9 NYCRR Part 139 - Executive Department

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Source version current through Jul 31, 2022

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9 NYCRR 139.0 - Statement of policy

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

Subdivision 1-a of section 131 of the Civil Service Law permits the Director of the Budget to promulgate regulations authorizing the appointment of certain persons with training or experience which substantially exceeds the minimum required for appointment at a salary above the minimum of the grade of the title to which they are appointed.

It is the policy of the State generally that appointments should be made at the established salary grade minimums, but in order to facilitate the recruitment of highly qualified people for State service, certain persons outside State service with outstanding training or experience may be appointed above the established salary grade minimums. It is also the policy of the State that appointments under this Part shall be restricted to original permanent appointments to State service. Compensation of certain incumbent State employees with equivalent qualifications of training or experience shall be increased as provided under section 139.5 of this Part.

9 NYCRR 139.1 - Authority to establish above minimum salary rates

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)The Director of Classification and Compensation of the Department of Civil Service shall have the authority to approve or to disapprove applications to appoint above the minimum and to determine the rate above the minimum salary at which appointment of a person outside State service may be made to a title described in section 139.3. The rate of compensation for such a person, as determined by the Director of Classification and Compensation, shall be an amount equal to the minimum of the grade of the title plus one, two, three or four annual increments of such grade. The Director of Classification and Compensation shall determine the particular geographical area or areas or location or locations wherein the rate of compensation in excess of the minimum shall apply.

(b)Any determination of the Director of Classification and Compensation by which a salary would be increased under this Part shall be subject to the approval of the Director of the Budget.

(c)Each individual appointment under this Part shall be subject to the determination of the Director of Classification and Compensation and the approval of the Director of the Budget. No such approval shall be construed as approval to appoint any other person from outside State service at a rate above the minimum.

9 NYCRR 139.2 - Evaluation of previous training and experience

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)The Director of Classification and Compensation shall evaluate the experience of an individual considered for appointment under this Part. Only previous work experience of the type involved in the class to which appointment is to be made shall be considered, provided, however, that in exceptional instances other experience of immediate pertinency, superior to that specified for qualified candidates, may be acceptable. In evaluating such experience, recognition shall be given only to experience which, from the standpoints of quality and length, substantially exceeds that specified in minimum qualification requirements and, in no case, shall less than two years of such experience be considered.

(b)The Director of Classification and Compensation shall evaluate the training of an individual considered for appointment under this Part. In evaluating such training, recognition shall be given only to pertinent degrees held in excess of those specified in minimum qualification requirements.

9 NYCRR 139.3 - Titles to which persons may be appointed above the minimum

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)Appointments under this Part may be made only to titles determined by the Director of Classification and Compensation to be technical, administrative and scientific positions and positions in skilled or semi-skilled trades.

(b)The Director of Classification and Compensation shall maintain a record of titles to which such appointments have been made.

(c)The Director of Classification and Compensation shall inform all appointing officers in the particular geographical area or location affected of each such approval. Such appointing officers shall be responsible for appropriate notification to employees in their departments and agencies.

9 NYCRR 139.4 - Application for approval to appoint above the minimum

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

An application for approval to appoint under this Part shall be made by the appointing officer to the Director of Classification and Compensation. Such application shall:

(a)indicate the salary rate at which appointment is requested;

(b)identify the eligible list, if any, from which appointment would be made;

(c)include satisfactory evidence that the person for whom approval is sought has qualifications as indicated in section 139.2 of this Part;

(d)provide reasons why the person for whom approval is sought will not accept appointment at the minimum salary and why his appointment at a higher rate is in the interest of State service;

(e)list the total number of positions in such title within the department or agency and the names, current salary rates, and qualifications of incumbent State employees entitled to equivalent salary treatment as specified in section 139.5 of this Part;

(f)furnish such other information as may be required by the Director of Classification and Compensation.

9 NYCRR 139.5 - Increases for other employees with comparable qualifications

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)When a person outside State service is appointed under this Part, the salaries of incumbent State employees serving in the same title in the same geographical area or location and having qualifications determined by the Director of Classification and Compensation to be equivalent to those of the person appointed shall be increased by such amount as may be necessary to equal the rate of compensation of the person appointed, effective on the date of such appointment.

(b)In connection with his consideration of a request for an appointment under this Part, the Director of Classification and Compensation shall determine which incumbent State employees in the same title in the same geographical area or location are eligible for an increase in salary.

(c)Such determination of the Director of Classification and Compensation shall be subject to the approval of the Director of the Budget.

9 NYCRR 139.6 - Computation of future increments

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

For the purpose of computing future increments, those incumbent State employees qualifying for increased compensation under section 139.5 of this Part and those new employees appointed at a salary above the minimum under this Part shall be credited with the number of years of service in their respective positions which correspond with such rate of compensation or salary.

9 NYCRR 139.7 - Request by incumbent State employees

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Jul 31, 2022

(a)Subsequent to an appointment under this Part, an incumbent State employee may, through his appointing officer, request the Director of Classification and Compensation within 60 days of the date of notification to appointing officers as required under subdivision (c) of section 139.3 of this Part to review any determination, or failure to make such determination, as to his eligibility for additional compensation as a consequence of such appointment above the minimum salary.

(b)Such employee or his appointing officer shall be afforded a reasonable opportunity to present facts in support of or in relation to such request at a time and in such a manner as may be specified by the Director of Classification and Compensation, who shall examine and review any such request and may make any changes in compensation he finds to be just and equitable subject to the approval of the Director of the Budget. Such changes shall be effective as of the date of such appointment under this Part.

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