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11. REQUISITION, CERTIFICATION AND APPOINTMENT
11.01 - REQUISITION OR REQUEST FOR CERTIFICATION. Whenever a vacancy in the Civil Service is to be filled, the appointing authority shall prepare a requisition for the certification of the names of persons eligible for the position. Such requisition shall be made upon forms provided for or specified by the Director and shall specify the class title, compensation, duties and responsibilities of the position and such additional information as will enable the Personnel Department to act appropriately upon such requisition.
11.011 - REQUISITION OF ELIGIBLE CANDIDATES PRIOR TO CERTIFICATION TO DETERMINE INTEREST IN EMPLOYMENT. If the Director determines that eligible candidates for a class regularly decline referrals for interviews or offers of employment or are otherwise unavailable or unresponsive for certification or appointment, he or she may refer a larger number of eligible candidates for the consideration of the appointing authority than would be certified in accordance with Regulations 11.03 or 11.04. The Director will determine the number of eligible candidates to be referred based on historical data. Such requisition shall be considered a pre-certification determination of interest in employment.
The appointing authority must contact the referred eligible candidates to determine their interest in being certified for interviews. The appointing authority will report the results and provide documentation to the Director. The Director shall adjust the eligible list accordingly, removing candidates from the certification or the eligible list depending on circumstances.
The number of eligible candidates actually certified to be considered for employment in a position must be in accordance with Regulation 11.03 or 11.04. All other provisions of Regulation 11 shall apply to certifications that occur subsequent to a pre-certification determination of interest in employment.
11.02 - LISTS USED FOR CERTIFICATION. The Director shall determine the basis on which individual examinations shall be given and the types of eligible lists that will be established as a result of the examinations. This information must be specified on the announcement of the examination. Certifications are to be made from the different types of lists in the following order, provided however, that as to the order of the lists described in Sections 11.0232 and 11.024 the Director may make exceptions:
11.021 - LAYOFF LIST. First, certification shall be made from the proper LAYOFF LIST to fill vacancies that cannot be filled by certification and appointment from a departmental promotional eligible list.
11.022 - CAREER ADVANCEMENT LIST. Notwithstanding contrary provisions of these Regulations, for the in-place promotion of an employee in a career advancement series class to the next higher-level class within the series, certification shall be made first from the CAREER ADVANCEMENT LIST. However, appointments to unfilled positions at any level in the series shall not be made from this list.
11.023 - PROMOTIONAL ELIGIBLE LISTS. Second, certification shall be made from either the departmental or interdepartmental promotional eligible lists for the proper class, as the appointing authority may deem appropriate for each certification. If an appointing authority decides to use the departmental list, and there are insufficient eligible candidates remaining on the departmental list, that appointing authority may request certification of the top ranking eligible candidates on the interdepartmental list to pair with the candidates from the departmental list so that the appointing authority can select from a full certification. Certification will be in accordance with provisions of Regulation 11.03.
11.0231 - DEPARTMENTAL. This list shall consist only of persons with permanent status who are employed in the department in which the vacancy exists and who passed the examination on a promotional basis.
11.02311 - Any person who, during the life of an eligible list is transferred, promoted or demoted from one department to another, will not be eligible for certification from that list under Section 11.0231 for a period of ninety (90) days.
11.0232 - INTERDEPARTMENTAL. This list shall consist of all persons with permanent status who passed the examination on a promotional basis.
11.024 - OPEN COMPETITIVE ELIGIBLE LIST. Third, certification shall be made from an OPEN COMPETITIVE LIST of the proper class.
11.025 - APPROPRIATE OR RELATED ELIGIBLE LIST. Fourth, in the absence of an eligible list for the class of position requisitioned, the Director may certify to the position eligibles from an APPROPRIATE or RELATED LIST.
11.03 - CERTIFICATION. Upon receipt of a requisition from an appointing authority for the names of persons to fill a vacancy from an eligible list, the Director shall certify to the appointing authority from the proper eligible list, in accordance with Section 11.02 of the Regulation, the names of the two persons who are highest in rank.
11.031 - ALL NON-VETERAN CERTIFICATION. Where two (2) non-veterans are certified, either non-veteran may be appointed.
11.032 - SELECTIVE FACTOR CERTIFICATION. When a certification of eligible candidates with specified experience, education, training, license, registration, certification or skill is requested in writing by the appointing authority as being necessary for satisfactory performance in a particular position in an established class or series of classes, and the Director determines that the reasons given fully justify the request, a certification may be made of the two highest ranking eligible candidates on the appropriate list who possess the specified qualification. Selection of the eligible to fill the vacancy will then be made in accordance with the Civil Service Regulations.
11.033 - EVALUATION OF FITNESS FOR DUTY. After the eligible list has been established, eligible candidates shall be notified to appear for such evaluations of fitness in such numbers and at such times, before or after certification for appointment, as the Director may determine to be necessary or convenient. The number of candidates referred to an evaluation of fitness will be determined by the Director and may exceed the number of candidates required for a certification to fill the positions. The number of candidates referred to the evaluation of fitness will be based on an estimate of the number of candidates who will be successful in the evaluation of fitness. Evaluations of fitness shall be related to the requirements of the job and may consist of medical, psychological or psychiatric evaluations, evaluations of physical fitness to perform the job, or investigations of the eligible candidate's background. Failure to pass any of these evaluations may disqualify the eligible for appointment.
11.0331 - Medical and/or Psychological Examinations. Medical or psychological examinations may be required only after a candidate has received a conditional offer of employment. If candidates receive such an offer of employment, and the candidates pass the medical and/or psychological examinations and meet all other requirements for the position, the candidates will be appointed in rank order to the position in accordance with these regulations.
11.0332 - Re-evaluation. An eligible who fails an evaluation of fitness by reason of a condition determined to be remediable may, during the life of the eligible list and at the discretion of the Director be permitted one or more re-evaluations. Should it be determined that the disqualifying condition has been remedied and that no other disqualifying condition exists, the eligible's name shall be placed on or restored to the list without prejudice to appointments and certifications previously made.
11.034 - CERTIFICATION FROM ELIGIBLE LISTS REQUIRING POST EXAMINATION EVALUATIONS OF FITNESS OR A QUALIFYING EXAMINATION. When an eligible candidate is required to successfully pass a post examination evaluation of fitness or a qualifying examination, that candidate is not eligible for certification and appointment until the candidate has passed the evaluation or qualifying examination. Certifications to fill positions for classes that require an evaluation of fitness or a qualifying examination will consist of eligible candidates who have passed the evaluation of fitness or the qualifying examination at the time that the eligible candidates are referred to the appointing authority. Candidates who have not passed all required evaluations and qualifying examinations are ineligible for certification and appointment until all required evaluations of fitness or qualifying examinations have been passed.
11.035 - CONDITIONAL CERTIFICATION. Candidates who have passed the examination may be contingently certified and given a conditional offer of employment in accordance with the provisions of Regulation 11 prior to meeting all requirements or passing a qualifying examination or an evaluation of fitness. Such candidates may not be appointed until the candidate provides the Director with adequate documentation that the candidate has acquired and does possess the published required qualifications, or has successfully passed the qualifying examination or evaluation of fitness required for the position. The contingent certification will automatically become void if this documentation is not provided to the Director within a period of time determined by the Director.
11.036 - CERTIFICATION FROM A CONSOLIDATED ELIGIBLE LIST. Eligible lists established at different times, but consolidated, will be considered a single eligible list. Certification of eligible candidates from a consolidated eligible list shall be made in rank order. The dates that the lists were established will not affect the order of certification.
11.04 - CERTIFICATION TO MORE THAN ONE VACANCY. If an appointing authority desires at one time to fill more than one vacancy from the same eligible list, he or she shall include in the requisition, a written statement of the number of vacancies to be filled. The Director shall then certify in sequential order the names of the two candidates who are ranked highest on the eligible list at the time of the certification for each position. When filling two positions, the appointing authority will consider the two highest ranked candidates in the certification to fill the first position and select one of those two candidates to fill the first position. To fill the second position, the appointing authority will consider the candidate who was not selected for the first position and the next highest ranking candidate in the certification. Certifications to fill additional positions shall be handled in the same manner.
11.05 - NUMBER OF TIMES AN ELIGIBLE MAY BE CERTIFIED. The name of a person certified but not selected shall remain on the eligible list and shall be again certified together with one or more additional names as required by Sections 11.03 and 11.04 of this Regulation, upon receipt of other requisitions. An eligible who has been rejected twice by an appointing authority in favor of others on the same eligible list shall not again be certified to that appointing authority, except upon written request from the appointing authority. However, the passing over of a non-veteran eligible in order to appoint a veteran shall not constitute a rejection. (Sec. 7-401 (h) C.C.)
11.051 - SECOND CERTIFICATION OF DISTRICT COUNCIL 47 REPRESENTED EMPLOYEE. In the case of a second certification to an appointing authority of a District Council 47 represented employee, the appointing authority will notify the eligible so certified as to whether or not he or she was selected, and that eligible, if not selected, may request and shall be granted an interview regarding the non-appointment.
11.08 - OBJECTION TO AND SUBSTITUTION OF ELIGIBLES. An appointing authority may submit a written statement to the Director requesting removal of the name(s) of eligible candidate(s) from a certification. Any cause contained in Regulation 10.09 or in a subsection of that regulation shall be deemed sufficient reason for removal, but the Director may sustain objections for other cause which would, if assigned as a reason for dismissing an employee, be acceptable to the Director. If the request is approved by the Director, the name of the eligible shall be stricken from the certification, as the Director may deem appropriate, and the next highest name on the eligible list shall be certified.
The process for the removal of an eligible candidate from a certification shall be the same process used for removal of an eligible candidate from an eligible list as defined in Regulation 10.094.
An eligible candidate whose name has been removed from a certification shall have the same rights to request restoration to the certification as defined in Regulation 10.10 for a candidate whose name has been removed from an eligible list.
11.081 - REMOVAL OF THE NAME OF AN EMPLOYEE FROM AN ELIGIBLE LIST OR A CERTIFICATION WHEN THE EMPLOYEE HAS PERMANENT STATUS IN THE SAME CLASS. At the request of the appointing authority, the Director may remove the name of an eligible candidate from a departmental promotional eligible list or a certification from any type of eligible list to fill a position for a class if the candidate is employed in the same department and has permanent status in the same class. The appointing authority shall notify the candidate of the removal from the eligible list or certification within five (5) business days of the removal.
11.09 - APPOINTMENT OF ELIGIBLES. The appointing authority, or designated representative, shall indicate selection from the names contained in the certification within ten (10) working days after the receipt of a certification from a promotional eligible list, or within twenty (20) working days after the receipt of a certification from an open competitive eligible list, unless the Director authorizes a longer period to make the selection. If selection is not made within the specified period, the certification will be nullified and the names of the eligible candidates will be returned to the eligible list. In the event the appointing authority makes no appointment within the specified time and no substitution of names on the certification in accordance with Section 11.08 is permitted, further certifications will not be made until the failure to make such appointment is explained to the satisfaction of the Director.
11.091 - INTERVIEWING REFERRED ELIGIBLES. All eligibles referred to an appointing authority shall be interviewed by him or her or by some other responsible designee, provided however, that he or she need not interview an eligible who:
11.092 - BACKGROUND INVESTIGATIONS. Every person offered employment with the City shall be required to complete a background investigation questionnaire, the form and content of which shall be prepared by the Personnel Director. The Office of the Inspector General, or the Personnel Director, or their designee shall perform such background investigation, based on the completed questionnaire and the requirements of the position, as the Inspector General or the Personnel Director deem appropriate.
11.092-1 - Background Investigation as a Condition of Employment. The background investigation questionnaire must be completed truthfully and within the timeframe established by the Director as a condition of employment by each person offered employment with the City. The questionnaire must be completed and returned to the Personnel Department prior to the start of employment. The prospective employee must authorize the release of such personal data required to complete a background investigation sufficient for the needs of the position, unless the release of the data would be prohibited by state or federal law.
The conditional offer of employment shall be rescinded if the eligible does not complete the questionnaire and consent to the release of the requested data.
11.092-2 - Information Required. The questionnaire shall seek such background information as is appropriate for the position. For all positions, such information shall include, but need not be limited to:
Additional information necessary to perform a credit investigation will be collected when required by the Appointing Authority or his or her designee, with the approval of the Director or the City Inspector General. The need for such additional information must be based on the level of the sensitivity of the position, including but not limited to the level of fiscal, security or safety responsibility, the responsibility for the health, welfare and safety for citizens, and for positions working in facilities providing such services to citizens.
11.092-3 - Use of Information Discovered. The Director, Inspector General or their designee will complete the investigation and notify the Appointing Authority of the results of the investigation within the time frame established by the Director.
The Appointing Authority or his/her designee will notify the prospective employee of any information revealed by the investigation that may be the basis for an adverse employment action or that requires further investigation.
The prospective employee will be responsible for contacting the investigator and for resolving any disputes resulting from the investigation. If the prospective employee does not contact the investigator within five working days after the date of the notification, the conditional offer of employment will be rescinded.
If information discovered during the investigation is determined to provide basis for rescinding the conditional offer of employment, the Appointing Authority or his/her designee will notify the prospective employee of that determination in writing.
If information is discovered after the employee begins working with the City that warrants temporarily removing the employee from active service to continue the investigation, the employee shall be placed on a leave of absence without pay in accordance with Regulation 22. The employee will be responsible for contacting the investigator and for resolving any disputes resulting from the investigation.
If information is discovered after the employee begins working with the City that warrants termination of employment, the employee will be rejected during the probationary period in accordance with Regulation 14.04, or dismissed in accordance with Regulation 17.02. The Director may restore to the eligible list, or remove from the eligible list, the name of an employee rejected during the probationary period as a result of information discovered during the background investigation.
The Appointing Authority will use the background investigation report, along with any and all other relevant information, to make a final employment decision, in accordance with existing City job requirements and eligibility criterion.
11.092-4 - No Conflict with Other Regulations. Nothing in this regulation shall relieve any applicant from the responsibility of providing the information needed by the Director to evaluate the applicant's education and experience to determine if the applicant is eligible to compete in examinations for positions with the City.
11.10 - VETERANS' PREFERENCE FOR APPOINTMENT FROM AN OPEN-COMPETITIVE ELIGIBLE LIST. In those cases where the two eligibles certified from an open-competitive eligible list to fill a vacancy are veterans and/or non-veterans, and the veterans have been granted Veterans' Preference, the following conditions shall control:
11.101 - Where two (2) veterans are certified, either veteran may be appointed.
11.102 - Where a veteran and a non-veteran are certified from an open-competitive eligible list, the veteran shall be appointed, provided however, that if the veteran declines the appointment, the appointing authority may either appoint the non-veteran or demand another eligible to replace the declination.
11.103 - When a veteran and a non-veteran are certified from an open-competitive eligible list, the appointing authority may request that the certification of the non-veteran be cancelled, and that the next highest-ranking veteran remaining on the eligible list be certified as a replacement so that the appointing authority has a choice of the top two available eligibles. Either of the two certified veterans may be appointed.
11.11 - EFFECTIVE DATE OF APPOINTMENT. An appointing officer shall immediately report each appointment to the Director on the form prescribed by him. Appointments shall become effective as of the date the appointee enters upon the duties of his position provided however, that at the time of appointment, the date on which the appointee will actually enter the duties of the position may be deferred by an approved leave of absence, without pay, or any other emolument of the position, for a period not to exceed one hundred eighty (180) days, the probationary period to commence at the time the appointee actually enters upon the duties of the position.
11.12 - APPROVAL OF APPOINTMENTS BY PERSONNEL DIRECTOR. No officer or employee of the Auditing Department shall make or approve or take any part in making or approving any payment for personal services to any person holding a position in the Civil Service if the Director has given notice to the City Controller that such person was not appointed and employed in accordance with the Civil Service Regulations. (Sec. 7-302(2) C.C.)
11.131 - Provisional Appointment Procedure. The appointing authority shall furnish to the Director, on the appropriate forms, a description of the duties and requirements of provisional positions and shall furnish additional information if necessary to enable the Director to act appropriately upon such requisition. No appointment of a provisional appointee shall become effective prior to the date of approval by the Director of the appointment.
11.14 - PAYMENT AGREEMENT AND PAYROLL DEDUCTION REQUIRED FOR APPOINTMENT. As a condition of employment with the City, any person offered employment on or after the effective date of this regulation shall be required to certify that such person either is fully current on any and all debts, taxes, fees, judgments, claims, and other accounts and obligations due and owing to the City; or has voluntarily entered into a payment agreement with the City. For so long as the person is employed by the City, the amount of the payment as set forth in the payment agreement (not to exceed, for any pay period, twenty percent (20%) of the person's gross pay for such period, without the person's consent) shall be withheld from each paycheck until such payment agreement is fully satisfied.
Such person shall also be required to certify as a condition of employment that he or she is fully current on any and all debts, taxes, fees, judgments, claims, and other accounts and obligations due and owing to the Philadelphia Gas Works (PGW) or has voluntarily entered into a payment agreement with PGW.
Failure to enter into a payment agreement shall result in the cancellation of the appointment and removal from the certification. The name of the eligible candidate will be returned to the eligible list.
Cancellation of appointment and removal from the certification due to failure to enter into a payment agreement will be considered equivalent to declining appointment and will be basis for removal from the eligible list in accordance with Regulation 10.092.
11.17 - APPOINTMENT AGE REQUIREMENTS.
11.18 - INTERVIEWING INDIVIDUALS REFERRED FROM LAYOFF LISTS. In those cases where a vacancy cannot be filled by certification and appointment from a departmental promotional eligible list the following conditions shall control:
11.181 - Departmental layoff lists will be maintained for each class in which layoffs occur. The individual whose layoff score is highest on his/her departmental layoff list will be appointed first to a vacancy in that agency.
11.182 - Where no departmental layoff list exists, the individual with the highest layoff score on the City-wide layoff list will be appointed to fill vacancies as they occur in that class.
11.183 - In the event that no layoff list exists for a class in which a vacancy occurs the Director may declare an existing layoff list for a related class as appropriate. Appointment will then be made in the manner prescribed for filling vacancies from layoff lists.
Philadelphia Civil Service Regulations