Special Salary Rate Request Form OPM Form 1397 Instructions

Text Preview:
Special Salary Rate Request Form
                                              OPM Form 1397
                                                Instructions
                                                            General

    1.   The Special Salary Rate Request Form (Office of Personnel Management (OPM) Form 1397) is an optional
         form that agencies may use to request that OPM establish, adjust, terminate, or modify coverage of special
         salary rates under the authority of 5 U.S.C. 5305 and 5 CFR part 530, subpart C. Special salary rates are
         higher rates of basic pay that are established for a group or category of General Schedule (GS) positions in
         one or more geographic areas to address existing or likely significant handicaps in recruiting or retaining well-
         qualified employees.

         You may use an alternative format to submit data and information required in a special salary rate request.
         However, you must ensure that all of the available data and information requested by OPM Form 1397 are
         included in the alternative format.

    2. An agency initiating a request to establish or adjust a special salary rate may be required to coordinate the
       request with all other affected agencies and aggregate the required staffing data from each agency. Contact
       OPM before submitting any special salary rate request to determine if your agency is required to coordinate
       the request with other agencies.

    3. If you are requesting more than one special rate table for a category of positions (each covering a different
       geographic area, for example) fill out a separate Form 1397 (or alternative) for each table requested. As part
       of the analysis, OPM may request that you break down data even further.

    4. For each type of special salary rate request covered by this form, you must provide a narrative justification
       and/or explanation on the reason for the request. See the specific instructions, below, on the type of narrative
       information needed.

    5. When applicable, include the proposed special rate schedule with your request.


               Section I - Type of Special Salary Rate Request and Agency Contact Information

    1. Use OPM Form 1398 if you are requesting an increase equal to the General Schedule increase as part of
       OPM's annual review of special salary rates. Do not use this form for such requests.

    2. For all other types of special rate requests, in this section you must indicate the type of special salary rate
       request, follow the italicized instructions provided for each type of request, and provide agency contact
       information.

                                                  Section II - Coverage

    Follow the instructions provided on the form for this section. If the request involves an existing special salary rate
    authorization and no change in occupation, agency, or geographic coverage is involved, do not complete this
    section. Please ensure that the existing special rate table number is provided in section I.

                                               Section III - Staffing Status

    1. Follow the instructions provided on the form for this section. If data is unavailable, explain the reason in the
       narrative justification of your request.

    2. When aggregating data from more than one organization, geographic location, or agency, each
       organization/location should provide data for the same period of time, i.e., use the same beginning and ending
       dates, if possible.


Office of Personnel Management                 Form authorized for local reproduction                 OPM Form 1397 Instructions
                                                                                                              Revised May 2003
                                      Section IV - Recruitment and Turnover

1. Follow the instructions provided on the form for this section. If data is unavailable, explain the reason in the
   narrative justification of your request.

2. "Transfer Data" is needed only for those special salary rate requests in which a significant portion of the
   staffing problems are attributable to employees leaving for positions in other Federal pay systems.

3. Because the "Number Hired" data is a subset of the "Offers Made" data, the amount of "Number Hired" should
   not exceed the number of "Offers Made" at each grade level.

4. Because the "Quits for Pay" data is subset of the "Quits" data, the number of "Quits for Pay" should not
   exceed the number of "Quits" at each grade level.

                                  Section V - Proposed Special Rate Schedule

Attach a copy of the proposed special salary rate schedule. Explain the basis for the recommended salaries and
how they were derived. Provide copies of any salary survey data and information that were used in developing
the recommended rates. If you conduct your own salary surveys, you may use the salary comparison worksheet
provided as an appendix to this form to document the salary data collected and include a copy of this worksheet
with your request. For all salary survey data and information, equate the positions surveyed to General Schedule
grade levels so that we can accurately compare salary differences. Note: OPM may have certain off-the-shelf
salary surveys and other resources available for pay comparisons. Contact OPM before researching salary
survey information.

                                             Section VI - Cost Estimate

1.   The costs for each grade must be determined as follows:

     a. Determine the number of employees at each grade and step based on the latest available data (but not
        earlier than as of the ending data specified in section III of this form). Place all employees with step 00 at
        step 10.

     b. Subtract the current annual payable rate for each grade and step (the higher of the applicable General
        Schedule rate of basic pay, locality-adjusted rate of pay, or existing special salary rate) from the
        recommended annual special salary rate for that grade and step. (Note: If the special rates will cover
        positions in non foreign areas, the additional costs for non foreign area cost-of-living allowances must be
        included in the cost estimate.) For each step, multiply the difference derived in step b. by the total
        number of employees at that step.

     c.   Total the dollar cost derived in step c. for all steps in each grade.

     d. For each grade, document the total dollar cost determined under step 4 in the "Cost" column of section VI
        of this form. Total the cost for each grade and document in the "Total" block. Attach any worksheets used
        to derive the cost estimate to this request.

          Note: This cost estimate covers direct salary costs only and excludes additional costs attributable to
          retirement, overtime pay, and other benefits that are calculated on the basis of an employee's rate of
          basic pay. This cost estimate does not cover the costs associated with filling positions that are currently
          vacant.

2. If you expect to significantly increase (i.e., by more than 10 percent) the number of on-board employees in
   the group covered by the proposed special rate schedule over the coming year (by filling vacancies or by
   increasing authorized positions), you must also provide projected employee counts by grade. OPM may use
   this data to produce a second cost estimate based on projected employment levels. Document this projection
   in the narrative information.
                                                                                                  OPM Form 1397 Instructions
                                                                                                          Revised May 2003
                                                                                                                     Page 2
                                       Section VII - Narrative Information

1. For each special rate request covered by this form, provide a narrative justification of the reason for the
   request consistent with the criteria and requirements in 5 CFR part 530, subpart C.

2. Provide the following narrative information for initial special rate requests, requests to increase or change the
   coverage (occupation, grade, agency, or geographic) of an existing special rate, and requests to increase
   existing special rates by greater than the General Schedule increase as part of the special rate annual review:

    a. Explain the cause of the significant recruitment or retention problems.

    b. Explain whether special rates are needed to address an (1) existing recruitment or retention problem or
       (2) a recruitment or retention problem that is likely to exist in the future if special rates are not approved. If
       your agency determines that special rates are needed to address a likely recruitment or retention
       problem, explain the basis and provide evidence to support this determination, including estimates of the
       number of vacant positions and/or quits for comparable positions that are likely to occur if the special rate
       request is not approved.

    c. Explain how the nature of the existing labor market is affecting your agency's ability to recruit or retain
       employees covered by the request.

    d. Explain the degree to which your agency has considered and used other pay flexibilities to alleviate the
       staffing problems, including recruitment and relocation bonuses, retention allowances, superior
       qualifications appointment authority, student loan repayments, and performance awards.

    e. Explain the degree to which your agency has considered and used other non-pay solutions to the staffing
       problems, such as conducting aggressive recruiting programs, using appropriate appointing authorities,
       redesigning jobs, establishing or enhancing training programs, authorizing flexible work schedules and/or
       telework arrangements, and improving working conditions.

    f.   Explain how the staffing problem is affecting accomplishment of your agency's mission.

    g. Explain and provide estimates of the costs attributable to the staffing situation which would be offset if this
       special salary rate is approved, such as overtime, contracting, training, recruiting, or other costs.

                                       Section VIII - Agency Certification

For each type of special rate request, provide a certification from the appropriate authorized agency official.

                                        Appendix - Salary Comparisons

Follow the instructions in the Appendix for documenting and analyzing salary survey data.

                                                                                                    OPM Form 1397 Instructions
                                                                                                            Revised May 2003
                                                                                                                       Page 3
                                       U.S. Office of Personnel Management
                                       Special Salary Rate Request Form
                       Section I - Types of Special Salary Rate Request and Agency Contact

 Please indicate the type of special salary rate request by checking the appropriate box(es) below and following the
 italicized instructions for each type of request.


                  Initial request / Review other than annual review / Termination

                           Initial request for special salary rates.
                           Complete sections II through VIII-A.

                           Out-of-cycle request for increase in an existing special salary rate authorization.
                           Complete sections III through VIII-A.

                           Reduce or terminate an existing special salary rate authorization.
                           Complete sections VII through VIII-B.

                           Request to modify coverage of an existing special salary rate authorization.
                           Complete sections II through VIII-A, as applicable.


                  Request to be excluded from an initial special rate request or from an existing special salary rate
                  authorization.
                  Complete sections VII and VIII-B.


                  Annual review of existing authorizations where increase requested is:

                           Less than the General Schedule increase, including a zero increase.
                           Complete sections VII, VIII-A, and fill in Total Positions in section III, Ending Snapshot.

                           Greater than the General Schedule increase.
                           Complete sections III through VIII-A.

                           Reduction of current schedule.
                           Complete sections V, VII, VIII-B, and fill in Total Positions in section III, Ending Snapshot.

                  (Note: If you are requesting an increase equal to the General Schedule increase, use OPM form 1398.)



 For existing authorizations, please enter the special salary rate table number:


 Has your agency contacted other agencies that may be affected by this request?

    Yes           No             Please explain in narrative information, section VII.


 Name of submitting agency:                                       E-mail address:



 Name of preparer:                                                Telephone:                           Date prepared:


Office of Personnel Management                          Form authorized for local reproduction                               OPM Form 1397
                                                                                                                            Revised May 2003
                                               Section II - Coverage

For existing authorizations, if there is no change in occupation, agency, or geographic coverage, it is not necessary
to complete this section. Please be sure that the existing special salary rate table number is entered on the front
page of this form.


A. Occupation(s):

Enter the occupation series code and job title for each occupation covered by this request. If all jobs within an
occupation series are covered, enter "All" under job title.

  Occupation                                                   Occupation
                                  Job Title                                                     Job Title
  Series Code                                                  Series Code




B. Agencies/Geographic Locations:

Please enter the name and code of each agency and sub-element with positions covered by this request. Specify
geographic location codes for all but nationwide or worldwide authorizations.


   Agency/              Agency/           Duty Station Code(s), State, City,
 Sub-element          Sub-element         County, Locality Pay Area, etc.,               Duty Station Name(s)
    Code                 Name                       as applicable




  As a guide for specifying the exact locations to be covered by the proposed special salary rate authorization, use
  the duty station code and its narrative description contained in items 38 and 39 on the SF-50 of the employees for
  whom special salary rates are being requested. List the duty station codes for all locations to be covered. For
  agency/sub-elements, use the four-digit agency code found in item 47 on the SF-50. Also, you may access this
  information at http://www.opm.gov/feddata/guidance.asp.

                                                                                                             OPM Form 1397
                                                                                                            Revised May 2003
                                                                                                                      Page 2
Download Link:
Share Link: Forum Link:

More on Business

  • Picture: Gr 10 Maths Literacy - Paper 1

    Gr 10 Maths Literacy – Paper 1

    File Size: 249.96 KB, Pages: 10, Views: 1,337,898 views

    GRADE 10 EXEMPLAR EXAMINATION NOVEMBER 2006 MATHEMATICS LITERACY PAPER 1 Minimum time: 1 hours Maximum time: 2 hours 75 marks PLEASE READ THE FOLLOWING CAREFULLY 1. This paper consists of: 5 questions an answer sheet with grid paper for question 4 (d). 2. Answer all …
  • Picture: Improving cash flow using credit management - CIMA

    Improving cash flow using credit management – CIMA

    File Size: 374.27 KB, Pages: 28, Views: 1,267,706 views

    Improving cash flow using credit management The outline case sponsored by Improving cash flow using credit management sponsored by Albany Software focuses on developing award-winning software to transform financial processes and is the market leader in electronic payment solutions. Albany makes financial transfers and subsequent …
  • Picture: MATERIAL SAFETY DATA SHEET - compressorparts.com

    MATERIAL SAFETY DATA SHEET – compressorparts.com

    File Size: 311.77 KB, Pages: 8, Views: 520,437 views

    Product Name: MOBIL RARUS SHC 1025 Revision Date: 16Feb2007 Page 1 of 8 _____________________________________________________________________________________________________________________ _ MATERIAL SAFETY DATA SHEET SECTION 1 PRODUCT AND COMPANY IDENTIFICATION PRODUCT Product Name: MOBIL RARUS SHC 1025 Product Description: Synthetic Base Stocks and Additives Product Code: 606343-00, 973764 Intended Use: …
  • Picture: Onan RV Generator Troubleshooting Guide - Flight Systems, Inc.

    Onan RV Generator Troubleshooting Guide – Flight Systems, Inc.

    File Size: 2,729.64 KB, Pages: 18, Views: 37,557 views

    RV GENERATOR TROUBLESHOOTING GUIDE A Service of FLIGHT SYSTEMS 207 Hempt Road Mechanicsburg, PA 17050 Ph: 717 590 7330 Fax: 717 590 7327 www.flightsystems.com CONTENTS RV Generator Troubleshooting Overview 1 RV Generator FAQs 5 Onan RV Generator Charts: Applications Chart 8 Test Information for Troubleshooting …
  • Picture: Interpretive Guide for the Achievement Levels Report (2003

    Interpretive Guide for the Achievement Levels Report (2003

    File Size: 624.72 KB, Pages: 19, Views: 38,997 views

    Interpretive Guide for the Achievement Levels Report (2003 Revision) ITBS/ITED Testing Program The purpose of this Interpretive Guide is to provide information to individuals who will use the Achievement Levels Report for monitoring the achievement of student grade groups, both at the building level and …

Leave a Reply

Your email address will not be published. Required fields are marked *