This memorandum announces the 2001 annual review of special salary rates authorized under 5 U.S.C. 5305. Each agency with special rate employees must submit certifications to the Office of Personnel Management (OPM) documenting its recommendations for the adjustment of special rates. We are providing the following materials to assist you:

Attachment 1 - 2001 annual review instructions.

Attachment 2 - Worksheet for Special Salary Rate Requests (OPM Form 1397, long and short form versions).

Attachment 3 - Index of current special rate authorizations by agency.

Attachment 4 - Special rate agency contacts.

We have revised the short form version of OPM Form 1397 to reduce the administrative burden on agencies. We have eliminated the requirement that agencies report the number of filled and vacant positions covered by each special rate table applicable to the agency. We will instead use on-board counts derived from the Central Personnel Data File. Also, agencies may now complete a single short form for all special rate tables for which they are requesting an increase equal to the across-the-board General Schedule increase.

You must submit all annual review materials to OPM by October 15, 2001. It is important that you submit your certifications on time so we can compile and review the data and obtain a consensus among affected agencies if there are substantial differences in agency requests.

You may obtain electronic copies of all the attachments on OPM's Internet website at www.opm.gov/oca/compmemo/index.htm.

We ask agency headquarters to bring any problems encountered in implementing the annual review process to our attention as they arise. You may contact the Pay and Leave Administration Division by telephone at (202) 606-2858, by fax at (202) 606-0824, or by email at payleave@opm.gov.

2001 ANNUAL REVIEW INSTRUCTIONS

The Office of Personnel Management (OPM) is conducting its annual review of special salary rates authorized by 5 U.S.C. 5305 and 5 CFR part 530, subpart C. OPM authorizes special rates for specific occupations, grades, and locations to alleviate existing or likely recruitment or retention problems. All special salary rate authorizations in effect as of September 30, 2001, are covered by the 2001 annual review.

Agencies must submit all annual review materials to OPM by October 15, 2001, unless an extension is approved by OPM. Please send your materials to the following address:

Office of Personnel Management
Workforce Compensation and Performance Service
Pay and Leave Administration Division
Attn: Special Rates Annual Review Team
1900 E Street NW., Room 7H31
Washington, DC 20415-8200

OPM must review special rate authorizations in anticipation of salary adjustments to be made in the relevant underlying statutory pay schedules to determine whether an adjustment is necessary. In conducting this review, OPM relies on the reviews conducted by agencies employing special rate employees. In conducting their reviews, agencies must consider the following factors (consistent with OPM's regulations at 5 CFR 530.304):

- the applicable staffing and labor market factors (to determine whether adjustments in special rate pay schedules are warranted);

- the former non-special pay rates of the special rate employees (to ensure that any adjustment in the special rates of pay would not cause those rates to fall below the non-special rates of pay to which the special rate employees would otherwise have been entitled);

- the likelihood that the factors leading to a statutory adjustment in pay will affect special rate employees as well; and

- other special rate adjustments that occurred prior to the date of the anticipated statutory pay adjustment.

Agencies must determine whether to recommend a percentage adjustment equal to the across-the-board adjustment that will be applied to the General Schedule in January 2002. You may recommend a different adjustment if, based on your review, you determine that conditions have changed to the extent that a particular special rate table warrants an adjustment that is less than or greater than the anticipated General Schedule adjustment. However, in such cases, you must submit certain supporting data, consistent with OPM regulations and the instructions on OPM Form 1397. (See Attachment 2 and section 4 of this attachment.)

4. OPM Form 1397

Agencies may use OPM Form 1397, Worksheet for Special Salary Rate Requests, for multiple purposes--e.g., to submit new requests for special rates, to request termination of a special rate schedule, and to document the annual review of existing special rates. (See Attachment 2.) For the purpose of the annual review, agencies may use either the long form or short form version of OPM Form 1397, depending on the type of adjustment being recommended.

Agencies requesting special rate increases equal to the across-the-board 2002 General Schedule (GS) adjustment should use the short form version of OPM Form 1397. (See Attachment 2.) The short form requires only that you identify the special rate tables for which you are requesting an increase equal to the GS adjustment and provide the required written certification. A single short form may be used to document the certification for all special rate tables for which the agency is requesting an increase equal to the GS adjustment.

Agencies requesting adjustments greater than the across-the-board 2002 General Schedule adjustment must submit additional data, in accordance with OPM regulations and the instructions on OPM Form 1397. Staffing data should cover the period from June 4, 2000, through June 2, 2001. In certain circumstances, OPM may ask agencies to submit salary survey data. (Please contact OPM before conducting salary surveys.)

Agencies requesting adjustments that are less than the across-the-board 2002 General Schedule adjustment (including a zero adjustment) must submit a written justification and any applicable supporting data, in accordance with OPM regulations and the instructions on OPM Form 1397. Such a request may be appropriate if you have determined that special rates are no longer necessary to prevent a serious staffing problem and you wish to phase out special rates by granting zero adjustments. (See 5 CFR 530.304-305.) Also, if special rates have been surpassed by locality rates, you may wish to take this fact into account in considering the need for adjustments in those special rates.

The special rate authorizations applicable to your agency are listed in Attachment 3. Please note that the six authorizations for Information Technology (IT) employees, tables 999A-F, are listed at the top of the index and are applicable to all agencies even though they are not shown in the individual agency listings.

The head of the department or agency must personally sign the certification for a special rate adjustment when (1) an agency is proposing to increase the special rate by more than the amount of the General Schedule increase; (2) the special rate applies to 1,000 or more positions; or (3) the increase in total expenditures (comparing the cost of the current special rates before the adjustment with the cost of the projected special rates) is $4 million dollars or more. In all other cases, a headquarters official designated to act on behalf of the head of the department or agency may sign the certification.

6. Procedures

Each agency is responsible for providing to OPM one or more certifications (on an OPM Form 1397) covering all special rate authorizations applicable to the agency. If there are substantial differences in agency recommendations, OPM will designate a lead agency (usually the agency with the largest number of covered employees). OPM will be the lead agency for worldwide/nationwide authorizations. The lead agency will be responsible for obtaining a consensus from the major agencies involved and submitting a final recommendation for that authorization. We expect each agency covered by an authorization to cooperate with the designated lead agency in attempting to reach a consensus.

Adjustments in special rates resulting from this year's annual review will take effect on the same date as the across-the-board General Schedule pay adjustment--i.e., the first day of the first applicable pay period beginning on or after January 1, 2002. If there is no across-the-board General Schedule adjustment in 2002, the amount of the special rate adjustment will be zero, unless an increase greater than the General Schedule increase is requested and approved. Any such increase will take effect on the first day of the first applicable pay period beginning on or after January 1, 2002. However, OPM may authorize new authorizations and changes in existing special rates at any time during the year if all the normal criteria for establishing or adjusting special rates are met.

Agencies should indicate how requests to establish a new special rate schedule submitted between October 1 and December 31, 2001, relate to the anticipated 2002 General Schedule adjustment.

Agencies may request to reduce or terminate special rates as part of the annual review process. However, under current law, the reduction or termination of a special rate may result in an increase in an employee's total pay. This is because the reduction or termination of special rates triggers the pay retention provisions of 5 U.S.C. 5363 and may result in locality pay being paid on top of employees' current pay (if converted to a General Schedule rate or a retained rate). Therefore, OPM advises agencies to consider phasing out special rates that are no longer necessary by providing for annual adjustments that are less than the across-the-board General Schedule pay increase.

Termination of a special rate schedule may be appropriate if there are no longer any employees covered by that schedule. In this case, the affected agency or agencies should provide a letter signed by an authorized official that requests the schedule termination and explains that there are no covered employees. (OPM Form 1397 is not required.)

Any agency contemplating a request for reduction or termination of a special rate schedule with covered employees should contact OPM's Pay and Leave Administration Division for additional information and instructions.

OPM FORM 1397

• OPM Form 1397 short form   

• OPM Form 1397 long form   

INDEX TO TITLE 5 SPECIAL RATE TABLES
BY AGENCY

AGENCY/
SUBEL AGENCY TITLE SPECIAL RATE TABLES

A*00 ALL FEDERAL GOVERNMENT AGENCIES
999A 999B 999C 999D 999E 999F

AB00 AMERICAN BATTLE MONUMENTS COMMISSION
0029

AD00 U.S. ARMS CONTROL & DISARMAMENT AGENCY
0029

AF DEPARTMENT OF THE AIR FORCE 
0007 0010 0011 0012 0017 0023 0024 0029 0032 0036 0037 0039
0047 0057 0065 0070 0071 0072 0103 0105 0109 0113 0119 0121
0125 0133 0134 0137 0143 0153 0154 0156 0157 0162 0164 0165
0166 0173 0174 0198 0202 0214 0219 0220 0224 0230 0238 0252
0254 0265 0278 0282 0290 0302 0303 0304 0305 0309 0314 0316
0317 0318 0328 0329 0334 0336 0342 0347 0352 0354 0355 0361
0367 0376 0395 0396 0405 0406 0409 0414 0415 0422 0425 0426
0428 0433 0435 0436 0437 0462 0465 0476 0483 0489 0499 0505
0507 0508 0511 0512 0513 0517 0520 0524 0528 0537 0558 0589
0593

AF0B U.S. AIR FORCE ACADEMY
 0481

AG DEPARTMENT OF AGRICULTURE 
0003 0010 0012 0023 0024 0029 0032 0037 0047 0057 0070 0109
0112 0113 0115 0119 0125 0132 0137 0154 0155 0157 0158 0159
0160 0161 0162 0164 0165 0166 0191 0201 0222 0223 0253 0255
0256 0263 0265 0266 0268 0304 0305 0342 0382 0388 0414 0417
0422 0479 0484 0490 0499 0524

AH01 NATIONAL ENDOWMENT FOR THE ARTS
 0029 0164

AH02 NATIONAL ENDOWMENT FOR THE HUMANITIES
 0029 0164

AH03 INSTITUTE OF MUSEUM & LIBRARY SERVICES
 0029

AM00 AGENCY FOR INTERNATIONAL DEVELOPMENT
 0029 0164 0499 0524

AN00 AFRICAN DEVELOPMENT FOUNDATION
 0029 0164

AR DEPARTMENT OF THE ARMY
0002 0007 0010 0012 0016 0017 0018 0023 0024 0028 0029 0032
0037 0039 0040 0041 0044 0045 0047 0050 0051 0056 0057 0064
0065 0068 0070 0071 0072 0103 0109 0113 0114 0119 0125 0133
0135 0136 0145 0150 0151 0153 0154 0156 0157 0160 0161 0162
0164 0165 0166 0170 0177 0181 0182 0188 0191 0194 0195 0200
0204 0206 0214 0216 0218 0219 0220 0223 0224 0225 0226 0228
0230 0233 0237 0238 0250 0252 0253 0255 0258 0259 0260 0264
0265 0266 0267 0268 0280 0282 0283 0290 0302 0303 0304 0305
0308 0309 0313 0314 0316 0318 0319 0323 0328 0329 0330 0334
0335 0336 0337 0338 0339 0340 0342 0344 0347 0350 0352 0354
0355 0357 0360 0361 0367 0369 0371 0394 0397 0399 0403 0405
0406 0407 0409 0414 0415 0420 0422 0424 0425 0428 0430 0431
0433 0435 0440 0454 0456 0462 0465 0469 0470 0475 0476 0477
0478 0479 0481 0483 0484 0486 0489 0490 0499 0500 0501 0503
0505 0514 0522 0524 0528

AU00 FEDERAL LABOR RELATIONS AUTHORITY
 0023 0024 0029 0057 0119

BD00 MERIT SYSTEMS PROTECTION BOARD
0012 0023 0024 0029 0057 0112 0119

BF00 DEFENSE NUCLEAR FACILITIES SAFETY BOARD
0029

BG00 PENSION BENEFIT GUARANTY CORPORATION
0029 0137 0164

BO00 OFFICE OF MANAGEMENT AND BUDGET
0029 0164

BT00 ARCHITECT & TRANS BARRIER COMPLIANCE BD
 0029

CC00 COMMISSION ON CIVIL RIGHTS
 0029 0070 0119

CF00 COMMISSION OF FINE ARTS
 0029

CM DEPARTMENT OF COMMERCE
0010 0012 0023 0024 0029 0032 0037 0047 0057 0065 0070 0071
0072 0113 0119 0125 0141 0159 0164 0223 0255 0304 0305 0310
0311 0312 0342 0388 0414 0419 0422 0458 0576


CM56 PATENT AND TRADEMARK OFFICE
0029 0164 0419 0419 0576 0576

CT00 COMMODITY FUTURES TRADING COMMISSION
0012 0029 0070 0119 0160 0164 0166 0263 0458 0904

DD DEPARTMENT OF DEFENSE (EXCL MIL DEPTS)
0010 0012 0017 0023 0024 0029 0032 0033 0034 0035 0036 0037
0047 0057 0065 0070 0071 0072 0109 0119 0125 0137 0150 0151
0152 0154 0156 0157 0158 0160 0161 0162 0164 0165 0166 0170
0174 0191 0194 0198 0216 0223 0255 0263 0265 0282 0302 0304
0305 0388 0402 0414 0422 0428 0484 0556 0589

DD07 DEFENSE LOGISTICS AGENCY
0105

DJ DEPARTMENT OF JUSTICE
0010 0012 0013 0017 0023 0024 0029 0037 0047 0057 0065 0070
0071 0112 0113 0119 0124 0125 0126 0127 0128 0129 0130 0136
0148 0152 0157 0158 0160 0162 0164 0165 0166 0187 0190 0214
0224 0242 0243 0244 0245 0246 0247 0255 0263 0265 0266 0282
0285 0286 0287 0288 0289 0290 0292 0293 0294 0296 0297 0298
0299 0300 0301 0304 0316 0352 0357 0364 0365 0366 0379 0383
0384 0385 0410 0413 0414 0422 0434 0438 0439 0440 0453 0458
0464 0492 0495 0496 0497 0498 0502 0506 0510 0511 0518 0519
0527 0532 0539 0540 0541 0904

DJ02 FEDERAL BUREAU OF INVESTIGATION
0348

DJ03 BUR OF PRISONS/FEDERAL PRISON SYSTEM
0466

DL DEPARTMENT OF LABOR
0012 0023 0024 0029 0032 0037 0047 0057 0070 0071 0112 0113
0119 0125 0137 0154 0157 0158 0159 0160 0162 0164 0165 0166
0263 0304 0305 0352 0414 0417 0422 0499 0903 0904

DN00 DEPARTMENT OF ENERGY
0012 0023 0024 0029 0032 0034 0047 0119 0137 0161 0164 0165
0173 0263 0268 0290 0304 0305 0329 0331 0349 0414 0415 0422
0485 0499 0504

EB00 EXPORT-IMPORT BANK OF THE UNITED STATES
0012 0029 0070 0113 0119 0160 0164 0414 0415 0417 0422

EC00 OFFICE OF ADMINISTRATION
0029 0164

ED DEPARTMENT OF EDUCATION
0012 0023 0024 0029 0032 0057 0070 0119 0157 0160 0162 0164
0165 0166 0263

EE00 EQUAL EMPLOYMENT OPPORTUNITY COMMISSION
0010 0012 0023 0024 0029 0032 0047 0057 0070 0112 0113 0119
0125 0164 0458 0904

EM00 FEDERAL EMERGENCY MANAGEMENT AGENCY
0012 0017 0023 0024 0029 0057 0065 0119 0164 0165 0191 0329
0414 0422

EP00 ENVIRONMENTAL PROTECTION AGENCY
0012 0023 0024 0029 0032 0047 0057 0112 0119 0160 0164 0165
0263 0305 0414 0415 0422 0524

EQ00 COUNCIL ON ENVIRONMENTAL QUALITY
0029

FC00 FEDERAL COMMUNICATIONS COMMISSION
0012 0023 0024 0029 0057 0070 0113 0119 0125 0164 0304 0422
0484

FM00 FEDERAL MEDIATION AND CONCILIATION SERV
0012 0029 0119 0125 0164

FT00 FEDERAL TRADE COMMISSION
0012 0023 0024 0029 0057 0070 0112 0119 0164 0458 0904

FW00 OFFICE OF SPECIAL COUNSEL
0024 0029 0057

GB00 OVERSEAS PRIVATE INVESTMENT CORPORATION
0029

GG00 OFFICE OF GOVERNMENT ETHICS
0029

GS GENERAL SERVICES ADMINISTRATION
0012 0017 0023 0024 0029 0037 0047 0057 0065 0070 0071 0105
0112 0113 0119 0125 0150 0151 0152 0157 0158 0159 0160 0161
0162 0164 0165 0166 0174 0175 0181 0182 0183 0219 0231 0232
0263 0265 0266 0267 0268 0305 0327 0329 0342 0349 0367 0414
0422 0461 0490

HB00 CMTE FOR PURCH FRM BLIND & OTH SEV HAND
0029

HD00 U.S. HOLOCAUST MEMORIAL COUNCIL
0029 0164 0191 0414

HE DEPARTMENT OF HEALTH AND HUMAN SERVICES
0012 0017 0023 0024 0029 0032 0037 0039 0047 0057 0065 0070
0071 0112 0113 0119 0125 0138 0157 0158 0160 0161 0162 0164
0165 0166 0168 0187 0263 0269 0270 0271 0272 0273 0274 0275
0290 0304 0305 0323 0329 0342 0352 0359 0388 0403 0414 0417
0422 0459 0474 0499 0524

HE36 FOOD AND DRUG ADMINISTRATION
0458

HE37 INDIAN HEALTH SERVICE
0001 0316 0372 0467 0473 0487 0531 0536

HE38 NATIONAL INSTITUTES OF HEALTH
0424

HE39 CENTERS FOR DISEASE CONTROL & PREVENTION
0417 0531

HU DEPTMENT OF HOUSING & URBAN DEVELOPMENT
0012 0023 0024 0029 0037 0047 0057 0070 0071 0112 0113 0119
0125 0136 0137 0157 0158 0160 0161 0162 0164 0165 0166 0263
0266 0267 0268 0342 0367 0414 0904

IB00 BROADCASTING BOARD OF GOVERNORS
0012 0029 0070 0113 0164 0191 0414 0422

IF00 INTER-AMERICAN FOUNDATION
0029

IN DEPARTMENT OF THE INTERIOR
0012 0023 0024 0026 0029 0036 0037 0047 0057 0070 0071 0109
0111 0113 0119 0125 0144 0154 0159 0164 0168 0191 0223 0241
0253 0255 0256 0257 0268 0279 0304 0305 0307 0342 0349 0356
0368 0388 0414 0415 0417 0422 0429 0435 0479 0490

IN08 GEOLOGICAL SURVEY
0010

IN10 NATIONAL PARK SERVICE
0416

LA00 ARCHITECT OF THE CAPITOL
0029 0164 0180 0304 0414 0422

LC00 LIBRARY OF CONGRESS
0029 0164 0304

LF00 FEDERAL ELECTION COMMISSION
0029 0164

LT00 U.S. TAX COURT
0029

MC00 FEDERAL MARITIME COMMISSION
0029

NF00 NATIONAL SCIENCE FOUNDATION
0029 0164 0414

NL00 NATIONAL LABOR RELATIONS BOARD
0012 0023 0024 0029 0037 0047 0057 0070 0113 0119 0125 0164

NM00 NATIONAL MEDIATION BOARD
0029 0119

NN NATIONAL AERONAUTICS AND SPACE ADMIN
0010 0012 0029 0070 0071 0164 0165 0166 0265 0290 0305 0414
0422 0499 0524

NP00 NATIONAL CAPITAL PLANNING COMMISSION
0029

NQ00 NATIONAL ARCHIVES AND RECORDS ADMIN
0023 0024 0029 0057 0071 0119 0164 0388 0414

NS00 NATIONAL SECURITY COUNCIL
0029

NV DEPARTMENT OF THE NAVY
0006 0010 0012 0017 0022 0023 0024 0029 0032 0034 0036 0037
0039 0046 0047 0050 0055 0057 0058 0065 0066 0070 0071 0072
0103 0105 0107 0108 0109 0113 0115 0119 0122 0125 0137 0139
0140 0144 0146 0149 0150 0151 0154 0156 0157 0158 0160 0161
0162 0164 0165 0166 0170 0174 0175 0182 0185 0191 0198 0208
0210 0213 0216 0220 0223 0224 0227 0230 0234 0235 0237 0238
0252 0253 0255 0263 0265 0266 0268 0276 0282 0290 0302 0303
0304 0305 0309 0313 0316 0317 0321 0323 0324 0325 0326 0328
0329 0332 0333 0334 0335 0342 0346 0347 0351 0352 0360 0374
0375 0377 0378 0388 0394 0402 0403 0405 0406 0414 0422 0424
0428 0460 0463 0484 0486 0490 0499 0505 0524 0525 0528 0557
0559 0589 0591

OM00 OFFICE OF PERSONNEL MANAGEMENT
0012 0023 0024 0029 0037 0047 0057 0109 0119 0125 0137 0159
0164 0304 0349

OS00 OCCUPATIONAL SAFETY & HLTH REVIEW COMM
0023 0029 0112

QQ00 OFFICE OF NATIONAL DRUG CONTROL POLICY
0029

RF00 FEDERAL RETIREMENT THRIFT INVESTMENT BD
0029 0164

RH02 U.S. SOLDIERS' AND AIRMEN'S HOME
0029 0039 0156 0164 0191 0290 0303 0304 0313 0316 0334 0405
0414 0428

RR00 RAILROAD RETIREMENT BOARD
0012 0029 0047 0119

RS00 FEDERAL MINE SAFETY & HEALTH REVIEW COMM
0029

SB00 SMALL BUSINESS ADMINISTRATION
0012 0024 0029 0047 0057 0070 0071 0113 0119 0125 0157 0160
0162 0164 0165 0166 0263 0265 0414

SE00 SECURITIES AND EXCHANGE COMMISSION
0012 0023 0024 0029 0057 0070 0112 0113 0119 0196 0197 0458
0515 0516 0516 0560 0904

SK00 CONSUMER PRODUCT SAFETY COMMISSION
0012 0024 0029 0032 0057 0119 0164 0414 0422

SM SMITHSONIAN INSTITUTION
0012 0023 0029 0070 0164 0191 0223 0302 0304 0305 0347 0356
0406 0414 0422 0499 0589

SM01 NATIONAL GALLERY OF ART
0029 0164 0191 0414

SS00 SELECTIVE SERVICE SYSTEM
0029 0119

ST00 DEPARTMENT OF STATE
0012 0023 0024 0029 0037 0047 0057 0070 0113 0119 0156 0160
0164 0223 0290 0302 0304 0347 0414 0422

SZ00 SOCIAL SECURITY ADMINISTRATION
0010 0023 0024 0029 0037 0039 0047 0057 0070 0071 0072 0109
0112 0113 0119 0125 0138 0154 0165 0187 0263 0304 0305 0323
0352 0388 0403 0414 0422 0499

TB00 NATIONAL TRANSPORTATION SAFETY BOARD
0029 0047 0057 0070 0112 0113 0119 0164 0414 0415 0422 0458
0499 0589

TC00 U.S. INTERNATIONAL TRADE COMMISSION
0029 0164

TD DEPARTMENT OF TRANSPORTATION
0012 0023 0024 0029 0032 0037 0047 0057 0070 0113 0119 0125
0140 0154 0157 0158 0159 0160 0164 0165 0263 0268 0290 0304
0305 0309 0329 0334 0342 0367 0373 0393 0414 0422 0490

TN00 OFFICE OF THE U.S. TRADE REPRESENTATIVE
0029

TR DEPARTMENT OF THE TREASURY
0010 0012 0017 0023 0024 0029 0032 0037 0047 0053 0057 0070
0071 0072 0109 0110 0112 0113 0119 0125 0136 0137 0154 0157
0158 0159 0160 0161 0162 0164 0165 0166 0187 0224 0263 0290
0304 0305 0335 0388 0414 0415 0417 0422 0903 0904

TR93 INTERNAL REVENUE SERVICE
0284 0442 0443 0444 0445 0446 0447 0448 0449 0450 0451

TRAF U.S. CUSTOMS SERVICE
0348

TS00 OFFICE OF SCIENCE AND TECHNOLOGY POLICY
0029

VA DEPARTMENT OF VETERANS AFFAIRS
0010 0017 0024 0029 0032 0037 0057 0072 0112 0113 0117 0125
0137 0158 0162 0164 0165 0178 0199 0305 0370 0411 0414 0422
0458 0499 0538 0543 0544 0545 0546 0547 0548 0549 0550 0551
0552 0553 0554 0555 0559 0904

Attachment 4 to CPM 2001-06

AGENCY CONTACTS: SPECIAL SALARY RATES