Commission must review its class specification for Assessor and
amend the minimum qualifications as required by Part 188 of the Rules and
Regulations of the State Board of Real Property Tax Services, and ensure the duties,
knowledge, skills and abilities described in the specification are current and remove
the specification for Assessor III from the Classification Plan and the title Assessor
III a/k/a Commissioner of Assessment and Taxation from its Civil Service Rules by
the required process. (See page 15)

6. The Civil Service Commission must require appointing authorities under its
jurisdiction to submit duties statements for all new positions and for those whose
duties have changed in accordance with §22 of the Civil Service Law and Rule
XXIII(4) and (5) of the City of Mount Vernon Civil Service Rules. (See page 16)

7. The Civil Service Commission must either issue public notice that it is extending the
close of file date or not allow candidates to file for examination after the close of file
date. (See page 23)

8. The Civil Service Commission must adopt an Alternate Test Date policy outlining
the terms and conditions in which alternate test dates will be permitted.
(See page 25)
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9. The Civil Service Commission must notify eligibles in writing when eligible lists
have been extended in conformance with Civil Service Rule XI(2). (See page 26)

10. The Civil Service Commission must discontinue the practice of indicating on
eligible lists which candidates are unsuccessful on the examination and/or
develop a method to code the restriction of such candidates. (See page 27)

11. The Civil Service Commission must ensure that the certification of eligibles
procedures are in compliance with the City of Mount Vernon Civil Service Rules, or
amend Rule XII(3) to provide that eligibles who fail to respond to a canvass will be
restricted from further certification from the list with safeguards that if they inform
the Civil Service Commission of their availability they will be certified for future
vacancies. (See page 27)

12. The Civil Service Commission must take steps to ensure that veterans’ credits are
used only once for appointment. (See page 28)

13. The Civil Service Commission must establish a procedure requiring all appointing
authorities to submit applications for provisional nominees, and conduct a review of
the applications received, prior to appointment, as required by §65(1) of the Civil
Service Law. (See page 30

14. The Civil Service Commission must obtain an application and review the
qualifications of the provisional employee for whom an application was not on file at
the time of this Review and adopt procedures to ensure that applications of all
nominees for provisional appointments are submitted and reviewed prior to
appointment in order to fulfill the obligation under §65(1) of the Civil Service Law.
(See page 31)

15. The Civil Service Commission must review the qualifications of eight provisional
appointees serving at the time of this review that do not appear to meet the
minimum qualifications for their respective position. If they are found to be not
qualified, the Civil Service Commission must direct that they be removed from their
position or take other appropriate action as necessary. (See page 31)

16. The Civil Service Commission must take action to classify the two positions without
a class specification that are held by provisional appointees. Once the Civil Service
Commission has classified the two positions, it must determine the appropriate
method to fill the position. If the Commission determines the position(s) should
remain in the competitive class it must make an appointment from an appropriate
eligible list or, if not available, by provisional appointment. If the Civil Service
Commission determines the position(s) should be removed from the competitive
class, it must remove the position(s) from its Civil Service Rules by the required
process. (See page 31)
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17. The Civil Service Commission must immediately take action to terminate the
provisional appointment which is in violation of §65(3) of the Civil Service Law and
take steps to ensure that no other provisional appointees are allowed to serve
illegally. (See page 32)

18. The Civil Service Commission must review six temporary appointments to ensure
they conform with the provisions of §64 of the Civil Service Law. (See page 32)

19. The Civil Service Commission must ensure that applications of all nominees for
non-competitive class appointments are submitted and reviewed prior to
appointment as required by §42(1) of the Civil Service Law and City of Mount
Vernon Civil Service Rule IV. (See page 33)

20. The Civil Service Commission must review the qualifications of four non-
competitive appointees serving at the time of this review that do not appear to meet
the minimum qualifications for their respective position. If they are found to be not
qualified, the Civil Service Commission must direct that they be removed from their
position or take other appropriate action as necessary. (See page 33)

21. The Civil Service Commission must obtain from and review applications for the
two candidates whose applications were not available at the time of this review. (See
page 33)

22. The Civil Service Commission must review the roster record to confirm the correct
status, jurisdictional classification, and authorization for appointment for all
employees under its jurisdiction. (See page 36)

23. The Civil Service Commission must review the statutory requirements for payroll
certification, and adopt procedures to ensure that all payrolls are officially certified
in accordance with §100 of the Civil Service Law and City of Mount Vernon Civil
Service Commission Rule XXII. (See page 37)
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RECOMMENDATIONS TO IMPROVE MERIT SYSTEM ADMINISTRATION

1. The Civil Service Commission should consider adopting the six recommended Rule
changes to update the Text of the City of Mount Vernon Civil Service Rules to
enhance merit system administration. (See page 11)

2. The Civil Service Commission should ensure all the class specifications contain clear
minimum qualifications. For specifications containing only one alternative, a
determination should be made if there are other appropriate equivalents of training
and experience. If there are, they should be incorporated into the minimum
qualifications. If there are no acceptable alternatives, the equivalency statement
should be deleted. (See page 14)

3. The Civil Service Commission should use gender neutral language for titles in the
classification plan. In addition, if a change is made to a title that appears in the
Appendices to the Rules, a resolution to amend the Appendices of the Rules will
need to be adopted. (See page 15)

4. The Civil Service Commission should develop a program to systematically review

the duties and responsibilities of the positions under their jurisdiction. This review
should ensure that each class specification provides an accurate and up-to-date
representation of the duties and responsibilities of the class, identifies the proper
knowledge, skills and abilities for successful job performance, and contains
reasonable job-related minimum qualifications. (See page 15)

5. The Civil Service Commission should implement procedures to review staffing

needs with program managers to anticipate future vacancies; thereby enhancing its
ability to have eligible lists available from which to make permanent appointments
and reducing the need for provisional appointments. (See page 19)

6. The Civil Service Commission should consider expanding recruitment efforts to

attract more candidates for centralized open-competitive examinations so there are
sufficient candidates for appointing authorities to make permanent appointments.
(See page 23)

7. The Civil Service Commission should only approve candidates to participate in the
examination who meet the officially established minimum qualifications announced
for the examination. (See page 24)

8. The Civil Service Commission should consider establishing all eligible lists for the
maximum limitation of four years in order to maximize use of the list, providing
qualified candidates the greatest opportunity for appointment and reducing the
need for provisional appointments. This will also eliminate the necessity to notify
eligibles of the extension of a list. (See page 26)
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9. The Civil Service Commission should develop a procedure to ensure an examination

is ordered within one month of the appointment of a provisional appointee in
accordance with §65(2) of Civil Service Law. (See page 32)

10. The Civil Service Commission should review the roster record and ensure that
appropriate entries are included for completion of required Police Officer training.
(See page 36)
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III RULES

The New York State Civil Service Law, §20(1) requires the Civil Service Commission to
prescribe and enforce rules in order to provide an orderly and uniform system for the
administration of civil service on the basis of merit and fitness as required by Article V, §6 of the
New York State Constitution. The City of Mount Vernon Civil Service Rules have the force and
effect of law, and apply to all positions in the classified service.

The Rules consist of two parts, the Text and the Appendices. The Civil Service
Commission may amend the Rules subsequent to a public hearing, the adoption of a formal
resolution, and the approval of the State Civil Service Commission. An amendment becomes
effective upon the State Civil Service Commission approving and filing it with the Secretary of
State.

A copy of the City of Mount Vernon Civil Service Rules is available for review at the
office of the City of Mount Vernon Civil Service Commission. Copies of the Rules have been
distributed to all agencies under the Civil Service Commission’s jurisdiction, but agencies are
not always sent revised copies when updates are made.

Text

The Text of the Rules was last revised in 2001, and has not been amended since.
Although the Text of the Rules contains all required provisions, the following amendments to the
Text should be considered by the Civil Service Commission to provide more flexibility to
administer the merit system and aid in the processing of personnel transactions:

Rule I - Part-time Employment

The present City of Mount Vernon Civil Service Rule defines part-time employment as
“any employment or a combination of one or more employments in a civil division in which an
individual works less than fifty percent of the time prescribed as a normal work week by the
appropriate governing body or other appropriate authority of the civil division or wherein the
employee earns not more than forty five hundred dollars ($4,500) annually.” This dollar amount
does not accurately reflect the salary schedules of the civil divisions and agencies under the Civil
Service Commission’s jurisdiction. The Rule could be modified to state, "...earns not more than
one half (1/2) of the rate assigned to the position if the position is allocated to a graded salary
schedule." This would enable the Rule to be used in the future without the necessity of being
periodically updated to reflect future salary levels.

Rule X – Examinations

This Rule describes the authority of the Civil Service Commission to administer
examinations. The Civil Service Commission’s present rule does not include a subsection
concerning the Civil Service Commission’s authority to prevent theft and dissemination of
examination material, or to deal with violations of examination security if they occur.
 10

The New York State Department of Civil Service has prepared a recommended
subdivision to Rule X - Examinations, to clarify the authority of the Civil Service Commission to
handle instances where individuals violate examination material security procedures, as provided
in §50(11) of the Civil Service Law.

Rule XII – Certification

The current City of Mount Vernon Certification Rule refers to offers of employment
being sent by telegram. The City of Mount Vernon Civil Service Commission should evaluate
whether this means of notification is outdated and should be modified.

Further, the City of Mount Vernon Civil Service Rules do not currently include a section
which restricts certification of an open-competitive, promotion or preferred eligible list for a
vacancy created by upward reclassification of a competitive class position, if the appointment
would require a layoff of a permanent employee.

The Civil Service Commission should consider adopting this language to allow the
incumbent, who holds the position being reclassified, an opportunity to succeed in an
examination for permanent appointment to the reclassified position.

Rule XVIII – Reinstatement

This Rule describes the conditions under which a competitive class employee who
resigns their position may be reinstated without further examination. The current Rule provides
that reinstatement requests beyond three years following resignation must be approved by the
New York State Civil Service Commission. Local civil service agencies have been advised that
their rules could be amended to provide for reinstatements without State Civil Service
Commission approval. The new rule establishes conditions which must be met before final
approval by the local civil service agency.

Rule XIX - Leave of Absence

The existing Rule permits an appointing officer to grant an employee a leave of absence
for a period not to exceed one year. Where a leave of absence has been granted which
aggregates one year, a further leave of absence shall not be granted unless the employee returns
to his position and serves continuously for three months immediately preceding the subsequent
leave of absence.

General Municipal Law, Section 92, governs leaves of absence for municipalities and
Section 2509, subdivision 7 of the Education Law governs leaves of absence for school districts.
These sections authorize the governing body of the civil division to grant leaves of absence to its
officers and employees and also authorizes such governing body to adopt rules and regulations in
relation to the granting of such leaves.

The existing Rule may be in conflict with the rules and regulations established by the
governing bodies of the civil divisions under the jurisdiction of the City of Mount Vernon Civil
Service Commission.
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The Rule should be modified to eliminate the Civil Service Commission’s involvement in
granting leaves of absence and provide for leaves of absence to be given according to regulations
or policies established by the legislative body.

Rule XXV(6) – Layoff of Competitive Class Employees

Subdivision (6) discusses the preferred list standing of employees laid off prior to
October 1, 1972, and those laid off after that date. It provides that employees whose positions
were abolished before that date shall have their retention date determined by their original
appointment in the competitive class, rather than the classified service. It also provides that
persons whose positions are abolished on or after that date shall have their names interfiled with
those whose positions were abolished prior to that date.

Those sections of this Rule that discuss employees whose positions were abolished before
October 1, 1972, and their relationship on preferred lists with employees whose positions were
abolished later, appear to be outdated.

The Civil Service Commission should consider adopting the six recommended Rule
changes to update the Text of the City of Mount Vernon Civil Service Rules to enhance
merit system administration.

Appendices

The Appendices to the Rules list all classified and unclassified titles that have been
formally removed from the competitive class. The jurisdictional classification of a position
determines the method of selection used to make an appointment to the position, and the rights of
the incumbent in the position. It is critical that the Rules Appendices be accurate and up-to-date.

The Civil Service Commission last amended the Appendices of the City of Mount
Vernon Civil Service Rules in 2001.

A comparison of titles currently in use that are considered by the City of Mount Vernon
Civil Service Commission outside the competitive class, were reviewed against the titles listed in
the Rules Appendices as officially removed from the competitive class. Thirty-three (33) titles
were identified which have not been formally added to the Rules Appendices. Incumbents of
these positions, as well as other qualified interested candidates, are being denied the opportunity
to obtain permanent status and the rights that would derive from this status. These titles are
listed in Schedule A at the end of this report.

The Civil Service Commission must review the duties and responsibilities performed
by individuals in the titles listed in Schedule A as other than competitive, but not officially
listed in the Rules, and determine if the titles merit removal from the competitive class. If
so, the Civil Service Commission must follow the procedures outlined in §20(2) of the Civil
Service Law and amend the Appendices of the Rules.

The office copy of the Rules Appendices maintained by the Commission was compared
to the copy of the Rules maintained by the State Civil Service Department. This comparison
found 14 titles missing from the Mount Vernon Civil Service Commission’s copy of the Rules
 12

Appendices that had been removed from the competitive class by official action of the City of
Mount Vernon Civil Service Commission and approved by the State Civil Service Commission.
The review also identified seven discrepancies between the titles listed in the City of Mount
Vernon Civil Service Commission copy of the Rules and the titles listed in the Rules Appendices
maintained by the State Civil Service Department. For instance, in the Rules Appendices
maintained by the City of Mount Vernon Civil Service Commission the title of Secretary to the
Youth Bureau appeared while the Rules Appendices maintained by the State Civil Service
Department showed the title as Secretary to the Youth Board. Also, two of these titles appear in
the singular form while the Rules Appendices maintained by the State Civil Service Department
list these titles in plural form. The omitted titles and title discrepancies are listed on Schedule A-
1 at the end of this Report.

The Civil Service Commission must review its copy of the Rules Appendices, add the
missing titles, and correct the other discrepancies noted in Schedules A-1 and A-2, so the
City of Mount Vernon Civil Service Commission’s copy of the Rules Appendices contains
the titles that have been formally approved by the State Civil Service Commission and filed
with the Secretary of State.

Exempt Class Review

Section 41(2) of the Civil Service Law requires that the Civil Service Commission study
and evaluate exempt class positions within four months after they become vacant to determine if
such positions should continue in the exempt class or be placed in another classification.

The Civil Service Commission does not have a procedure for the review of exempt class
positions upon the occurrence of a vacancy.

The Civil Service Commission must adopt a procedure to review exempt class
positions as they become vacant to come into compliance with §41(2) of the Civil Service
Law.
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IV CLASSIFICATION

An established classification plan provides the Civil Service Commission with a detailed
statement of the nature of the work required for each class of positions, as well as the minimum
qualifications that are required of the employee for successful performance on the job. By
standardizing class titles, the classification plan provides appointing authorities with a definite
means of expressing their exact personnel needs.

Section 22 of the Civil Service Law requires that prior to the creation of a new position or
reclassification of an existing position, a statement of the duties and responsibilities of the
position must be provided to the Civil Service Commission. The Civil Service Commission
must then study the duties and responsibilities and determine the proper classification for the
position. It is then assigned to an appropriate job class or, if no appropriate class exists, the Civil
Service Commission must create a new class and prepare an appropriate class specification.
Rule XXIII(2) of the City of Mount Vernon Civil Service Rules requires the Civil Service
Commission to prepare and to maintain specifications for all positions in the classified service.

It is important that position classification be performed prior to the filling of a new or

reclassified position so that employees who are hired meet the minimum qualifications and are
able to perform the duties of the position. Accurate class specifications with appropriate
minimum qualifications provide the basis for many areas of civil service administration,
including jurisdictional classification, examination administration, and control of temporary and
provisional appointments. Until a position is properly classified and appropriate minimum
qualifications are established, it cannot be assigned to a jurisdictional classification, no
examination can be held, and an incumbent cannot attain permanent civil service status.

Classification Plan

The City of Mount Vernon Classification Plan is maintained in two loose leaf binders
alphabetically by class title. While a complete copy of the Class Plan is available in the
Commission’s office, all agencies under the jurisdiction of the Commission were provided with a
partial Classification Plan at a training session held several years ago. The job specifications that
were distributed were specific to that particular agency.

A comparison of the titles in the roster record against titles listed in the City of Mount
Vernon Classification Plan identified 35 titles for which a class specification is not available.
The titles in use without class specifications are listed in Schedule B at the end of this Report.

Twenty-four (24) of the titles for which no class specification is available are listed in the
exempt class in the City of Mount Vernon Civil Service Rules Appendices. As mentioned
previously, Rule XXIII(2) requires the adoption of a class specification for all positions in the
classified service. This includes exempt class titles. There are additional exempt class positions
for which a class specification was not available, but those positions were, at the time of this
review, vacant.
 14

The Civil Service Commission must review the duties and responsibilities of each of
the positions listed in Schedule B and either assign the position to an existing class or adopt
a new classification. Additionally, if the Civil Service Commission determines that it is
unnecessary to maintain class specifications for exempt class positions, the City of Mount
Vernon Civil Service Rules must be amended to delete the requirement to maintain
specifications for exempt class positions.

The Civil Service Commission is responsible not only for the preparation of class
specifications for all positions in the classified service, but also for maintaining class
specifications that are current and reflective of the duties and responsibilities of the positions. A
review of the class specifications on file found that many of the class specifications have not
been revised since their adoption, or if revised, done so many years ago. Further, many class
specifications require revisions to the minimum qualifications statement.

The most common problems identified involve vague and/or unclear qualifying
experience. Vague minimum qualifications create uncertainty on the part of candidates as to
whether they possess the training and/or experience needed to qualify as well as for civil service
staff responsible for interpreting the requirements when evaluating the qualifications of an
applicant. Several specifications contained imprecise experience statements. For example, the
minimum qualifications for Housing Project Manager require two years of responsible business
experience; those for Component Manager (Model Cities Agency) require four years of
progressively responsible work experience for a public or private agency; those for Assistant
Superintendent of Buildings and Grounds require three years of satisfactory experience involving
building construction and maintenance activities. Terms such as responsible, progressively
responsible, and satisfactory are vague and may create uncertainty, both on the part of potential
applicants as to whether they possess the experience needed to qualify, and on the part of civil
service staff evaluating applicants’ qualifications against the minimum qualifications.

In addition, several class specifications include statements to provide for equivalent

combinations of education and/or experience, but no equivalency is possible given the structure
of the minimum qualifications. For example, specifications for Complaint Investigator,
Maintenance Mechanic, Maintenance Laborer, Assistant Superintendent of Buildings and
Grounds, Motor Equipment Operator and Garage Superintendent contain just one type of
qualifying experience and then provide an equivalency statement. In these cases, the
equivalency statement is essentially meaningless because the only qualifying experience is
contained in one statement. For this statement to have any meaning there must be at least two
prior alternatives, one of which describes the maximum education level and minimum
experience level; the second describes the minimum education level and maximum experience
level. This establishes the parameters of the equivalency statement that may apply to candidates
possessing the overall required education and experience.

The Civil Service Commission should ensure all the class specifications contain clear
minimum qualifications. For specifications containing only one alternative, a
determination should be made if there are other appropriate equivalents of training and
experience. If there are, they should be incorporated into the minimum qualifications. If
there are no acceptable alternatives, the equivalency statement should be deleted.
 15

There are several titles in the classification plan which are not gender neutral. They
include: Automotive Mechanic Foreman, Maintenance Mason Foreman, Street Lighting Man,
Sewer Foreman, Sanitation Working Foreman, Tire Man, Tree Trimmer Foreman, Park
Groundsman and Watchmen.

The Civil Service Commission should use gender neutral language for titles in the
classification plan. In addition, if a change is made to a title that appears in the Appendices
to the Rules, a resolution to amend the Appendices of the Rules will need to be adopted.

Systematic Review

The Civil Service Commission does not have a plan to systematically review the
classification of positions; it is done on an individual, as needed basis and prior to ordering
examinations. A systematic review would include a comparative analysis of positions to ensure
equal treatment of positions across departments, standardize the interpretation of general terms
used in class specifications and allow boundaries between classes to be more clearly
distinguished.

Many of the class specifications are not up-to-date. One example is that of Assessor.
The minimum qualifications for local Assessors are mandated under Part 188 of the Rules and
Regulations of the State Board of Real Property Tax Services. Part 188, including minimum
qualifications, were amended in 1997 yet, the City of Mount Vernon specification remains
unchanged since 1987. In addition to the minimum qualifications, the nature of the duties of this
position, and the knowledge, skills and abilities necessary for successful job performance may
have changed since the specification was last amended. Further, the City is using the obsolete
title of Assessor III. Prior to 1983, the title Assessor III was in use. This title was amended to
Assessor B. Between 1983 and 1987, the titles of Assessor A and Assessor B were in use. The
separate classifications were based on the number of land parcels assessed; Assessor A was used
for those Assessors who assessed less than or equal to 6000 land parcels while Assessor B was
used for those Assessors responsible for assessing more than 6000 land parcels. In 1987, these
two classifications were incorporated into one classification - Assessor. The City of Mount
Vernon’s Rules Appendices contain the title Assessor III a/k/a Commissioner of Assessment and
Taxation in the non-competitive class. This title should be deleted as it is obsolete.

The Civil Service Commission must review its class specification for Assessor and
amend the minimum qualifications as required by Part 188 of the Rules and Regulations of
the State Board of Real Property Tax Services, and ensure the duties, knowledge, skills and
abilities described in the specification are current and remove the specification for Assessor
III from the Classification Plan and the title Assessor III a/k/a Commissioner of
Assessment and Taxation from its Civil Service Rules by the required process.

The Civil Service Commission should develop a program to systematically review

the duties and responsibilities of the positions under their jurisdiction. This review should
ensure that each class specification provides an accurate and up-to-date representation of
the duties and responsibilities of the class, identifies the proper knowledge, skills and
abilities for successful job performance, and contains reasonable job-related minimum
qualifications.
 16

New and Existing Position Classification

Section 22 of the Civil Service Law and City of Mount Vernon Civil Service Rule XXIII
(4) and (5) require that prior to the creation of a new position or reclassification of an existing
position, a statement of the duties and responsibilities of the position must be provided to the
Civil Service Commission. The Civil Service Commission must then study the duties and
responsibilities and determine the proper classification for the position. If necessary, the Civil
Service Commission may have to create a new class and prepare an appropriate specification.
This classification further must be performed prior to the positions creation so employees that are
hired meet the minimum qualifications and are fully qualified to perform the duties of the
position.

New Position Duties Statements are not submitted for positions in the City, Library and
School District prior to creation as required by Section 22 of the Civil Service Law and Rule
XXIII(4) of the City of Mount Vernon Civil Service Rules.

Commission staff indicates that they learn about the creation of new positions through
either the payroll certification process when a new appointee’s name is included on the payroll,
or when paperwork is received after the position is filled. During this review, Commission staff
was only able to produce a single New Position Duties Statement.

The Commission must assert its statutory authority in the classification of new positions.
The Commission must be involved at the very beginning of the process and it should be
classifying positions under its jurisdiction prior to the position being created.

The Civil Service Commission must require appointing authorities under its
jurisdiction to submit duties statements for all new positions and for those whose duties
have changed in accordance with §22 of the Civil Service Law and Rule XXIII(4) and (5) of
the City of Mount Vernon Civil Service Rules.
 17

V EXAMINATION PROGRAM EFFECTIVENESS

The examination program is the most visible activity undertaken by a civil service
agency. The credibility of, and public trust in, the municipally administered merit system is
predicated on the integrity of the entire examination process. Any question regarding the
integrity of any aspect of the examination program, whether real or perceived, adversely affects
the agency. The manner in which examinations are planned, announced and administered, as
well as the fair and proper review of applications, establishment of eligible lists, and the
management of eligible list certifications, including appointments made from such lists, all
contribute to the public perception of fairness, trust and confidence in the merit and fitness
program.

Measures of Examination Program Effectiveness

Four major functions relating to an effective local civil service examination program were
evaluated for this review.

1. Examination Planning – the City of Mount Vernon Civil Service Commission’s

effective use of information and related examination services to develop an examination
schedule that meets agency appointment needs; e.g., New York State Department of Civil
Service Local Examination Master Schedule, New York State Department of Civil
Service Monthly Examination Schedule Update Memoranda, agency-anticipated vacancy
information, anticipated eligible list exhaustion dates and other relevant information.

2. Recruitment of Personnel - the City of Mount Vernon Civil Service Commission’s

development of official announcements and the publicity given to job vacancies is crucial
to developing public and employee interest in job openings and promotion opportunities.
Examination announcements are the primary tool in recruitment for competitive class
positions. Examination announcements should contain all necessary information related
to the position, the examination and the application process. Application review is the
first step in the examination process. Of utmost importance is the manner in which
applications are evaluated. Uniform standards must be used in reviewing applications for
all those who apply.

3. Test Administration – the City of Mount Vernon Civil Service Commission’s practices
regarding the scheduling, staffing, logistics of administering a civil service testing
program to support the fair and equal testing of candidates seeking employment in the
public service, as well as its efforts to maintain the security and integrity of test-related
documents.

4. Eligible List Management – the City of Mount Vernon Civil Service Commission’s
practices regarding the processing of examination results and the use and management of
eligible lists and the certification process because they directly impact the fairness,
openness, timeliness, completeness and accuracy of the process.
 18

Examination Planning

It is vital that the City of Mount Vernon Civil Service Commission manage its merit
system administration so that all interested potential candidates compete on a level playing field
for appointment. To meet this objective, the Commission needs to request examination
assistance in anticipation of vacancies. There does not have to be a vacancy in order for an
examination to be requested. In fact, the Commission should be anticipating vacancies and
administering examinations to have viable eligible lists available. In the event an eligible list
containing three or more names of qualified candidates (a “mandatory” eligible list) does not
exist and a provisional appointment is authorized, §65(2) of the Civil Service Law requires that
an examination request be made within one month of the making of the provisional appointment.

To this end, the Civil Service Commission must identify, anticipate and plan for
examination needs well in advance of vacancies. Effective examination program planning and
administration requires the utilization of all available tools and management techniques. The
Commission must analyze, evaluate and use several factors to anticipate the need for and have
viable eligible lists available. Some of these factors include:

• reviewing the Master Examination Schedule published by the New York State
Department of Civil Service. The Master Examination Schedule contains the yearly
schedule of examinations offered by the New York State Department of Civil
Service;

• identifying with appointing authorities the normal turnover rates, anticipated

retirements and probable appointments in agencies and civil divisions;

• monitoring the number of candidates on existing eligible lists;

• reviewing recent canvass results of eligible lists to identify difficult-to-fill positions;

• monitoring the expiration dates of eligible lists and routinely ordering and scheduling
examinations to have eligible lists available;

• maintaining close communication with appointing authorities to be informed of

anticipated programmatic reductions or expansions, or the implementation of new
programs;

• discussing succession planning with department and agency heads, including the
compilation of agency demographics.

To support the Civil Service Commission in fulfilling its obligation to effectively

administer the competitive selection process, the New York State Department of Civil Service
offers examination services in the form of “centralized” and “decentralized” examinations.
Centralized and decentralized examinations differ in terms of the schedule and flexibility of test
dates. Centralized examinations are scheduled on predetermined dates by the New York State
 19

Department of Civil Service. Decentralized examinations are scheduled as needed by the

municipal civil service agency.

Ordering Examinations:

The key to good examination planning is the administration of examinations and

establishment of eligible lists prior to a vacancy occurring, which is best accomplished through
periodic reviews of staffing needs with program managers to anticipate vacancies. Therefore, an
important factor to consider when evaluating the effectiveness of examination planning is an
assessment of the procedures the City of Mount Vernon Civil Service Commission uses to order
and track examination requests with the New York State Department of Civil Service.

A review of the procedures by which examinations are ordered indicates that the
Commission needs to be more proactively involved in anticipating vacancies and to plan for the
administration of needed civil service examinations in advance of the need to make provisional
appointments. The City of Mount Vernon Civil Service Commission should review annual
budget requests, Board of Education notices and staff retirement notices in order to determine
what the City’s anticipated staffing needs are likely to be.

The Civil Service Commission should implement procedures to review staffing

needs with program managers to anticipate future vacancies; thereby enhancing its ability
to have eligible lists available from which to make permanent appointments and reducing
the need for provisional appointments.

Centralized Examinations Program Management:

For the period January 1, 2004, through October 15, 2006, the City of Mount Vernon
Civil Service Commission completed a total of 39 examinations prepared and rated by the New
York State Department of Civil Service. From the eligible lists that were established during this
period, 79 permanent appointments were made. The following chart illustrates the number of
centralized open-competitive and promotion examinations completed in each year, the number of
passed candidates and the number of permanent appointments.

Number of Passed Candidates Permanent

Examinations Appointments
Completed

Year OC Promotion OC Promotion OC Promotion

2004 7 6 461 70 15 13
2005 8 2 523 5 25 3
2006* 13 3 431 8 22 1
Totals 28 11 1,415 83 62 17

*January 1 to October 15, 2006

 20

An important goal of a properly managed examination program is to produce eligible lists

from which permanent appointments may be made, thus minimizing the need for provisional
appointments. The above table shows the City of Mount Vernon Civil Service Commission is
conducting an active centralized civil service examination program. Specifically, the above chart
shows that of the 39 examinations completed for the period covering 2004 through October 15,
2006, 28 were conducted on an open-competitive basis and 11 were conducted on a promotional
basis. Further, of the 28 open-competitive examinations, 19 (68%) resulted in a mandatory
eligible list; i.e., three or more passed candidates. In addition, it was noted that of the 11
promotion examinations, seven (64%) resulted in mandatory eligible lists. Inasmuch as the
promotion field may be limited, it is recognized that the percentage of promotion examinations
resulting in the establishment of mandatory eligible lists is expected to be lower than those for
open-competitive examination.

As the majority of open-competitive examinations did result in the establishment of

mandatory eligible lists, it would appear the City of Mount Vernon Civil Service Commission is
providing appointing authorities with a choice of at least three qualified candidates eligible for
permanent appointment to most positions. In fact, of the 2170 candidates rated during the period
covered by this Review, 69 percent (1498) passed their examination, while 31 percent (672)
failed. However, in conjunction with the review of completed examination results, it was also
observed that, although many of the examinations did result in the establishment of mandatory
eligible lists for appointing officer use, the failure rate on many of its examinations was high.
Seventeen (17) of the 39 (44%) examinations completed during this review period had a
candidate failure rate greater than 50 percent. In fact several examinations’ failure rates were
much greater than fifty percent. These include:

Examination Participating Candidates Passed Candidates Failure Rate

Planning Administrator 2 0 100%

Purchasing Agent 9 1 89%
Sanitation Foreperson 4 1 75%
Junior Accountant 8 2 75%
Assessment Clerk 6 2 67%
Public Works Supervisor 6 2 67%
Parks Supervisor 12 4 67%
Communications Specialist 20 7 65%
Prisoner Attendant 13 5 62%
Maintenance Mechanic 28 11 61%
Administrative Aide 33 13 61%

As will be reported in the “Application Review” section of this Report, this unusually
high failure rate for the City of Mount Vernon’s civil service examinations is likely due to the
fact that the minimum qualifications of applicants are not properly evaluated by the City of
Mount Vernon Civil Service Commission prior to the administration of the City’s civil service
examinations. As noted earlier in the Classification Section of this Report, the minimum
qualifications are often vague or unclear. Vague or unclear minimum qualifications make
application review by Commission staff burdensome and leads to candidates, who lack the
required background as defined by the minimum qualifications, being allowed to participate in
an examination for which they do not qualify. Oftentimes, candidates who do not appear to meet
 21

the qualifications have difficulty passing the examination and therefore, contribute to the high
failure rate.

Decentralized Examination Program Management:

The scheduling and administration of decentralized examinations is determined by the

needs of the City of Mount Vernon Civil Service Commission. The program is designed to give
the Commission the means to offer examinations in accordance with its needs, to score test
papers immediately and promptly certify an eligible list to appointing authorities promptly.

Since 2004, the Commission has administered decentralized examinations for the
following titles:

• Computer Console Operator

• Custodian/Janitor
• Librarian
• Senior Keyboard Specialist

Between January 1, 2004 and October 15, 2006, 95 candidates participated in the above
listed decentralized examinations completed by the City of Mount Vernon Civil Service
Commission. Five permanent appointments were made from the eligible lists that were
established from the decentralized examination program during this period. Three appointments
were made from decentralized examinations in 2004; one appointment in 2005; and one
appointment in 2006 – up to date of the review; October.

Similar to the comments made in the Centralized Examinations Program Management

section of this Report, a high candidate failure rate was again found. Of the 95 candidates who
participated in decentralized examinations during the time period covered by this review, only 67
(70%) candidates passed the examinations. This figure is comparable to the rate of passing
candidates for centralized examinations. For centralized examinations, 2170 candidates were
rated during the period covered by this Review. Of these, 69 percent (1498) passed their
examination, while 31 percent (672) failed. Failure rates at or above 30 percent is noteworthy.

Locally Prepared Examinations

Since 2003, the City of Mount Vernon Civil Service Commission has not conducted any
locally prepared examinations.

Recruitment of Personnel

The basic premise of the civil service system, embodied in the State Constitution, is that
the selection of employees in the public service should be based on merit and fitness, to be
ascertained, as far as practicable, through competitive examination. Without an adequate
number of qualified candidates to participate in the examination, it is not a competitive process.
Therefore, an active recruitment program is the most effective way a municipal civil service
agency can ensure the principles of merit and fitness are upheld.
 22

Announcement of Examinations

An examination announcement is the primary tool in recruitment for competitive class

positions. The official announcement and publicity given to current job vacancies and
anticipated vacancies are crucial in developing public and employee interest in job openings and
promotion opportunities. Toward this end, announcements should be attractively designed to
draw attention and written in clear, easily understood language. They should contain all
necessary information related to the position, the examination, and the application process so that
applicants have sufficient knowledge to make informed decisions as to their interest in the job
and whether or not they qualify to compete.

The City of Mount Vernon Civil Service Commission prints examination announcements
on colored, legal-sized paper in a distinctive format. The announcements contain all information
required by §50(2) of the Civil Service Law and City of Mount Vernon Civil Service Rule
VII(2). The announcements specify the title of the position to be examined, the salary or salary
range to be paid to incumbents of the position, the position’s duties, the minimum qualifications,
the last date for filing applications, the application fee, the scope of the examination, and the date
and place for the administration of the examination. A residency statement is included where
applicable. The announcements also ask Saturday Sabbath observers and disabled persons to
indicate whether special arrangements are needed and provide information to candidates also
filing for examinations on the same date in other jurisdictions. In addition, the City of Mount
Vernon Civil Service Commission has a web site that includes recruitment and examination
related information. This web site also provides candidates with the ability to access and print
applications online.

The City of Mount Vernon Civil Service Commission has established specific procedures
for the distribution of both open-competitive and promotion examination announcements. The
Commission distributes announcements to 106 different locations; the mailing list is
comprehensive and is comprised of schools, colleges, libraries, area post offices, civil and social
organizations as well as appropriate union officials and other civil service offices within the
Mount Vernon area.

Recruitment Indicators:

There are two main indicators of recruitment effort effectiveness: 1) the number of
candidates participating in examinations; and 2) the number of mandatory eligible lists generated
from these examinations. The resulting eligible lists are used to provide appointing authorities a
sufficient number of qualified candidates for permanent appointment. As illustrated earlier in
this Report, 66.7% of the open-competitive examinations held during the period January 1, 2004
– October 15, 2006 resulted in the establishment of eligible lists having more than three passing
candidates. Consequently, the majority of the time, an appointing authority is provided with an
eligible list containing at least three eligible candidates from which to make a permanent
appointment.

A review of records indicate that in the years 2004, 2005 and 2006 (to October 15), the
City of Mount Vernon Civil Service Commission completed 39 centralized examinations that
included 2170 candidates; an average of nearly 56 candidates per examination. Although the
overall number of participating candidates is respectable, this number is skewed by four
 23

examinations. The 2005 Firefighter, as well as, the 2004, 2005 and 2006 Police Officer
examinations comprised 1697 (78.2%) of all the candidates examined. If these candidates and
examinations were factored out of the analysis, a total of 473 candidates for 35 examinations
would remain. Based on these figures, the City of Mount Vernon averaged just over 13
candidates for each of the non-Firefighter and non-Police Officer examinations.

When looking at the number of candidates who passed the City’s examinations, a total of
1498 candidates passed the 39 examinations given during the period covered by this review; an
average of just over 38 candidates per examination. However, when juxtaposed against the
number of passed candidates for all examinations that were not for Firefighter or Police Officer,
the number of passed candidates drops to 237 for 35 examinations; an average of less than seven
passed candidates per examination. It was also observed that 13 or one-third of the 39
examinations held resulted in two or fewer passed candidates; this includes one examination
(Planning Administrator, Examination No. 69675) which had no passing candidates and as a
result, no eligible list was established.

It is therefore concluded that the City of Mount Vernon Civil Service Commission’s
recruitment program for the public safety fire and police examinations is effective. However, the
City of Mount Vernon Civil Service Commission could improve the competitiveness of its merit
and fitness program for all other examinations by taking additional steps to enhance its
recruitment efforts.

The Civil Service Commission should consider expanding recruitment efforts to

attract more candidates for centralized open-competitive examinations so there are
sufficient candidates for appointing authorities to make permanent appointments.

Acceptance of Applications

Section 50(2) of Civil Service Law states in part that, “…municipal civil service
commissions shall require prospective applicants to file, during a prescribed time, a formal
application.” Further, City of Mount Vernon Civil Service Rule VII(2) requires in part, that the
examination announcement must specify the final date for filing applications.

Based on our Review, the City of Mount Vernon Civil Service Commission allowed
candidates to file applications for examination after the close of file date. For example, the City
held an examination for Police Officer on December 3, 2005. The final date for filing
applications for this examination was October 26, 2005 at 4:00pm. A total of 28 applications
were submitted and accepted after the close of file date. Accepting late applications on an
exception basis violates the spirit of the law as it can be seen to advantage certain applicants over
other candidates who may be screening themselves out of the process because they believe the
final date to file an application has passed. If the Civil Service Commission wanted to extend the
last date to file applications, public notice of that extension should have been made.

The Civil Service Commission must either issue public notice that it is extending the
close of file date or not allow candidates to file for examination after the close of file date.
 24

Application Review:

Candidates for competitive examination must file an application for examination within a
prescribed period. Prior to the holding of the examination, the City of Mount Vernon Civil
Service Commission must review the applications of candidates to determine if they possess the
required minimum qualifications. Review of candidates’ applications is the first critical step in
the competitive selection process. The manner in which applications are fairly and properly
reviewed will ensure a public perception of fairness as well as ensuring that only qualified
individuals are allowed to compete for appointment.

The evaluation of education and experience must be measured objectively against the
announced minimum qualifications. A fair and objective evaluation is necessary to screen out
unqualified candidates, while at the same time affording all qualified candidates an opportunity
to participate in the competitive examination process. This results in all applicants having their
applications fairly and consistently evaluated.

As referenced in the “Classification Plan” section of this Report, the City of Mount
Vernon Civil Service Commission’s class specifications, specifically the minimum qualifications
statements, often lack clarity. As a result, the application review process can be negatively
affected. Because many of the minimum qualifications statements are confusing, the application
review task is difficult to accomplish. While the Civil Service Commission did not disqualify
anyone during the period covered by this Review, a lone instance was identified where the
Commission allowed candidates to participate in the examination who did not clearly appear to
meet the minimum qualifications. It could not be discerned on what basis the Civil Service
Commission found the candidates to be qualified. For examination #69-629, Purchasing Agent,
at least four candidates who seemed to lack the requisite experience requirements for the
examination were approved to participate in the examination. Each of these candidates failed the
examination; therefore, no corrective action is necessary in regard to these specific candidates.

The Civil Service Commission should only approve candidates to participate in the
examination who meet the officially established minimum qualifications announced for the
examination.

Test Administration

To maintain public trust in the civil service system, the security and integrity of the City
of Mount Vernon Civil Service Commission’s testing program must be stringently maintained.
The Commission has the ultimate responsibility for ensuring the security and integrity of the
examination program within its jurisdiction. A review of test administration procedures found
the City of Mount Vernon Civil Service Commission staff maintains a sufficient number of
trained monitors and staff who assist with the tracking of secure examination related materials
from the time it is received from the New York State Department of Civil Service, through test
administration, and to the point that examination materials are returned to the New York State
Department of Civil Service.

Appropriate and necessary security practices are in place to ensure the safekeeping of test
materials in the City of Mount Vernon Civil Service Commission office as well as all candidate
answer records and sensitive, confidential examination related information. The Test Center
 25

Supervisor responsible for the oversight of test administrations effectively manages the
distribution and return of test materials in a manner that safeguards the security and integrity of
sensitive test material. Test monitor turnover is limited, and new test administration staff is
provided appropriate training and orientation by the City of Mount Vernon Civil Service
Commission staff.

The relatively low number of problems submitted by the City of Mount Vernon Civil
Service Commission to the New York State Department of Civil Service indicates that the test
administration practices are being well managed, which results in uncomplicated and uneventful
test administrations. This is an indication that the City of Mount Vernon Civil Service
Commission is appropriately managing its obligations and responsibilities for the safekeeping of
test materials as well as the conduct of tests.

Alternate Test Date Policy

A local civil service agency has the authority to adopt an Alternate Test Date Policy to
provide another test date for candidates who are encountering emergencies or who have
compelling conflicts beyond their control which prevents them from participating in an
examination on its announced date. The adoption of a written policy also helps ensure that
alternate test dates are granted in a fair and consistent manner. Further, a written policy is required
to conduct examinations prepared by the New York State Department of Civil Service on an
alternate date. Section 70(4) of the New York State Civil Service Commission President’s
Regulations requires that tests be administered only on the announced date; under this regulation,
municipal civil service agencies are authorized to adopt policies which allow alternate date testing
under certain circumstances.

During this review, it was determined that, although the City of Mount Vernon Civil
Service Commission does make alternate test arrangements for candidates participating in its
examination for reasons other than religious observance, the City of Mount Vernon Civil Service
Commission has not officially established a written Alternate Test Date Policy.

The Civil Service Commission must adopt an Alternate Test Date policy outlining
the terms and conditions in which alternate test dates will be permitted.

Eligible List Maintenance

Section 56 of the Civil Service Law requires that a Civil Service Commission establish
and maintain eligible lists. The preparation and maintenance of eligible lists are critical elements
of the competitive selection process, and are central to the integrity of the merit system. Properly
prepared and maintained eligible lists also help to ensure that appointing authorities have the
opportunity to select from among the most qualified candidates. They also ensure that
candidates are afforded the rights and benefits to which they are entitled to under the Civil
Service Law and the City of Mount Vernon Civil Service Rules. An eligible list is a public
document, and the manner in which an eligible list is prepared and maintained is central to the
public’s perception of how the merit system is being administered.
 26

The eligible lists are maintained in “ledger-type” books and arranged by examination
date. The eligible lists resulting from both centralized and decentralized examinations are filed
by the date of examination. The Commission uses a ‘Table of Contents’ in the front of each
eligible list book referencing which pages certain eligible lists can be found. Each eligible list
includes the title and examination number, date of establishment, the duration of the list, the
eligible’s name, address, examination score, final examination rating, veteran’s credits and/or
seniority points awarded, the results of the canvasses, the dates certifications were sent,
information regarding appointments made and the salary at the time of appointment.

The Commission’s practice is to establish eligible lists for two years. However, when a
small eligible list is established, the Commission will limit establishment to one year; the lone
exception is for Firefighter which is established for the maximum four year period. Extensions
are made as necessary prior to expiration and for one year periods.

Candidates are notified by letter of their examination score and, if they passed, the date
the eligible list was established and their rank.

City of Mount Vernon Civil Service Rule XI(2) requires that when the duration of an
eligible list is fixed at less than four years, the Commission may extend the duration of the list up
to a maximum period of four years, provided that eligibles on such list are notified in writing of
the extension of the eligible list. The Commission does not provide such written notification.

The Civil Service Commission must notify eligibles in writing when eligible lists
have been extended in conformance with Civil Service Rule XI(2).

The Civil Service Commission should consider establishing all eligible lists for the
maximum limitation of four years in order to maximize use of the list, providing qualified
candidates the greatest opportunity for appointment and reducing the need for provisional
appointments. This will also eliminate the necessity to notify eligibles of the extension of a
list.

Eligible lists generally are adequately maintained. From January 2004 through October
15, 2006, the Commission established 42 eligible lists, from which 84 appointments were made.
This Review found that each appointment made from an eligible list was appropriate. This will
be discussed in greater detail in the “Appointments” section of this Report. This Review did find
a minor problem with the way the Commission recorded information on eligible lists. This is
discussed below.

An eligible list is a public document and available for public inspection. The manner in
which an eligible list is maintained is central to the public’s perception of merit system
administration.

Rule XI(1) of the City of Mount Vernon Civil Service Rules states that “Every candidate
who attains a passing mark in an examination as a whole and who meets the standards
prescribed, if any, for separate subjects or parts of subjects of the examination shall be eligible
for appointment to the position for which he was examined and his name shall be entered on the
eligible list in the order of his final rating…” Rule XI(3) also requires that the names of persons
who failed to receive a passing grade on the examination shall not be disclosed to the public. As
 27

the eligible lists should be open to the public, it is important that information pertaining to
candidates who fail the examination not be made available to the public.

The City of Mount Vernon Civil Service Commission enters information on Police
Officer eligible lists pertaining to candidates’ failure of the physical agility portions of the
examination as well as information concerning certain candidates being disqualified based on a
background investigation. The Civil Service Commission should develop a method to code and
conceal information on candidate’s failure on the agility and background investigation portions
of the examination. It may be necessary to leave candidates on the eligible list who have failed
the agility portion of the examination as there may be a re-test at a future date.

The Civil Service Commission must discontinue the practice of indicating on eligible
lists which candidates are unsuccessful on the examination and/or develop a method to
code the restriction of such candidates.

Canvass and Certification

A well maintained eligible list will contain information regarding the results of
canvasses, declinations, certifications of eligibles, and appointments. Section 61(1) of the Civil
Service Law provides that the Civil Service Commission shall certify the names of individuals
from the most nearly appropriate eligible list who are willing to accept appointment. In addition,
City of Mount Vernon Civil Service Rule XII(2) provides that certifications issued by the Civil
Service Commission to an appointing officer shall be valid for a 30 day period.

A form letter is used to canvass candidates to determine their availability for

appointment. The canvass letter indicates the position title, location, starting salary, and the
effect of future eligibility if the candidate declines appointment.

City of Mount Vernon Civil Service Rule XII(3) provides that when an eligible is
canvassed for appointment or is offered appointment in writing and fails to state his willingness
to accept such appointment within four business days after the mailing of such canvass or offer,
he may be considered ineligible for the purposes of making a selection for such particular
appointment. According to the Rule, then, failure to respond may only result in the candidate
being ineligible for that particular appointment for which the canvass was sent. The candidate
would be included in future canvasses and certifications. However, a review of eligible lists
found that in cases where an eligible fails to respond to a canvass, the Civil Service Commission
strikes his/her name and restricts the eligible from all further certifications. This practice is in
conflict with the City of Mount Vernon Rule XII(3).

The Civil Service Commission must ensure that the certification of eligibles
procedures are in compliance with the City of Mount Vernon Civil Service Rules, or amend
Rule XII(3) to provide that eligibles who fail to respond to a canvass will be restricted from
further certification from the list with safeguards that if they inform the Civil Service
Commission of their availability they will be certified for future vacancies.
 28

Veterans’ Credit Roster:

Section 85(6) of the Civil Service Law requires that the Civil Service Commission
maintain a record of candidates who have claimed and used veterans’ credits to receive
permanent competitive appointments. Section 85(6) requires municipal civil service agencies to
maintain a veterans’ credit roster, because the New York State Constitution allows for the use of
veterans’ credits to obtain permanent appointment only once.

The Civil Service Commission does maintain a veterans' credit roster as required by law,
but does not check with other civil service agencies to determine if candidates may have already
used their veterans’ credits. By not checking on the possible use of veterans’ credits, the Civil
Service Commission does not know if a candidate has previously used their veteran’s credits for
appointment in another jurisdiction.

The Civil Service Commission must take steps to ensure that veterans’ credits are
used only once for appointment.
 29

VI APPOINTMENTS

Permanent Appointments

The civil service system is founded on the principle that appointments to positions in the
public service will be made on the basis of merit and fitness demonstrated as far as practicable
by competitive examination. Section 61 of the Civil Service Law requires that competitive
positions be filled by the appointment of one of the top three eligibles willing to accept
appointment whose names appear on an appropriate eligible list. Permanent competitive class
appointments provide employees with a number of rights, most notably retention rights in the
event of a reduction in force, that differ from the rights acquired by individuals receiving other
types of appointments in the classified service.

The propriety of an appointment to a competitive class position can be confirmed by

reviewing the appropriate eligible list, certifications issued and documentation describing the
action taken by the appointing authority to effectuate the appointment. A review of 107
permanent competitive class appointments made during the previous three years was conducted
to ensure they were made in accordance with Civil Service Law and Rules. Eighty-seven
appointments were made from eligible lists established based on centralized examinations and 20
appointments were made from eligible lists established from decentralized examinations. This
was a complete review of all permanent, competitive class appointments from eligible lists in
existence at the time of this Review.

Each appointment was made from an appropriate eligible list in conformance with the
requirements of §61 of the Civil Service Law and City of Mount Vernon Civil Service Rules.

Provisional Appointments

Section 65 of the Civil Service Law allows appointing authorities, with approval of the
Civil Service Commission, to fill positions in the competitive class on a provisional basis when
there is no appropriate eligible list available to fill the position on a permanent basis. Provisional
appointments are a non-tenured method of filling competitive class positions with individuals
who meet the minimum qualifications, pending the holding of an examination and the
establishment of an appropriate eligible list. Section 65 of the Civil Service Law also requires
that an examination be put in process within one month of the making of a provisional
appointment. Provisional appointees must participate in the next scheduled examination for the
position and be among the top three candidates on the resulting eligible list in order to receive a
permanent appointment. Every effort should be made by the Civil Service Commission to avoid
the necessity of provisional appointments and to limit their duration.
 30

Provisional Appointments Summary

The following chart represents a summary of provisional appointments:

Present Number Percent of Competitive

Employees

Competitive Class Employees 593 --

Provisional Employees 24 4.0 %

Provisionals Serving with No 2 .3 %

Examination in Process

Provisionals Serving with No 2 .3 %

Class Specification

Number of Provisional Appointments

According to the 2006 City of Mount Vernon Annual Report, there were 593 competitive
class positions under the jurisdiction of the City of Mount Vernon Civil Service Commission. At
the time of this Review, 24 positions, or four percent, were filled on a provisional basis.

Section 65(1) of the Civil Service Law provides that absent an eligible list, an appointing
authority may nominate a person to the City of Mount Vernon Civil Service Commission for
non-competitive examination and, if such nominee is found to be qualified, he or she may be
appointed provisionally to fill the position until selection and appointment can be made
following a competitive examination. Pursuant to this section of Law, the City of Mount Vernon
Civil Service Commission is required to review applications prior to appointment. This Review
entails a comparison of the nominee’s qualifications against the officially adopted minimum
qualifications prescribed for the position as stated on the class specification and a determination
of applicants being qualified or not qualified for the position must be made.

The Civil Service Commission receives and reviews applications of provisional nominees
from appointing authorities. Applications were available for all provisional appointees during
this Review. However, over half of the applications for nominees for provisional appointment
were dated after the appointment date identified in the employee’s official roster record. Three
of the 24 provisional applications had no indication that they had been reviewed and approved or
disapproved by the City of Mount Vernon Civil Service Commission prior to provisional
appointment.

The Civil Service Commission must establish a procedure requiring all appointing
authorities to submit applications for provisional nominees, and conduct a review of the
applications received, prior to appointment as required by §65(1) of the Civil Service Law.
 31

A review of 23 applications covering 24 provisional appointments found that 13

nominees clearly met the minimum qualifications for their respective position. In one instance,
no application was available for review. Several problems were identified involving the
application review for 10 provisionals.

In eight of ten instances, the information provided by the applicant was either:

a) missing, unclear, or insufficient to determine if the person met the established

minimum qualifications for the position; or

b) accepted by the Commission as qualifying when it appears the experience

listed is not appropriate to the qualifications required for the position.

Additional information must be obtained from these provisionals in order to determine if they
meet the qualifications for the positions they hold.

For the remaining two provisionals, classification specifications were not available for
their position, so a review of the qualifications of these appointees could not be made. While the
titles for these two are included in Schedule B at the end of this Report, the names of all 11
employees have been sent to the Civil Service Commission under separate cover.

The Civil Service Commission must obtain an application and review the
qualifications of the provisional employee for whom an application was not on file at the
time of this Review and adopt procedures to ensure that applications of all nominees for
provisional appointments are submitted and reviewed prior to appointment in order to
fulfill the obligation under §65(1) of the Civil Service Law.

The Civil Service Commission must review the qualifications of eight provisional
appointees serving at the time of this Review that do not appear to meet the minimum
qualifications for their respective position. If they are found to be not qualified, the Civil
Service Commission must direct that they be removed from their position or take other
appropriate action as necessary.

The Civil Service Commission must take action to classify the two positions without
a class specification that are held by provisional appointees. Once the Civil Service
Commission has classified the two positions, it must determine the appropriate method to
fill the position. If the Commission determines the position(s) should remain in the
competitive class it must make an appointment from an appropriate eligible list or, if not
available, by provisional appointment. If the Civil Service Commission determines the
position(s) should be removed from the competitive class, it must remove the position(s)
from its Civil Service Rules by the required process.

Section 65(2) of the Civil Service Law requires that the City of Mount Vernon Civil
Service Commission initiate the examination process within one month of authorizing a
provisional appointment. At the time of this Review, examination requests were ordered for 22
of the 24 positions filled on a provisional basis. Two examinations not ordered are for the
positions previously mentioned that have yet to be classified by the Civil Service Commission.
These positions have been filled since January 3, 2006 and September 22, 2003, respectively. In
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addition, 17 of the remaining 22 positions filled on a provisional basis had examinations ordered
within one month of the date of appointment as required.

The Civil Service Commission should develop a procedure to ensure an examination

is ordered within one month of the appointment of a provisional appointee in accordance
with §65(2) of Civil Service Law.

Section 65(3) of the Civil Service Law provides that a provisional appointment to any
position shall be terminated within two months following the establishment of an appropriate
eligible list. At the time of this Review, one provisional employee serving in the face of an
eligible list was found. This employee is included in the list of provisional appointments
provided to the Civil Service Commission under separate cover for corrective action. However,
another provisional appointee was found who was allowed to serve in the face of a mandatory
eligible list; this eligible list was allowed to expire and the provisional appointee has continued
in this position. A new examination has been ordered for this position. The name of this
individual is also being provided to the Civil Service Commission under separate cover for
corrective action.

The Civil Service Commission must immediately take action to terminate the
provisional appointment which is in violation of §65(3) of the Civil Service Law and take
steps to ensure that no other provisional appointees are allowed to serve illegally.

Temporary Appointments

Section 64 of the Civil Service Law authorizes temporary appointments, under specific
conditions, for up to three months without the use of existing eligible lists; from three months to
six months, appointments must be made from an appropriate eligible list, if available; for
temporary appointments beyond six months, selection must be made from an appropriate eligible
list, if available, from among the top three eligibles on the list willing to accept appointment.

At the time of this Review, 19 temporary appointments were noted in the roster record.
The majority of temporary appointments were reviewed and found to be in accordance with the
provisions of §64 of the Civil Service Law. However, six temporary appointments exceeded the
time limits established by §64 for such appointments. The names of these temporary appointees
have been forwarded to the City of Mount Vernon Civil Service Commission under separate
cover.

The Civil Service Commission must review six temporary appointments to ensure
they conform with the provisions of §64 of the Civil Service Law.

Non-Competitive Appointments

Section 42(1) of the Civil Service Law prescribes that appointments to positions in the
non-competitive class shall be made after a non-competitive examination prescribed by the
Commission. City of Mount Vernon Civil Service Rule IV - Non-Competitive Class indicates,
“A position in the non-competitive class may be filled by the appointment of a person who meets
the minimum qualifications established for such position by the commission. A nomination for
such an appointment shall state the qualifications of the nominee and shall be filed by the
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appointing authority with the commission. Such appointment shall become effective only after
approval by the commission.”

A sample of 17 non-competitive appointments were reviewed. Of these:

• eight applications were received and approved after the appointment date;
• seven applications were submitted to civil service prior to the start date of the
employee; and
• two did not have applications available for review.

Of the fifteen applications available for review, four appointees did not appear to meet
the minimum qualifications established for the position they were holding. A listing of these
appointments, as well as the names of the employees without applications on file, is being sent to
the Commission under separate cover.

The Civil Service Commission must ensure that applications of all nominees for
non-competitive class appointments are submitted and reviewed prior to appointment as
required by §42(1) of the Civil Service Law and City of Mount Vernon Civil Service Rule
IV.

The Civil Service Commission must review the qualifications of four non-
competitive appointees serving at the time of this Review that do not appear to meet the
minimum qualifications for their respective position. If they are found to be not qualified,
the Civil Service Commission must direct that they be removed from their position or take
other appropriate action as necessary.

The Civil Service Commission must obtain from and review applications for the
two candidates whose applications were not available at the time of this Review.
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VII ROSTER RECORD

Section 97(1) of the Civil Service Law and City of Mount Vernon Civil Service Rule
XXI, Reports of Appointing Officers, requires appointing officers to promptly report to the
Commission detailed information relative to an employee’s employment history.

Section 97(2) of the Civil Service Law and City of Mount Vernon Civil Service Rule
XXI requires the Commission to maintain an official roster detailing the employment history of
each employee within the classified service.

Maintaining this official roster is one of the Commission’s most important

responsibilities. Information in the roster record is used to determine an employee’s civil service
rights, eligibility for promotion and/or retirement and the compensation to which he or she is
entitled. Also, the roster record, absent an employee’s personal information, is a public record.

The Civil Service Commission maintains a paper roster record system for all employees
under its jurisdiction. The paper roster records are grouped in alphabetical order by department
or civil division. The roster records contain information regarding an individual’s employment,
including name, address, phone number, social security number, civil service history, title,
salary, appointment status, authorization, and effective date of all personnel transactions. The
information contained in the roster record is entered by Commission staff. While the roster card
trays are stored in the office’s “main area,” they are not readily accessible to the public and
therefore, secure. Further, the Commission staff adhere color coded tabs to employee roster
records to indicate status. For example, green tabs indicate which employees are serving
provisionally; red tabs show which employees are working on a temporary basis; and yellow tabs
designate which employees are currently on a leave of absence. Further, the Commission staff
maintain up-to-date position control cards. A position control record is the history of the
position summarizing who has occupied the position from its creation through the present
incumbent. The position control record system enables Commission staff to tell at a glance the
location of vacancies for a particular civil division.

Reporting

In order to ensure the accurate reporting of transactions, municipal civil service agencies
must establish a reporting procedure to be followed by appointing authorities that solicits all of
the information needed by civil service to maintain the employee roster. Key to the success of
any reporting procedure is the clear articulation of the information needed. This is generally
accomplished through the use of standardized forms, establishment of protocols to be followed in
transmitting them, and communication between civil service staff and the personnel staff of
appointing authorities.

The Civil Service Commission uses a standard report of personnel change form to collect
personnel transaction information from all civil divisions under its jurisdiction. The reports of
personnel changes are submitted on a timely basis. The roster record is subsequently updated or
amended based on this reporting. Any issues are resolved through follow-up activities that
consist of Commission staff sending an e-mail or placing a telephone call to the appointing
authority.
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Maintenance

In assessing the effectiveness of the Commission’s maintenance of roster records,

employee roster records were reviewed for accuracy and completeness. In general, the
information contained on the roster records is up to date; however, there were instances found
where the roster records contained inaccuracies and/or incomplete information. The following
problems with roster record maintenance were identified during the Review:

1. Roster records of competitive class employees do not cite the eligible list number,
rather the page number in the eligible list book where the eligible list can be found. It
is recommended the eligible list number also be recorded on the roster record for each
permanent appointment;

2. When a current employee is promoted, this transaction is not noted on the roster
record, rather it is recorded as a resignation from his/her former position and a new
appointment is listed with reference to a page number in the eligible list book. It is
recommended that the appropriate transaction be recorded on the roster record for
each promotion;

3. For non-competitive class appointments, authorization on roster records is listed as

“RPC” and the corresponding date. For non-competitive class appointments the use
of RPC is improper as it fails to indicate that the Civil Service Commission has
reviewed the qualifications of the individual and certified their fitness for
appointment through non-competitive examination.

4. A few instances were noted where the job title on roster records did not match the
title in the classification plan and/or the civil service rules. The roster record is the
official employment history of an individual and the title on the roster record should
coincide with the official title as adopted in the civil service rules and/or classification
plan. This was mentioned previously in the “Rules” section of this Report and the
affected titles are listed in Schedule A at the end of this Report.

5. A number of roster cards contain an incorrect jurisdictional classification for the title
in which the individual is serving. For instance, some non-competitive class positions
were listed as being in the labor class, and some competitive class positions were
listed as being in the non-competitive class. Errors of this sort make it difficult to
ensure that employees are granted the rights they are entitled to based on the
jurisdictional classification of the position and the employees’ status. This was also
mentioned previously in the “Rules” section of this Report and the affected titles are
listed in Schedule B at the end of this Report.

Specific roster record discrepancies have been provided to the Civil Service Commission
under separate cover.
 36

It is critical that the roster record contain complete and accurate information because it
serves as the official document of an individual’s employment history, including status, dates,
and types of appointments. The roster record provides the basis for employment decisions and
clarification of public employees’ civil service rights. An accurate and up-to-date roster record
system also helps to improve the payroll certification process.

The Civil Service Commission must review the roster record to confirm the correct
status, jurisdictional classification, and authorization for appointment for all employees
under its jurisdiction.

Police Officer Training

Section 209-q of the General Municipal Law requires Police Officers and first-line
supervisory Police Officers to complete a training program within one year of appointment to
receive permanent status. This information was not found on all roster records for Police Officer
positions.

The Civil Service Commission should review the roster record and ensure that
appropriate entries are included for completion of required Police Officer training.
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VIII PAYROLL CERTIFICATION

Section 100 of the Civil Service Law requires each agency under the jurisdiction of the
Civil Service Commission to submit payrolls for certification prior to payment at least once a
year. Each municipal civil service agency may adopt a rule to prescribe the frequency of payroll
certification. Rule XXII of the City of Mount Vernon Civil Service Rules requires that payrolls
be certified for the first payment of each fiscal year and, if required by the Civil Service
Commission, for the first payment for services in the second half of the fiscal year. The purpose
of payroll certification is to ensure that all appointments and employments comport with the
provisions of Civil Service Law and the City of Mount Vernon Civil Service Rules.

The payroll certification process involves the Civil Service Commission comparing the
payroll against the official roster record to determine if each person included on the payroll is
employed in his or her respective title and salary in accordance with Law and Rules.
Additionally, the Civil Service Commission is responsible for confirming employees’
membership in the retirement system, which is verified by checking the payroll for the
Employees’ Retirement System membership information. The Civil Service Commission and
the appointing authority must resolve any discrepancies prior to payment of monies due the
employee. Any public official who pays or authorizes payment to any employee not certified by
the Civil Service Commission may be held personally responsible under the law for the
repayment of funds received by the employee.

Process and Compliance

The City of Mount Vernon Civil Service Commission does receive payrolls; albeit, the
payrolls are received after payment has been issued. Further, the payrolls submitted are not the
first full payment of the civil division’s fiscal year and the Civil Service Commission does not
officially certify them. Rather, Commission staff reviews the payrolls and takes action, either by
phone call or letter to appointing authorities, in an attempt to correct discrepancies that are
found. Discrepancies, however, are not always resolved. Discrepancies represent information
presented on the payroll that differs from the information the Civil Service Commission
maintains in the roster records.

By not officially certifying the payroll, many discrepancies go uncorrected. A review of

recently received payrolls found 49 such discrepancies. A listing of discrepancies that exist
between the information on the roster record and the payroll is being sent to the Commission
under separate cover.

The Civil Service Commission must review the statutory requirements for payroll
certification, and adopt procedures to ensure that all payrolls are officially certified in
accordance with §100 of the Civil Service Law and City of Mount Vernon Civil Service
Commission Rule XXII.
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IX OTHER FACTORS

Meetings and Minutes

The Mount Vernon Civil Service Commission typically meets twice monthly, with the
exception of July and August, when they meet once. The Civil Service Commission conducted
21 meetings in 2004, 20 meetings in 2005 and 16 meetings in 2006 (through October) during the
period covered by this Review. Commission minutes were available for each meeting, typed and
signed by the Commissioners, meeting attendees and a member of the Commission staff. The
minutes are quite extensive and contain information on attendees, examinations requested and
announced, approved provisional appointments, applications approved, adoption of job
specifications, eligible list establishment and the extension of eligible lists.

Office Staff and Equipment

The Civil Service Commission office is located on the first floor of City Hall and is open
from 8:30 a.m. to 4:30 p.m. Monday through Friday. The Commission staff consists of a
Secretary to the Civil Service Commission and a Senior Typist. The space, staff and equipment
allocated to the Civil Service Commission are adequate for the administration of civil service.