100-9R

Subject: Examination Application Fees and Processing Fees

Supersedes: Personnel Services Bulletin Number 100-9

Source: General Examination Regulations E 3.1, E 3.4 and E 3.5

Date: December 30, 1997

I. Background

Individuals who are applying for civil service examinations and for appointment or change in status without competitive examination are required to pay fees. An examination application fee must be paid by the applicant at the time of submitting the application for any civil service examination. This fee is required in the Notice of Examination, in accordance with General Examination Regulation E 3.1. A processing fee must be paid by the applicant in connection with any request for appointment or change in status without competitive examination. This includes appointments to Non-Competitive, Exempt, and Labor class positions, and to Unclassified Service positions as well as provisional appointments, transfers, title changes and reinstatements. These fees will generally be based upon the minimum salary rate of the title being sought (regardless of appointment level). These fees may be waived under certain circumstances.

II. Policy

Unless waived as indicated in this Personnel Services Bulletin, an examination application fee is required for all examinations and a processing fee is required for all appointments and actions listed above for all positions which are full-time or at least 20 hours per week. The Deputy Commissioner for Citywide Personnel Services may approve a waiver of these fees in individual cases where fees are generally not waived. Following are the general policies regarding personnel actions for which these fee requirements are currently waived.

A. NYC Public Assistance Recipients

Examination application fees and processing fees are waived for NYC residents receiving public assistance from the NYC Department of Social Services.

B. Temporary Appointments from Civil Service Lists

The processing fee is waived for temporary appointments made from civil service lists, but is not waived for other temporary appointments.

C. Provisional Appointments of Exam Applicants

Agencies may request that the processing fee be waived for provisional appointments of individuals who have previously paid an application fee for an examination for the same title, if the list has not yet been established.

D. Non-Competitive Appointment of Disabled (Rule 3.2.10 of the Personnel Rules and Regulations of the City of New York) (PRRs)

Processing fees are waived for non-competitive appointments of physically or mentally disabled individuals under PRR 3.2.10 (Civil Service Law § 55.a).

E. Redeployment and Transfers

Processing fees are waived for appointments, transfers and changes of titles due to:

1. Redeployment activities approved by the Department of Citywide Administrative Services.

2. Special transfer lists upon agency abolition of a position (PRR 6.1.5).

3. Functional transfers (PRR 6.1.2).

F. Preferred/Recall Lists

Processing fees are waived for appointments from preferred or recall lists.

G. Returning Employees Terminated for Economic Reasons

Processing fees are waived for employees whose employment was terminated for economic reasons and who are rehired up to one year from the date of separation. This one year limit on the period of separation does not apply to those appointed from preferred/recall lists.

H. Reinstatement after Disability Separation

Processing fees are waived for reinstatements pursuant to PRR 6.2.5 (CSL § 71) and CSL § 73 after separation for disability.

I. Court or Civil Service Commission Actions

Processing fees are generally waived for actions ordered by administrative or legal stipulation, agreement or order.

J. Title Change during Disability

Processing fees are waived for title changes pursuant to PRR 6.1.7 for a period of disability.

K. Special Appointments

Processing fees are waived for the following:

1. Appointments to City Service Aide (PRR 5.7.5).

2. Appointment as a non-competitive student trainee including Cooperative Education Trainee, College Aide, Public Service Intern, High School Student Aide, Summer College Intern, Summer Graduate Intern and Engineering Work Study Trainee.

3. Non-competitive seasonal appointments to City Seasonal Aide.

4. Seasonal appointments under PRR 5.6.1, for seasonal appointments in consecutive years.

L. Demotions and Bumping

Processing fees are waived for demotions due to suspensions for economic reasons (bumping) or for other reasons.

M. Maturation without Further Examination

Processing fees are waived for permanent competitive employees who mature without further examination to the designated higher title (PRR 5.8.1).

N. Reclassifications

Processing fees are waived for reclassifications mandated by classification resolutions.

O. Discretionary Waiver

Examination application fees and processing fees may be waived by the Deputy Commissioner for Citywide Personnel Services, in his/her discretion, if compelling circumstances are demonstrated.

III. Procedure

A. Application Fee and Processing Fee Schedule

The required examination application fee for a civil service examination is specified in each Notice of Examination. Examination application fees and processing fees for non-managerial actions are generally based on the minimum salary rate for the title to which appointment is being sought (regardless of appointment level). The required fee schedule is set forth below:

Fee Schedule

B. Application Fees for Managerial Promotion Examinations

The examination application fees in Notices of Examination for managerial promotion examinations will be determined by applying the above fee schedule to a minimum salary rate $1,000 higher than the minimum salary rate for the next lower eligible title.

C. Processing Fees for Non-List Managerial, Exempt Class and Unclassified Service Appointments

The processing fees for non-list (e.g., provisional, transfer, reinstatement, change of title, etc.) appointments to managerial positions and for appointments to Exempt Class or Unclassified Service positions are based on the actual appointment salary rate. To determine the amount of the processing fee, apply the above fee schedule to the employee's actual appointment salary rate.

D. Payment Procedures for Examination Application Fees

1. The procedure for the payment of application fees is specified in the "Instructions for Completing the Application" which are distributed with the "Application for Examination." Application fees must be paid by a money order made out to DCAS (DOP) and mailed with the application to the Application Section, Department of Citywide Administrative Services (DCAS), 18 Washington Street, New York, NY 10004. The applicant must write on the face of the money order, the applicant's name, address, Social Security Number, exam title and exam number.

2. To have the examination application fee waived, a NYC public assistance recipient must submit a copy of a current NYC social services Benefit Card with the application. The applicant's Social Security Number and exam number should be written on the Benefit Card copy.

E. Payment Procedures for Processing Fees

1. For agencies under the Payroll Management System (PMS):

All required processing fees will be paid by a one-time salary deduction. To initiate these deductions, agencies will follow the instructions in User Bulletin number

97-19, issued by the Office of Payroll Administration (OPA). PMS agencies will be responsible for collecting the completed Comprehensive Personnel Document

(CPD-A/B) or Update Personnel Document (UPD-A/B), including all attachments, and retaining them in the employee's Traveling Personnel Folder (TPF). CPD (A) and UPD (A) forms will no longer be forwarded to DCAS, but they must be retained by the hiring agency and must be readily available in the hiring agency for any investigation or post-audit review. The DCAS Investigation unit will continue to request CPD (B) and UPD (B) forms when necessary. DCAS will also continue to audit all provisional appointments and promotions to ensure that they are not made in the face of a civil service list.

Note that when completing the CPD/UPD forms, the hiring agency must indicate in Section V:

• "Y" or "N" for "at least 20 hours a week"; and
• "Y" if the processing fee is waived or "N" if the processing fee is required.

Documents for transfers, reinstatements, and title changes must continue to be forwarded to the DCAS/Control and Service Division in the usual manner, but without the attached check or money order.

Also note that all waivers of processing fees are subject to post-audit review and will be closely monitored. An explanation of, and any required documentation for, each such waiver must be included in the TPF package.

2. For agencies not under PMS:

All processing fees must be paid by money order or check made out to DCAS (DOP) and sent by the agency personnel office with the appropriate documents to DCAS, 1 Centre Street, 21^st Floor, New York, NY 10007. On either the Comprehensive Personnel Document (CPD-A/B) or the Update Personnel Document (UPD-A/B), indicate:

• "Y" or "N" for "At least 20 hours a week."; and
• "Y" if the processing fee is waived or "N" if the processing fee is required.

Processing fees and documents for transfers, reinstatements and title changes should be sent to DCAS/Control and Service Division. Processing fees for provisional, Non-competitive Class, Exempt Class and Unclassified Service appointments should be sent to the DCAS/Investigation Division. In all cases, the applicant's name, address, Social Security Number and the appointment title must be written on the face of the money order or check.

3. For all agencies:

To have the processing fee waived for a NYC public assistance recipient, a copy of the applicant's current NYC social services Benefit Card with the Social Security Number written on it or a letter of justification should be attached to the appointment documents.

F. Submission of Incorrect Processing Fee

For PMS agencies, edits in the PMS system will control the amount of fee withheld as a one-time payroll deduction. For non-PMS agencies, it is the agency's responsibility to submit the correct processing fee with the personnel action. Actions submitted with incorrect fees will not be approved.

G. Refund of Examination Application Fee

1. The examination application fee is nonrefundable to civil service candidates who:

(a) fail the examination;

(b) are not appointed from the list; or

(c) are found not eligible or not qualified upon investigation.

2. General Examination Regulations E 3.4 and E 3.5 set forth circumstances in which an examination applicant may apply for a refund.

H. Refund of Processing Fee

Processing fees are generally nonrefundable. However, if they were generated in error, they may be returned. Requests for approval for a refund must be submitted to the Deputy Commissioner for Citywide Personnel Services, DCAS, with an explanation. PMS agencies should see OPA User Bulletin number 97-19 for the procedure for processing an approved refund of an automated fee deduction. Note that all refunds or corrections of processing fees are subject to post-audit review and will be closely monitored. An explanation of, and any required documentation for, each such refund or correction must be included in the TPF package.

It is each agency's responsibility to ensure prior to deducting or collecting the processing fee that:

1. the candidate qualifies for the title requested;

2. there is no civil service list in existence which would bar appointment for the title at the time of the action; and

3. the appropriate hiring approvals are in place.

IV. Disclaimer

Nothing contained herein is intended to confer rights or benefits to employees or applicants beyond those required in the law, rules and regulations and collective bargaining agreements.

William J. Diamond
Commissioner

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