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Personnel Delegation #56


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DEPARTMENT OF HEALTH AND HUMAN SERVICES Public Health Service
     Indian Health Service
 Rockville MD 20857

NOV 3, 2000

Personnel #56

TO: Director of Headquarters Operations
Director, Oklahoma City Area IHS
FROM: Director
SUBJECT: Delegation of Auhtority for Approval of Voluntary Early Retirement Authority

Authority Delegated and to Whom

Pursuant to the authority delegated to the Director, Indian Health (IHS), by the U.S. Office of Personnel Management (OPM) on October 3, 2000, I hereby delegate to the Director of Headquarters Operations and the Director, Oklahoma City Area, the following authorities:

  1. The use of Voluntary Early Retirement under 5 U.S.C. 8336(d) (2) , 5 U.S.C. 8414(b) (1)(B), and section 7001, Public Law 105-174 (as amended by P.L. 106-58).

  2. The voluntary early retirement option under 5 CFR section 831.114 and 842.213.

The authority covers only employees at the Oklahoma City Area office and the El Reno Indian Health Center who are in positions that do not provide direct patient care.

Redelegation Restrictions

The above authorities may be redelegated to the Area Personnel Officer with no further redelegation authorized.

Information and Guidance

Requirements and instructions for exercising this authority are contained in the OPM letter of approval of the Voluntary Early Retirement Authority to the IHS dated October 3, 2000.

Prior Delegations

There are no prior delegations of authority on this subject. Effective Date This delegation is effective upon date of signature.

/Michael H. Trujillo, M.D./
Michael H. Trujillo, M.D., M.P.H., M.S.
Assistant Surgeon General

United States Office of Personnel Management

Washington, DC 20415-0001

OCT 3 2000

Dr. Michael H. Trujillo
Assistant Surgeon General
Department of Health and Human Services
Public Health Service
Indian Health Service
Rockville, MD 20857

Dear Dr. Trujillo:

Based on your agency's request, the Office of Personnel Management (OPM) has determined the existence of a major reduction in force within the Indian Health Service (IHS) in the IHS's Oklahoma City Area Office and the El Reno, Oklahoma, Public Health Service Indian Health Center. Because of this determination, OPM is authorizing the use of voluntary early retirements under 5 U.S.C. 8336(d)(2), 5 U.S.C. 8414(b)(l)(E3), and section 7001, Public Law 105-174 as amended by Public Law 106-58). OPM is authorizing the voluntary early retirement option under 5 CFR §§ 831.I 14 and 842.213.

The following employees are not eligible for voluntary early retirement under this authority:

  1. Any employees who have not been continuously on the agency's rolls since at least 31 days before the date of your request, September 13,2000;

  2. Employees serving under time-limited appointments;

  3. Employees in receipt of a decision of involuntary separation for misconduct or unsatisfactory performance; and

  4. Others (as requested by agency): none.

Otherwise, subject to offers by your agency, the authority covers all employees of IHS at the IHS's Oklahoma City Area Office and the El Reno, Oklahoma, Public Health Service Indian Health Center.

IHS may offer voluntary early retirements from the date of approval through September 30, 2001, subject to the provisions, limitations, and instructions outlined in this letter and implemented by 5 CFR §§ 831.114 and 842.213 and OPM guidance.

You OPM Authority-Number is 2001-013.

The agency may determine the coverage of offers to eligible employees under this authority based on any combination of organizational components, geographic areas, occupational series or levels; or other non personal and objective factors. These offers can be established on the agency's own initiative after OPM approval.

The agency may establish early retirement window periods during which early retirements are offered. These windows may be established for any duration during the authority period approved by OPM. The agency may limit window periods only by an established opening and closing date which is announced to employees at the time of the initial offer or by receipt of a specified number of applications for retirement, provided that, at the time of the initial offer, the agency notified employees that the agency retained the right to limit voluntary early retirements on that basis. The agency may subsequently establish and publicize a revised closing date, or a revised number of applications, only when changes in the conditions that served as the basis for the approval of the voluntary early retirement authority have occurred. The revised closing date, or number of applications, may be applicable to the entire authority, or only to employees in specific organizational unit(s), occupational series or level(s), or geographic area(s).

This authority does not constitute delegation of OPMs authority to oversee any aspect of the voluntary early retirement program. Also, this authority has been granted based on information contained in your request concerning the number of excess employees in the agency, the number of employees eligible for voluntary early retirement, and the number of employees expected to exercise the early retirement option. The agency must use early retirements only to the extent necessary to achieve reductions in the workforce that result from the budget reductions, reorganizations, loss of work, or closure outlined in the agency's request to OPM.

The agency, through its headquarters human resources office, must notify OPM if, at any time, further use of voluntary early retirement will no longer accomplish the objectives stated in the agency's request to OPM for authority. OPM may suspend or terminate an authority if OPM determines that the agency is no longer undergoing the major reorganization, major reduction in force, or major transfer of function which formed the basis for OPMs approval of the authority; if the agency is not in compliance with the reporting requirements or reporting schedule provided to the agency in this approval letter; or to ensure that early retirement programs are operated in a manner which is consistent with applicable laws or regulatory requirements.

The agency may adopt any fair and objective method for approving applications if the agency finds that it must limit voluntary early retirements among its employees. We expect that all possible steps will be taken to ensure no coercion is exercised by agency managers or employees against an employee who is eligible to retire.

Please be sure to include employees eligible for voluntary early retirement in your regular retirement counseling activities.

As in other retirement situations, at least the last five years of their service must have been covered under the Federal employee health benefits and life insurance programs in order to continue coverage under those programs in retirement. Refer to OPM’s Retirement and Insurance Service Benefits Administration Letter 96-208, December 4,1996, for information regarding this requirement.

For each voluntary retirement, the individual retirement record [Standard Form 2806 for Civil Service Retirement System (CSRS) or Standard Form 3100for Federal Employees Retirement System (FERS)] must show the appropriate CSRS or FERS authority. A statement similar to the following should appear on the last line used for the service history portion of the form: RET 5U.S.C. 8336(d)(2), or RET S U.S.C.8414(b)(l)(F3);OPM Authority Number: 2001-013.

Standard Forms SO used to separate employees who are retiring under this authority should use the following nature of action codes:

Block Code-CSRS Code-FERS
5-A 303 303
5-B Retirement-Special Option same as CSRS
5-C V3P USM
5-D 5 U.S.C. 8336(d)(2) P.L. 99-335
5-E AZM same as CSRS
5-F OPM Auth. 2001-13 same as CSRS

Please furnish interim reports on the use of this authority based on the information in the enclosure. Please review closely the reporting requirements in the enclosure to determine the tracking requirements for the required data. A final report is due 60 days after the final closing date of the authority.

Sincerely,
/Carol J. Okin/
Carol J. Okin
Associate Director for Employment

Enclosure


INSTRUCTIONS REPORTS TO OPM ON USE OF
VOLUNTARY EARLY RETIREMENT AUTHORITY

  1. Agencies using early retirements are required to submit data to OPM regarding early retirement activity. This report is included.

  2. Agencies are required to provide periodic and final reports to OPM on the use of voluntary early retirement authorization and buyouts. In order to track and evaluate trends, help anticipate staffing needs in OPMs Retirement and Insurance Service (to allow prompt processing of retirement applications), and to meet other reporting requirements, agencies must provide activity summaries, quarterly interim reports, and final reports on a timely basis.

  3. Types of Reports

    1. Quarterly Interim Reports: An interim report is due 30 days after the end of each quarter following approval of the authority. The quarterly interim report should include data specific to the quarter which just closed as well as cumulative fiscal year data (as of the end of the fiscal quarter that the report covers).

    2. Final Reports: A final report is due 60 days following the closing date of the authority.

    3. Activity Summaries: Agencies are urged to forward quarterly summaries to OPM which highlight where voluntary early retirements will be offered.

CONTENT OF REPORTS

  1. Each report to OPM on the use of a voluntary early retirement authority must contain the information in the attached sample. (See the last page.)

  2. Agencies must use the reporting format included with the authority. (Do not use an old report format with new authority reports.)

  3. Although this report is essentially identical to the reporting format used for the last year, agencies are advised to carefully review this reporting format before offering early retirements in order to anticipate and track the data required in this report.

  4. Agencies should submit a completed report to OPM even if there has been no early retirement activity in the agency. Otherwise, OPM cannot determine whether the agency had no activity, failed to report, or that the report was not complete when it reached OPM. Reports should cover activity occurring only during the period of the authority.

  5. OPM may suspend or terminate an authority if the agency fails to comply with the reporting requirements included in the authority.

WHERE AND WHEN AGENCIES SHOULD REPORT

  1. Where to Send Reports : Please complete the report and send it to:

    Office of Personnel Management
    Employment Service
    Workforce Restructuring Policy Division
    Room 6557
    1900 E Street, NW
    Washington, DC 20415-9700

  2. You may fax a copy of the report to (202) 606-2329.

  3. Reporting Schedule

    Quarter Quarter Ending Date Report Due By
    First December 31 January 30
    Second March 31 April 30
    Third June 30 July 30
    Fourth

    (FINAL FOR FY)

    September 30 November 30

    (Note that final FY report is due 60 days after end of FY)

  4. At the beginning of a new fiscal year, the report should included data with respect only to that new fiscal year (i.e., there is- no need to. report cumulative data which covers multiple fiscal years).

  5. Failure to Report:: OPM may suspend or terminate the voluntary early retirement authority in cases where agencies fail to meet reporting deadlines or requirements.

REPORT TO OPM ON USE OF VOLUNTARY EARLY RETIREMENT AUTHORITY

ALL AGENCIES SHOULD USE THIS FORM.
THIS FORMAT SUPERSEDES PREVIOUS REPORTING REQUIREMENTS

Department or Agency:
Date of Report:
OPM Early Retirement Authority Number:

VOLUNTARY EARLY RETIREMENTS QUARTER
1st; 2nd; 3rd; 4th
FISCAL YEAR TOTAL
1. Number of voluntary early retirements:

a. Number of employees receiving an offer:
(provide the number of employees eligible for early retirement who were offered an opportunity to retire under this authority.)

_______________

_______________

b. Total early retirements:

_______________

_______________

c. Average age of early retirees:

_______________

_______________

d. Average grade if early retirees:

_______________

_______________

2. Was reduction in force (RIF) used?
___NO (go to #4) ___ (YES complete 3&4)

_______________

_______________

3. Number of employees affected by reduction in force (RIF)

a. Total RIF separations:

_______________

_______________

b. Total RIF downgrade:

_______________

_______________

c. Total RIF reassignments:

_______________

_______________

4. other attrition that occured:

a. Other requirements:

_______________

_______________

b. Other resignations:

_______________

_______________

c. Other transfers:

_______________

_______________

d. Total separations in a-d:

_______________

_______________


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