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State Personnel Management Manual

Policy Bulletin #97-02

 2200 Separations and Leaves
May 12, 1997
Superceded by Policy Bulletin 03-02

Agency Reduction Transfer Lists

Recent legislation has extended the Agency Reduction Transfer List program through June 30, 1998.

This Policy Bulletin is intended to provide agencies with updated information about the policies and procedures for Agency Reduction Transfer Lists (ARTLs). It is in two parts:

  • Information for agencies reducing positions, and
  • Information for agencies filling positions

  • Policy Bulletin #96-05, issued May 17, 1996, in this section provides important information on the certification and placement process, the order of lists, canvass letters and confirmation of declination letters and transaction codes.

    Policy Bulletin #96-06, issued June 20, 1996, describes changes to the canvass declination policy.

    For Agencies Reducing Positions

    Contact Person

    Each reducing agency must designate a contact person to oversee the out-placement process, and be the primary liaison between the Department of Civil Service and other agencies. Agencies must also identify an internal contact person for employees (employee contact) in the agency to call with questions about the transfer list system, their status in the system and issues regarding changes to their status (e.g., whether they are on probation, changes in county availability, etc.). Agencies should call the Civil Service Employee Services Office at (518) 485-6199, with the name, telephone number and fax number of their contact person(s).

    Identifying Affected Titles and Eligibility

    In completing their reduction plans, agencies will identify all titles where layoff activity is anticipated.

    Permanent competitive, non-competitive and labor class employees (who meet the requirements of §80 or §80-a) serving in titles in specific locations likely to be affected by layoffs may volunteer for these transfers. This includes not only those whose titles may be affected, but also those who may/will be affected by horizontal reassignment, or vertical displacement through "bumping" or retreat. Individuals in agencies in titles and locations (i.e., counties) identified as affected but who may not be laid off may nonetheless voluntarily place their names on these lists.

    Processing "blue cards" to Place Names on ARTLs

    Agencies must notify eligible employees in impacted titles in impacted locations that they may volunteer for ARTL transfers. We recommend that the employee contact person meet with the employees, explain the ARTL transfer process, and assist them in completing their "blue cards" (form S-295.6). At this time employees should be given a copy of the Employee Guide prepared by this Department.

    Blue cards must be submitted to the Employment Continuity List Unit which is located within the Reemployment Services Section of the Department of Civil Service right away. Agencies should send the cards as they receive them from employees, up to once a day, with a letter of transmittal listing the titles, the names and social security numbers of all blue card eligibles as well as the agency code.

    Agencies that are able to enter blue card information for their employees directly into the electronic RIF system do not need to send in the blue cards. These agencies still must submit the listing of blue card eligibles to the Employment Continuity List Unit in the Reemployment Services Section.

    Blue cards must be signed by the agency's Human Resources designee before being submitted to the Civil Service Department. Employees should be encouraged to keep a copy of their blue cards. The agency contact person should also forward copies of current resumes from ARTL eligibles serving in titles which may have limited placement opportunities to the Civil Service Employee Services Office, either with or as soon as possible after the "blue cards" have been sent. We will use resumes to identify possible placements other than those identified in the Section 78 transfer list system.

    Inactivations by Agencies

    Agencies may inactivate titles as they meet their reduction goals. Agencies also may inactivate a title in specific counties as appropriate. However; agencies may not inactivate the names of individual employees.

    Before inactivating a title or a county the agency must notify, in writing, the ARTL candidates affected and obtain signatures verifying the date they were notified. If an employee refuses to sign the verification, the employee's supervisor must sign the form, stating that the employee was notified. The agency then must fax a request to inactivate the title(s)\county(s) to the Employment Continuity List Unit at 518-457-3090, stating the agency name, agency code, title, title code and county for inactivation. The inactivation will be effective the day after receipt in the Department. The Department will notify agency contacts on a regular basis about agency\title\county inactivations.

    It is important to note that appointments will be honored whenever an agency makes an appointment commitment and the employee accepts prior to close of business on the effective date for the inactivation.

    Inactivations of Individual Names

    The names of transfer list eligibles are continually inactivated because of appointments, and declinations of canvasses or job offers. The effects of declinations are described in SPMM Policy Bulletin 96-06 in this section.

    Automatic Inactivations

    The Civil Service Department will automatically inactivate the names of all of an agency's employees at the close of business the day of the projected work force reduction, unless there is a request to leave employees active.

    Reemployment Lists Updates

    Employees are not automatically changed from the ARTL system to the preferred list system on the date of the projected work force reduction. Instead, agencies must provide to the Civil Service Department the information needed for impacted employees to be placed on the appropriate reemployment lists. Refer to State Personnel Management Manual Section 2300 and the Guidelines for the Administration of Reductions in Force for more information on the time and information requirements for reemployment lists. Also, agencies must include information on former employees who have transferred to a lower salary grade position in another agency, since these former employees have reemployment list rights.

    Hold Items

    SPMM Policy Bulletin 96-05, in this section, describes the probationary periods and leaves of absence applicable to employees who transfer out through the §78 ARTL process. These probationary periods and leaves of absence apply to all §78 transfers whether or not they occur as a result of certification of an ARTL list.

    Probation or Not on Probation? (and the consequences)

    Q. Which §78 transferees are on probation?

    A. Employees (not currently probationers) who transfer to a position in their current title do not serve a probation and are not given a leave. Probationers transferring to a position in their current title are required to complete their probation, and must be given a leave for the duration of their probation.

    Employees transferring to a different title must serve a full probationary period, which may not be waived, and must be given a leave.

    Q. What happens if a §78 transferee on probation wants to go back to their hold item, or fails probation before the date of layoff?

    A They must be allowed to return. If they are not the least senior, someone else may have to be laid off to meet the agency's planned reduction. If they are the least senior, they may return and be laid off.

    Q. What happens if a §78 transferee on probation wants to go back, or fails their probation after the layoff?

    A Again, if they were not the least senior, they must be allowed to return and someone else may need to be laid off to accommodate them. If they were the least senior, they may only return if there is a position available. Otherwise they may request their name be activated on all preferred lists\reemployment rosters for the position from which they transferred.

    Q. What happens if a §78 transferee not on probation wants to go back before or after the layoff?

    A. They have no right to go back. They may be reinstated if there are no reemployment lists which block this.

    If you have any questions about any employee's rights or the impact of the exercise of those rights on other employees, please contact your Staffing Services Representative.

    For Agencies Filling Positions

    Policy Bulletin #96-05 in this section provides important information on the certification and placement process, the order of lists, canvass letters and confirmation of declination letters and transaction codes. Policy Bulletin #96-06 also contains information about declinations which is not changed by this bulletin.

    Contact Person

    Each hiring agency must designate a contact person to be the primary liaison with the Department of Civil Service. This person will attend occasional meetings between agencies and work with the Civil Service representatives to identify and resolve problems with the transfer list system. In agencies that are also losing employees, the contact may be the same person as the employee contact. Agencies should call the Civil Service Employee Services Office at (518) 485-6199, with the name, telephone number and fax number of this person.

    Filling Vacancies

    When filling a position, agencies should follow the following steps:

    1. CRIF the title for the location of the position.
    2. If the CRIF shows there is a transfer list, you should request the transfer list as you normally would request a reemployment list. You may also request that the list be sent to the front desk of the Civil Service Department and a phone call made to you, so you can pick up the certification quickly. You will also receive copies of the other mandatory reemployment lists.
    3. If the CRIF shows no transfer eligibles, agencies are encouraged to contact the Civil Service Employee Services Office to request candidates for managed placement referrals. Remember that a "same title" preferred list eligible may block these referrals.
    4. Before you use the transfer list certification, check the updates from Civil Service for titles/locations that may have been inactivated.

    ARTL Appropriate Titles

    The topic of appropriate titles is discussed in other Policy Bulletins in this section. Generally, to find out what titles have been declared appropriate for a §78 transfer, you may assume the title-for-title, and all direct line lower level titles (for the competitive class) for preferred lists, plus Reemployment Roster appropriate titles have been declared comparable.

    To see the latter, in APPS type:

    CRAM(space)M(title code)/(JC) and enter.

    Example: CRAM M2600100/0, enter will show you what titles
    Keyboard Specialist 1 has been declared appropriate to fill.

    To see what titles have been declared appropriate to fill a title, type:

    CRAC(space)C(title code)/(JC) and enter.

    Example: CRAC C2600100/0, enter will show the ARTL titles
    appropriate to fill Keyboard Specialist 1.

    Comparable title determinations for titles are frequently reviewed.

    Policy Bulletin #96-10, in Section 2300 Policy Bulletin 97-01 in this section of your State Personnel Management Manual describes the process for reemployment list comparability decisions. Recommended changes should be brought to the attention of your Staffing Services Representative.

    Managed Placement for Individuals

    In some cases the Civil Service Department may do managed placement based upon the training and experience of individuals who are identified for layoff. Employees eligible for managed placement will not appear on ARTLs, so you must contact the Civil Service Employees Services Office in the Department of Civil Service at (518) 485-6199 to find out if there are eligibles available.


    The appointment date for transfer list appointments must be on or before the layoff date. As of close of business on the date of layoff all transfer eligibles are removed from the transfer list system.

    Immediately prior to making an appointment commitment to an ARTL or managed placement eligible, the hiring agency must contact the agency contact for the losing agency to determine that the employee is still eligible for Section 78 transfer. An updated copy of the agency contact listing can be obtained from the Civil Service Employee Services Office.

    All appointments resultant from managed placement referrals must be called in to the Civil Service Employee Services Office prior to the submission of the PR-75 for the appointment, so the Office can process the necessary paperwork.

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