Agency Reduction Transfer Lists

THIS HAS BEEN SUPERCEDED BY POLICY BULLETIN 13-01

THIS SUPERCEDES POLICY BULLETIN #03-02,
AMENDING POLICY STATED ON PAGE 8 OF THAT BULLETIN.

Section 78 of the New York State Civil Service Law offers state employees who might be affected by abolitions of positions the opportunity to transfer to other agencies prior to layoff. This program is commonly known as the Agency Reduction Transfer List (ARTL) program.

Who is Eligible for the ARTL Program?

• This is a voluntary program open primarily to permanent and contingent permanent competitive class employees serving in titles which may be affected by a reduction in force and who are serving in the location (county) where the reduction in force will occur. The program is intended for those employees who are most likely to be affected, but is open to all eligible employees in the affected titles in those locations.
• Permanent non-competitive and labor class employees serving in titles likely to be affected by a reduction in force may also be eligible for ARTL if these employees have completed at least one year of permanent continuous service.
• Exempt class employees are not eligible, nor are non-competitive class employees who are serving in policy-influencing or confidential positions.
• Provisional and temporary employees are not eligible for this program.
• The ARTL program is also available to employees whose positions are relocated to a different county, but who refuse reassignment. It is not available for employees who refuse reassignment within the same county.
• The ARTL program is not for employees who are affected by a return of incumbent § 4.11 and 4.12 (NYCRR). These employees have reemployment roster and Preferred List rights as described in the State Personnel Management Manual.

How are Eligible Employees Added to ARTLs For Agencies Reducing Positions?

In planning for a reduction, agencies will identify all titles for which an abolition of position(s) is anticipated.

The ARTL program may be initiated up to 6 months prior to the target date for the intended action. Agencies should consult with their Staffing Services Representative or the Civil Service Career Mobility Office (CMO) prior to initiating this process.

Each agency should designate a contact person to oversee the ARTL process. Agencies should also designate an internal contact person to answer questions from their employees about the ARTL program and their status in the system. Agencies should call the Civil Service CMO at (518) 485-6199 or 1-800-553-1322, with the name, telephone number and fax number of their contact person(s).

Agencies should then notify eligible employees in impacted titles and locations that they may volunteer for ARTL transfers. We recommend that agency human resources representatives meet with the eligible employees, explain the ARTL transfer process, and assist the employees in completing “blue cards” (Form S-295.6). Civil Service CMO and Staffing Services Representatives should attend this meeting. At this meeting, employees should be given a copy of the “Employee Guide for Agency Reduction Transfer List” booklet published by the Department of Civil Service.

Completed blue cards must be verified and signed by the agency’s human resources designee before being submitted to the CMO staff at Civil Service. The agency should submit a cover letter with the ARTL cards, listing how many cards are included, explaining why the cards are being submitted, and stipulating the expected date of reductions or reassignments. Employees should be encouraged to keep a photocopy of their completed blue cards.

To better assist affected employees who serve in unique titles or who have minimal opportunities to be rehired, we recommend that agencies submit current resumes for these employees to the CMO along with the blue cards. We will use these resumes to identify other reemployment options for these employees.

How Does the ARTL Program Work?

Eligible employees will have their names certified on transfer lists to fill vacant positions in their current titles or in lower-level direct-line titles, and/or to positions in titles declared comparable by the Department of Civil Service. Title comparability decisions are generally based on similarities in duties, minimum requirements, salary grades, and examination plans. Comparable titles for ARTL and Reemployment Roster purposes are generally the same. To view the appropriate titles, check the reemployment determinations in the Title Transfer Reference System (TTRS), which is part of the DCS Applications System.

A second method of transfer is based on an individual’s experience and education in relationship to the requirements of the position being filled. While this method is much less frequently used, it can be helpful for employees in unique titles. For consideration, an employee must:

• meet the minimum qualifications for the new position, and
• serve in a position allocated within two salary grade levels (or one M-grade) of the position being filled. (If the position being filled is at a lower grade, the span between grade levels is not restricted.)

Filling Vacancies

An ARTL list is one of a number of Reemployment Lists established to assist employees in maintaining or regaining employment as quickly as possible at their permanent salary grade levels if they are affected by the abolition of positions. These lists are obtained through the Reemployment Lists Program found in the DCS Applications System.

Reemployment Lists are certified in the following order:

• Redeployment List – a mandatory list established pursuant to Section 79 of the Civil Service Law for permanent employees who will be or are suspended or demoted due to “contracting out.”
• Agency Reduction Transfer List (ARTL) – a mandatory list established prior to the date of layoff containing the names of employees in affected titles at affected locations ranked by seniority who are eligible for transfer to positions in other agencies in their current titles, direct-line lower-level titles, and comparable titles.
• Preferred List - a mandatory list established as of the date of layoff containing the names of laid off employees ranked by layoff unit and seniority, for reinstatement to their layoff title and direct-line lower-level titles, and/or other appropriate titles.
• Reemployment Roster – a mandatory list established as of the date of layoff containing the names of laid off employees for appointment to titles other than those for which they are eligible for reinstatement from a preferred list. These generally are titles in their former occupational field as determined to be appropriate by the Department of Civil Service. The names are certified in random order without regard to seniority, probationary status, or layoff unit.

Within an ARTL, the specific order of certification will be:

1. title-for-title eligibles
2. direct-line title eligibles
3. comparable title eligibles

Eligible candidates in the title-for-title category and the direct-line category are ranked in seniority order within their respective titles. The eligibles in the comparable title category are not ranked and if there are no acceptors via title-for-title or direct-line, any comparable title eligible can be considered.

ARTL eligibles have preference over Preferred List eligibles except in the following situation: If there are title-for-title Preferred List eligibles, seniority (determined in accordance with §80.3, 80-a.3 and 85.7 CSL) must be compared between the ARTL eligible and the highest ranked Preferred List eligible. Please note that, when making this comparison, layoff unit designation and probationary status play no role for the ARTL eligible. Seniority is the only relevant factor. Also, Preferred List eligibles who are in direct-line or appropriate-titles will not block an ARTL transfer, even if those Preferred List eligibles have greater seniority. Only a title-for-title Preferred List eligible with more seniority may block an ARTL appointment.

If there are no ARTL eligibles, agencies are encouraged to contact the CMO to request candidates for managed placement referrals.

ARTLs and New Eligible Lists

When filling a vacancy, agencies must use the reemployment lists before using eligible lists resulting from examinations. The one exception, regarding newly established eligible lists, is as follows:

Upon the establishment of an eligible list resulting from a competitive examination for a title for which there are ARTL candidates, an appointing authority has 90 days in which to appoint a non-permanent employee in the title who is reachable for appointment from that newly established eligible list.

Thereafter, ARTLs shall take precedence over the eligible lists. Note that this policy applies in the case of newly established eligible lists only.
If newly established eligible lists are exhausted within 90 days, no new provisional appointments or reappointment of provisional employees will be allowed in the face of ARTLs.

How Will Accepting or Declining Job Offers Affect ARTL Eligibility?

Employees’ responses to canvasses, interviews, and job offers will affect their continuing eligibility for ARTL transfer. Timeliness, for example, is crucial since the intent of the process is to provide expedient remedy, and what one employee decides may affect the eligibility of others. Replies to canvass must be made within the same timeframes as in the eligible list system. Responses to invitation for interview and/or to a job offer must be made within a reasonable period of time (usually 48 hours unless there are mitigating circumstances, such as a geographic move). In situations where an agency has difficulty reaching an employee to set up an interview after he/she has indicated an interest, it is appropriate to send the employee a registered letter (return receipt requested) indicating the interview date, time and place.

Other policies applicable to canvass, interview and job offer responses are described below:

1. An employee is contacted regarding a permanent contingent or permanent same grade level position in the same county in which that employee currently works.

• If the canvass/interview/appointment is declined, the employee will be ineligible for ARTL transfer in all titles and counties and his/her name will be removed from the ARTL program. (*See note below.)
• If appointed to this position, the employee’s name will be removed from the ARTL program.

2. An employee is contacted regarding a permanent contingent or permanent same grade level position in a different county from which that employee currently works.

• If the canvass/interview/appointment is declined, the employee will be ineligible for ARTL transfer in that county only. (*See note below.)
• If appointed to this position, the employee’s name will be removed from the ARTL program for all counties, including his/her current one.

3. An employee is contacted regarding a permanent contingent or permanent lower grade position in the same county in which that employee currently works.

• If the canvass/interview/appointment is declined, the employee will be ineligible for ARTL transfer to all titles at that salary level and below for all counties.
• If this lower-level appointment in the county of layoff is accepted, the employee will remain active on ARTLs for appropriate higher level positions in all counties selected.

4. An employee is contacted regarding a permanent contingent or permanent lower grade position in a different county from which that employee currently works.

• If the canvass/interview/appointment is declined, the employee will be ineligible for ARTL transfer for all titles at that grade level and below in all counties within that area, except for the county in which the individual currently works. (See the “Employee Guide for Agency Reduction Transfer List” for the listing of “areas.”)
• If this lower-level appointment is accepted, the employee will remain active on ARTLs for appropriate higher level positions for all counties selected.

5. If an employee accepts or declines a temporary position, that is three months or more in duration, that employee will be ineligible for future temporary positions, but will remain eligible for permanent positions. If an employee accepts or declines a temporary position that is less than three months duration, however, that employee will remain eligible for other temporary positions.
6. Employees who decline jobs which require working a shift other than a normal day shift, will remain eligible for day-shift jobs.

*Note: If employees decline ARTL transfer to a traineeship position that leads to a journey-level title with same or higher salary grade as their permanent title, they are considered to have declined a same-grade level position.

ARTL Appointments

The appointment date for ARTL appointments must be on or before the layoff date. As of close of business on the date of layoff, all remaining ARTL eligibles are removed from the ARTL portion of the Reemployment List system.

All appointments resulting from managed placement referrals must be called in to the CMO by the appointing agency prior to the submission of the NYSTEP transaction for the appointment, so the CMO staff can update the Reemployment System.

What about Probation and Leaves of Absence? (revised material in italics)

The Department of Civil Service has amended policy regarding leave of absence for transfers via Agency Reduction Transfer Lists. Agencies now must grant certain leaves of absence in other than probationary situations in order to protect the ARTL transferees’ layoff and reemployment rights. While such leaves are considered discretionary, agencies may not rescind the leaves until the employees’ inactivation from the ARTL. Non-probationary transferees have no rights to return.

Generally, the “losing agency” must grant a leave of absence to any employee who accepts an ARTL transfer to any position at a lower salary grade, until inactivated from the ARTL, regardless of the transferring employee’s probationary status. Such leave of absence will ensure the employee’s layoff and reemployment rights from the previous higher-level title.

• Employees not currently on probation who transfer via ARTL to positions in their current titles do not serve probationary periods and are not given leaves of absence from their former positions.
• Those who transfer via ARTL to positions in lower level direct-line titles do not serve probation but must be granted leaves of absence from their former positions until inactivated from the ARTL.
• Current probationers who transfer to positions in their current titles are required to complete the remainder of their probationary periods, and must be given leaves of absence for the duration.
• Employees transferring to “comparable titles” must serve full probationary periods, which may not be waived, and must be granted leaves of absence.
• Employees who complete probation in their new, lower-graded positions prior to the date of layoff must be continued on leave of absence until inactivated from the ARTL.

Frequent questions and answers about returning to original positions include the following:

Q. What happens if an ARTL transferee on probation decides to return to her hold item (or fails probation) before the date of layoff?

A. She must be allowed to return. If she is not the least senior in her original title, her return may affect the retention rights of other employees in her original title and agency. If she is the employee with the least retention rights in her original title and agency, she may return and be laid off.

Q. What happens if an ARTL transferee on probation decides to return to her hold item (or fails probation) after the date of layoff in her original agency?

A. Again, if she was not the least senior employee and would not have been laid off from her original position, she must be allowed to return to her hold item. Another employee with less retention status might be displaced to accommodate the return.

If the probationer were the least senior, she could only return if a position exists to which she could return. Otherwise, the employee would be entitled to Preferred List/Reemployment Roster rights for the position from which she transferred.

The Department of Civil Service will review the situations of employees who fail probation or resign before completing probation on a case-by-case basis. These employees could be restricted from a reemployment list certification to certain
agencies, titles, or locations depending on the reasons for resignation or termination.

Q. What if an ARTL transferee not on probation wishes to return to his original position?

A. That employee has no right to return. The original agency may choose to reinstate the employee but that action is entirely discretionary on the part of the agency and is subject to the normal reinstatement criteria.

Special Considerations for ARTL Appointments

• Under certain circumstances, individuals on Agency Reduction Transfer Lists (ARTLs) may not be fully qualified for appointment to specific titles which require “special qualifications.” These include titles with physical and/or medical standards, required background checks, completion of specified course work, or possession of certifications or licensure in required areas. For such titles, the appointing agency is required to determine that individuals on ARTLs are fully qualified for appointment. Questions concerning specific situations should be addressed to the Career Mobility Office at (518) 485-6199.
• ARTL and Reemployment Roster appropriate-title determinations involving traineeship titles often specify appointment eligibility at a particular salary grade level. For example, a Senior Personnel Administrator vacancy may be filled at the Trainee 2 level by an ARTL candidate whose eligibility derives from permanent service as a Senior Budgeting Analyst and subsequent targeting. While the specified fill level for this type of appointment is Trainee 2, an agency has the option to fill at the Senior level if the ARTL eligible meets the normal criteria for transfer (e.g., via §52.6 or §70.1). Please note that such transactions should be submitted as ARTL appointments, NOT as transfers.

How Do ARTL Eligibles Become Inactive?

Agencies may inactivate titles (and locations) as they meet their reduction goals. When that happens, the agency is required to notify the CMO and its affected employees in writing that the titles have been inactivated and they are no longer ARTL eligible.

The names of ARTL eligibles are continually inactivated by Civil Service because of appointments and declinations.

Employees may also inactivate themselves on ARTLs by contacting the CMO.

The Civil Service Department will automatically inactivate the names of all of an agency’s employees on the day of the projected work force reduction, unless the projected date is extended and the agency requests to leave employees active.

Employees whose names are active in the ARTL system are not automatically placed on Preferred Lists as of the date of a reduction in force. While the ARTL program is voluntary, any reduction in force must follow Civil Service laws, rules and regulations to determine who will be impacted and who will have mandatory rights following separation. Agencies must submit “green cards” (Form 295.5) to the CMO at least 20 calendar days in advance of the layoff target date when employees who have not been transferred are to be laid off.

What are the NYSTEP Reason Codes For ARTL-Related Activities?

Appointments – the NYSTEP code TRL must be used by agencies to report an appointment from an ARTL.

Separations – The NYSTEP reason code RSN must be used for those employees who receive an ARTL appointment and do not have to serve a probationary period. PBL should be used for probationers until such time as the position is abolished or they are displaced from their hold item. At that time, one of the codes described below must be used:

LAF - Separation of the employee from his/her hold item pursuant to
Section 80 or Section 80a.
LAD - Layoff of the employee from his/her hold item due to “bumping”
by a higher-level employee in the direct promotion line.
LAR - Layoff of the employee from his/her hold item due to the retreat
of a higher-level employee.

Further questions about the ARTL process may be directed to the CMO at
1-800-553-1322 or (518) 485-6199. Supplies of the “blue card,” the ARTL program informational booklet, and the Reemployment System User’s Manual are also available from the CMO.

S 78. Transfer of personnel upon the abolition of positions in state civil service.

1. Where necessitated by reasons of economy, efficiency, consolidation or abolition of functions, curtailment of activities or otherwise, employees may be transferred, without further examination, from one agency or department of the state, or from the Roswell Park Cancer Institute as defined in subparagraph (i) of paragraph d of section one of chapter forty-one of the laws of nineteen hundred ninety-seven, as amended, to positions in the same title or any comparable title, as determined by the department, in another department or agency of the state. Where more than one employee in the title and location from which transfer is to be made is eligible and willing to accept transfer, the department shall place the names of those employees upon a transfer list, and certify such list for filling vacancies, as hereinafter provided, first, in the same position; second, in any position in a lower grade in line of promotion; and third, in any comparable position. Such transfer list may be certified for filling a vacancy in any such position before certification is made from any other eligible list, placement roster, reemployment or preferred list, except as provided in subdivision four of this section.
2. Order of certification of names from transfer list. a. The names of persons on a transfer list established to fill vacancies in the same position or a position in a lower grade in line of promotion shall be certified therefrom in the order of their original appointments, in accordance with the provisions of subdivision three of section eighty, subdivision three of section eighty-a and subdivision seven of section eighty-five of this chapter. b. The names of persons on a transfer list established to fill vacancies in a comparable position shall be certified therefrom with equal ranking for appointment.
3. Probation. a. Upon appointment to a position in the same title, a probationer shall be required to complete his or her probationary term. b. Completion of a probationary term, to the extent provided for in the rules promulgated by the commission pursuant to subdivision two of section sixty-three of this chapter, shall be required for all appointments to a position in a comparable title.
4. Relative seniority. Where a preferred list exists containing the names of persons who have been suspended or demoted from a position in the same title to which an appointment is to be made, the relative seniority, determined in accordance with the provisions of subdivision three of section eighty, subdivision three of section eighty-a and subdivision seven of section eighty-five of this chapter, of the person certified first on such preferred list willing to accept appointment and the person certified first on the transfer list willing to accept appointment shall be compared and the person with the greater seniority shall be certified first.
5. Termination of eligibility. Eligibility for appointment from a transfer list shall terminate on the date of the suspension, demotion or relocation. Notwithstanding any other provision of this chapter, any employee may voluntarily remove his or her name from a transfer list by application to the department.
6. Rulemaking authority. The president shall adopt rules for carrying into effect the provisions of this section, including rules for the relinquishment of eligibility.
7. The department shall continue to establish lists under the
   provisions of this section.

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