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0000 Introduction

0200 Roles & Responsibilities

0400 Affirmative Action

0600 Jurisdictional Classification

0800 Classification & Compensation

1000 Recruitment

1200 Examinations

1400 Eligible Lists

1600 Interviewing & Hiring

1800 Appointments

2000 Probation

2200 Separations & Leaves

2300 Reductions
in Force

2400 Training & Development

2600 Employee Services

2800 Automated Position and Personnel System

3000 Appendix


State Management Personnel Manual


1630 Credentials

[See 1800 Appointments for Policy Bulletins related to this topic. see also Policy Bulletin 87-03 in this section.]

.2 Policy

.210 General policies

.211 Where necessary to ensure proper skills of employees to perform the duties of a title or position, or where required by law, the State will require that candidates for employment possess appropriate license, certification, diploma, prior work experience, and background (Civil Service Law Section 50.4). The State will make every effort to insure that such requirements are bona fide occupational qualifications and do not impose artificial barriers to employment.

.212 It is the expectation of the State that candidates for employment will not materially overstate or misrepresent their qualifications for employment, and that employees will take the steps necessary to maintain required certification, licensure, and/or registration.

.213 Pursuant to Rule 3.2 (c) candidates and employees have an obligation to respond to requests to produce timely appropriate documentation demonstrating that they meet the requirements for appointment to a title or position.

.214 State agencies have the responsibility for ascertaining whether candidates for employment possess licenses, certifications, diplomas, or other credentials essential to the legal or proper performance of the duties of a title or position.

.215 Pursuant to Policy Bulletin #92-01, (See 1600, Interviewing and Hiring, or 1860, Verification of Credentials located in this manual) State Agencies have the responsibility to review the background of promotion candidates for "derogatory" information such as prior arrests/convictions or pending criminal charges.

.216 State agencies have the responsibility for ensuring that employees possess and maintain certification or licensure necessary to the legal and proper performance of the duties of a title or position.

.217 The Department of Civil Service has responsibility under CSL §50.4 for providing information on necessary credentials and qualifications and, upon written request, for conducting investigations concerning prospective or current employees. The Department has the authority and responsibility to refuse to certify, or delete from a list, eligibles who are found to lack required qualifications, and to direct the termination of employees found to be not qualified or where there is a finding of illegality, irregularity or fraud of a substantial nature in the employee's application, examination, or appointment.

.220 Agency Responsibilities

.221 Agencies will request and inspect, prior to appointment, originals or certified copies of essential credentials of all candidates for employment. These documents might include licenses (physician, dentist, professional engineer, motor vehicle operator, etc.), certificates (beautician, teacher, vocational instructor, etc.), and diplomas (two year, four year, and higher level degrees). Copies of these documents will be kept in employee files in the Personnel Office.

.222 Agencies should maintain a tickler file of employees needing essential licenses or certifications and the renewal date. Where possible, agencies will remind employees in advance of the renewal date of the need to renew their license or other certification.

Among the numerous titles in the State Title and Salary Plan requiring certification and periodic recertification are many titles in the regulated health care disciplines. Because the work in these titles often involves direct responsibility for patient/client care, it is especially critical that employees possess and maintain their credentials. These disciplines include:

Alcoholism Counselor Pharmacy
Audiology Physical Therapy
Dental Hygiene Physical Therapy Assistant
Dentistry Physician Assistant
Licensed Practical Nursing Podiatry
Massage Psychology
Medicine Radiologic Technology
Occupational Therapy Registered Professional Nursing
Occupational Therapy Assistant Social Work
Optometry Speech-Language Pathology
Other occupations generally requiring licensure or certification include:
Attorneys Motor Vehicle Operators
Professional Engineers  

.223 -To ensure that Personnel Officers have verified that new employees have demonstrated current registration and/or certification, the following attestation, signed by the Personnel Officer or designated representative, is required in the "Remarks" section of the PR-75 Personnel and Payroll Transaction for the above occupations.

"I certify that the credentials which qualify the above-named individual for the position to which he/she is being appointed have been verified as current and documented."

Payroll forms lacking this attestation must be disapproved.

.224 State agencies may inquire about each candidate's training, work related
experience, licensure and other stated qualifications at the time of interview
using their own internal application form. State agencies may choose to
verify the claimed education and work experience of prospective
employees or new employees. The examination announcement will also
specify that this is to be done. Candidates should be advised at the time of
canvass that they will be required to prove possession of a required degree
or license at the interview or prior to appointment, and whether or not a
copy of the record will suffice.

It is recommended that all new appointees to a position requiring a degree or other specialized educational credential be required to produce an original diploma or a certified transcript for inspection and copying.

Agencies may choose to verify claimed work experience by writing to previous employers.

.225 In those instances where there is reason to believe that a candidate or employee should not be certified from the eligible list or employed, the Personnel Officer or designee should provide factual information in writing to their Staffing Services Representative. If fraud or material misrepresentation is suspected, the Staffing Services Representative will forward the information to the Investigations Section of the Department of Civil Service for further investigation and resolution pursuant to Regulation 66.4.

.226 In examinations decentralized to agencies, the agency assumes
responsibility for the review of applications from candidates, including the
verification that claimed degrees or coursework are received from
accredited institutions. The examination announcement sets forth the
standard in these cases, which is usually those schools and universities
recognized by the State Education Department. The manual supplied to
the agency conducting the decentralized examination program will provide
more detailed information on procedures.

.227 The review of qualifications of appointees to positions in the non-competitive and labor classes is entirely decentralized to agencies. It is important that, where educational credentials are required, the accreditation of the institution as well as possession of the credential is verified.

.228 When an employee's necessary license or certification is suspended or expired, agencies should follow the procedures in Policy Bulletin #91-03 located in 2200, Separations and Leaves in this manual.

.230 Sources for Guidance

.231 The Department of Civil Service relies on the following sources for guidance regarding the accreditation of educational institutions:

U.S. colleges, universities, and technical schools:

  • American Universities and Colleges, American Council on Education
  • Accredited Institutions of Postsecondar[y Education, American Council of Education (out of print)

Third world, former republics of the Soviet Union, and eastern European schools:

  • International Handbook of Universities and Other Institutions of Higher Education, International Association of Universities.

Commonwealth countries schools:

  • Commonwealth Universities Yearbook. - A Directo[y of Unversities of the Commonwealth and the Handbook of their Association. Association of Commonwealth Universities

.232 The State is not exempted from the responsibilities set forth in the Federal Immigration and Nationalization Act to verify the identity and right to work of prospective employees. Details of agency responsibilities are set forth in Advisory Memoranda Nos. 87-01, 87-02, and 88-02, located in 1000, Recruitment and 1800, Appointment located in this Manual.

.233 - The evaluation of foreign degrees and credentials is beyond the scope of most personnel offices and the Department of Civil Service. Neither the State Education Department nor the Federal government currently provide this service. There are private companies which purport to perform this task, for which they charge the individuals involved. Signed and dated statements from these companies provided by applicants to demonstrate their possession of necessary credentials should be taken at face value unless there is reason to suspect otherwise.

.240 Department of Civil Service Responsibilities

.241 Upon request from an agency, the Investigations Section of the Department of Civil Service will conduct an investigation which may result in the removal of an eligible from a list, or the removal of an employee from the service. Affected individuals have the right to receive a written statement of the reasons for the proposed disqualification, and an opportunity to explain and to submit facts prior to the imposition of the disqualification. They have a further right to appeal an adverse decision of the Department of Civil Service to the Civil Service Commission.

.242 In consultation with the Divisions of Affirmative Careers and Classification and Compensation, as appropriate, the Division of Staffing Services is responsible for making final determinations on the necessary education, experience, and other credentials (such as licenses) for employment in a title or position.

.243 The agency's Staffing Services Representative will assist agencies and candidates in answering questions about the credentials required for employment.

.244 The Staffing Services Division verifies at the time of application that a promotion or transition examination candidate possesses the necessary time in qualifying titles to be admitted to the examination, and establishes a date of appointment eligibility for those candidates whose eligibility is anticipated. It is not necessary for agencies to further verify claimed qualifying employment unless there is a question of error or other condition which would affect eligibility.

.250 Candidate and Employee Responsibilities

.251 Candidates are required to accurately state their qualifications, and to properly report legally required derogatory information so that a determination can be made as to their suitability for a particular position or

.252 Candidates are required to provide, with reasonable notice, acceptable proof of education, experience, credential, and/or license to demonstrate that they meet the minimum qualifications for appointment to the position or title. .

.253 Employees are required to maintain the credential and/or license necessary and required for the lawful, safe and proper performance of the duties and responsibilities of their position or title.

4. Procedures

.410 Canvassing eligible lists

.411 Canvass letters must state that eligibles will be required to provide documentation of their veterans status, identity, eligibility to be employed in the United States, and proof of their qualifying education, current license and/or certification.

.412 Agencies must inform eligibles scheduled for an interview of any specific documentation which must be provided.

.413 Where a candidate does not provide the necessary documentation in a reasonable period of time following the interview, the Personnel Office may consider the candidate to be inactive on the certification. The Personnel Office must write to the candidate informing them of this action, and provide a copy of the letter with the returned certification for centrally certified lists. This action will remove the candidate from consideration on the certification in question, but will not affect their status on other or subsequent certifications.

.414 In the specific case where the Personnel Office becomes aware that a list eligible is unable to furnish acceptable documentation to establish identity and/or the right to work in the United States, the Employment Records Section of the Department of Civil Service should be notified. The eligible will be restricted from certification on all lists on which his or her name appears, including decentralized lists. Employment Records will notify the eligible of the lists involved.

.415 Agencies may request the assistance of the Investigations Section of the Department of Civil Service in evaluating the credentials, and qualifications of applicants and employees, by written request through their Staffing Services Representative.

TM-36; April 1993


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