NIH Clinical Research Support Alternative Personnel System
Title 42, Excepted Service Employment
Purpose and Coverage
Purpose:
To establish an excepted service employment system for Clinical Center (CC) employees engaged in direct or indirect clinical research patient care services.
42 USC 209(f) will be the legal authority for appointment under this system and for subsequent actions. Within the context of Title 42 statute, the Director of the CC is responsible for establishing Clinical Research Support (CRS) program provisions and for making necessary modifications to the program. He/she will seek the approval of the Director of NIH for major provision changes before implementation.
Note: This authority will complement other T.42 employment programs that are currently in use in the Clinical Center, i.e., Senior Investigator, Staff Clinician, Staff Scientist (Clinical), Investigator (Tenure-Track), Clinical Fellow and Research Fellow. These existing categories of research and clinical research personnel will not be covered by the provisions of this proposal.
Coverage:
Two clinical research support categories will be established to group CC occupations that are generally similar in: a) pattern of entry and occupational development, b) salary structure, c) recruitment pools, and/or d) qualification requirements e.g., education. The service categories will facilitate the internal alignment of occupational pay ranges and the establishment of competency standards.
The two CC Clinical Research Support Categories will be:
- Professional and Associated Services. This category will include professional and associated clinical positions in the biological sciences, physical sciences, social sciences, nursing, allied health sciences, veterinary sciences, mathematics, statistics, clinical information services, and engineering.
- Clinical Technical Services. This category will include positions that provide direct or indirect clinical support services. These occupations require technical knowledge and skills sufficient to perform clinical tasks specified in diagnostic or treatment areas or associated functions.
APPOINTMENT TYPES
Core staff
Appointments that have no time limitation and carry a mandatory conditional period from 1-3 years will be used for core staff (i.e. continuing positions). These positions will be designated as Indefinite Full Time or Indefinite Part Time. The conditional period will be used as a probationary or trial period and may be satisfied through satisfactory completion of other appointment periods, e.g., temporary appointments. The length of the probationary period will be established prior to appointment based on a review of an individual candidate's record.
Supplemental staff
Supplemental staff appointments may be made as:
- Temporary appointments with time limitations of 1 to 3 years, with renewals available. These positions will be designated asTime-Limited Full Time or Time Limited Part Time. An absolute maximum duration of 7 years will include the initial appointment and any subsequent renewals. Employees may be converted to core staff if there is a need for the individual past 7 years. Service under a temporary appointment is counted toward completion of the probationary period if the service is in the same position.
- Per diem appointments in 2 year increments, with no fixed tour or guarantee of hours. Employees will serve as needed with no minimum number of hours per pay period. There will be no maximum duration for these appointments. See Appendix A for a more thorough discussion of this mechanism.
QUALIFICATION STANDARDS
Initially, qualification screening of candidates for occupations/clusters will be done based on OPM Qualifications Standards.
As needed and over time, CC will develop qualification standards that will incorporate 1) any positive educational requirements, and 2) any competencies that are required in the occupation. The Director, CC/OHRM may approve modifications to the X-118 qualification standards as needed.
Credentials reviews for licensure and patient care competencies will be done in accordance with CC policy.
RECRUITMENT STRUCTURE
Vacancy Advertisement
Positions may be advertised through a variety of recruitment mechanisms, e.g., internal or external paper and Internet advertisements, newspaper or journal advertisements, job fairs, professional associations, etc. The recruitment method will be identified by the CC manager in consultation with CC/OHRM and will support CC goals of open and fair consideration based on merit and maintenance and management of a diverse workforce.
Screening of Applicants
Three options for screening of candidates will be available to CC management for recruitment of candidates:
- Option A (default method)
- Screening of candidates by CC/OHRM and referral of all candidates that meet minimum qualification requirements.
- Selection may be from any of the qualified candidates.
- Option B (management option, suitable when large number of applicants is anticipated.)
- A two-step screening of candidates by CC/OHRM involving: 1) a review for minimum qualification requirements, and 2) a ranking of candidates as "qualified" or "highly qualified" based on program developed competency criteria.
- Only candidates identified as "highly qualified" will be referred to the program. If a suitable candidate is not found in the "highly qualified" group, the program may also review the "qualified" group of applicants.
- While selection from the "highly qualified" is anticipated, a candidate who is rated as "qualified" may also be selected.
- Option C
- A "fast-track" recruitment alternative that supports the selection of a highly qualified candidate for appointment. Used only when the need to fill the position quickly is critical and a highly qualified candidate is immediately available. No formal recruitment is required and screening by CC/OHRM will be for minimum qualifications, appointment requirements and suitability only.
- Approval by the CC Director or designee is needed to use this option.
Selection
Programs may utilize internal screening, e.g., interviews, credential review, etc., based on program/position-specific competencies in making a final selection.
POSITION CATEGORIES AND ASSIGNMENT SYSTEM
Pay Plan
Positions will be assigned to the Administratively Determined (AD) pay plan.
Occupational Codes
During initial implementation of the proposal, General Schedule occupational codes (series) will be used as standard identifiers for each occupation to facilitate data collection and for consistency with other pay plans, other NIH ADs, CO, GS, etc. Coincident with programmatic changes, the number of CC series may be reduced and/or the CC may increase the use of generic occupational codes.
Pay Bands
(Applicable to core and temporary supplemental staff. Per diem employees excluded.)
There will be three bands for each Clinical Research Support Category:
- Band I will represent a developmental continuum from the entry level through the full operating level.
- Band II will represent an expert or specialist level that requires highly developed or specialized knowledge of an occupation.
- Band III will represent a managerial, senior specialist, or executive level (e.g. a senior nurse consultant or Section Chief or Department Head).
Position Titles
Position titles will reflect the name of the specific occupational specialty, e.g., Clinical Nurse.
Position Descriptions /Competency Plans
A short description of major duties will be used in combination with a competency plan to describe position requirements.
Position Evaluation Methodology and Authority
- Placement of a Position in a Service Category and Band - Initial
- Placement of an individual in a Clinical Research Support Category and a Band level will be done by the manager with delegated authority based on an assessment of the function(s) to be performed and the competencies required in the position.
- Supervisory positions may be assigned to any of the bands, depending upon the function supervised, e.g., supervisory positions in operating units that do not require expert or specialized knowledge would be placed in Band I. The prefix "supervisory" may be attached to any position title where the individual has significant supervisory responsibilities.
- Movement To Higher Level Band or Service Category
- Movement of an individual to a higher level band or service category may be done at any time based upon programmatic need. The reallocation may be done on a competitive or noncompetitive basis. If the position is encumbered, it may be reallocated only if the employee meets all qualification/competency requirements. Such a change may/may not result in an increase in base pay. The authority and methodology to be applied in the pay rate selection is the same as for establishment of initial entry and/or individual pay increases (see discussion under Individual Pay Rates, below).
- Downward Movement of a Position to a Lower Band
- Movement of an individual to a lower band may be done to properly recognize the alignment of an employee's competencies with requirements of a position. Such actions may be done involuntarily, based on managerial assessment, or at the employee's request. If done involuntarily, the reduction is subject to the CC Adverse Actions process. (See discussion below).
COMPENSATION SYSTEM
(Applicable to core and temporary supplemental staff. Per diem employees excluded.)
General Principles
There will be three components of compensation: Base Pay, Supplemental Pay and Premium Pay. All components of pay will be managed within CC resource allocations.
Base Pay
Base Pay Ranges
- The CC Director will establish pay ranges. The ranges will be established to:
- maintain pay alignment with equivalent positions in the private sector or other Federal agencies;
- facilitate appropriate internal pay alignment of CC occupations; and
- meet CC budget needs and goals.
- Occupations with similar characteristics and market rates will be grouped together into pay clusters and will be covered by the same pay ranges. More than one pay range may be necessary to reflect market rates for specific occupations or categories.
General Increases to Pay Ranges
- General increases to the pay ranges will be made on an annual basis to maintain competitiveness with private sector rates, and/or to parallel the annual increase in the nationwide General Schedule.
- Unless the CC Director prescribes an alternative percentage, current employees with satisfactory performance will receive:
- the percentage of increase applied to the nationwide General Schedule, OR
- the percentage of increase necessary to raise the employee’s rate to the new minimum rate of the pay band, whichever is greater.
Unsatisfactory employees will not receive a General Increase.
- Pay Determinations
Individual pay determinations will be made within NIH delegations of authority for pay by the official with selecting authority. Generally, individual rates will be determined as follows:
- Band I - Department Head
- Band II - Deputy/Associate Director (or equivalent)
- Band III - Director, CC
- Rate Selection
The pay rate will be set within the band range based on an assessment of:
- the qualifications and competencies of the employee;
- the individual's current salary and benefit package;
- the criticality of the program to which the employee will be assigned;
- any supervisory/managerial responsibilities;
- the market rate for the position; and
- funds availability within allocated salary budgets.
Generally, the lower half of each band range will be associated with position competencies from the fundamental level through the moderate level, while the upper half will represent advanced levels.
In unusual cases, the Director, CC may approve a rate above the maximum for Bands II and III based on the extraordinary qualifications and competence of an individual and the criticality of their position to the CC mission.Individual Pay Rates - Within Band Increases
- Timetable for Increases
- Individual increases within the band range may be awarded at any time during the year. At a minimum, assessments of individual employee pay rates will be done annually, coincident with the CC Annual Personnel Review.
- Methodology
- Pay increases will be based on an assessment of the employee's growth in competencies and availability of funds. The supervisor with pay setting authority will assess the value of the employee's increased competencies vis-à-vis the employee's existing placement in his/her band range.
- An individual pay increase may not cause the pay to exceed the range of the assigned band without the approval of the Director, CC. As appropriate, employees may be considered for movement into the next band range or for a pay supplement.
- Authority
- Managers with pay setting authority for a band may approve individual pay increases within that band.
Individual Pay Rates - Downward Adjustment
Reduction of an employee's pay rate may be done to properly recognize the alignment of an employee's competencies with requirements of a position. Such actions may be done involuntarily, based on managerial assessment, or at the employee's request. If done involuntarily, the reduction is subject to the CC Adverse Actions process. (See discussion below).
Supplemental Pay
General Provisions and Authority
- Supplemental Pay will include non-base pay bonuses or allowances that:
- reward individual and group accomplishments and outcomes;
- compensate for temporary roles that are not appropriately addressed through base pay (e.g. acting supervisor or mentor); and
- provide additional pay flexibilities.
- Supplemental Pay is discretionary pay, set by the manager with pay setting authority for the individual's base pay band placement. The types of supplemental pay and the total amount paid are subject to upward/downward adjustment without appeal by the employee.
- Supplements may be paid on a lump sum or biweekly basis. If paid on lump sum basis, payments may carry a requirement for a service agreement.
Supplemental Pay Factors
The following factors may be considered in the establishment of individual supplemental pay:
- Recruitment/retention incentive
- Payable when necessary to recruit or retain an employee who otherwise might not accept or continue employment with the CC.
- Used when the base pay range is not sufficient or appropriate to meet the candidate/employee's pay requirement.
- Payable as a lump sum or on a biweekly basis. If paid as a lump sum, a service agreement is required. If paid on a biweekly basis, continues only as long as necessary to insure the continued employment of the employee.
- Referral bonuses
- Paid to employees who refer applicants selected for hard-to-fill positions, e.g., critical care nursing.
- Achievement or accomplishment awards
- Payable as a lump sum.
- Based on achievement of: 1) successful results/outcomes; 2) demonstrated initiative beyond expectations; and/or 3) other notable achievements completed either as an individual or as a member of a team.
- Amount will reflect an assessment of the impact of the contributions made, and fund availability.
- Allowance for temporary roles
- Payable when duties performed are not appropriately addressed through base pay (e.g. acting supervisor or mentor).
- Other appropriate factors
- These require the concurrence of the Director, CC. This authority may not be used to compensate for expenses associated with travel and transportation, education and training or other expenses for which a separate financial system is established.
Premium Pay
The premium pay system will be established to reflect practice in competitor hospitals and to meet CC compensation and staffing needs. All Clinical Research Support employees will be eligible for premium pays with the exception of employees in Band III of Clusters 1 and 2 (Note: policy change approved by Dr. John Gallin on 1/9/2006). Premium pay provisions that are available under the Title 38 premium pay system are available for use in the CRS at the discretion of the CC Director.
Rate Adjustments
The Director, CC has the authority to adjust percentages of premium pay based upon surveys of nonfederal medical facilities in the labor market. Adjustments may be either CC-wide or for specific occupations/bands.Alternative Premium Plans
(authority used at the discretion of the CC Director when programmatic need justifies use of this option). Examples of Potential Plans:
- 40 hours of pay for 24 hours of work completed in two twelve hour shifts from 3:00 p.m. Friday to 7:00 a.m. Monday
- 40 hours of pay for 32 hours of work completed over: 1) two twelve hour shifts from 3:00 p.m. Friday to 7:00 a.m. Monday, and 2) one eight hour shift during the week.
- 40 hours of pay for 36 hours of work completed over three twelve-hour shifts during a seven-day work week.
COMPETENCY/PERFORMANCE MANAGEMENT AND ASSESSMENT
Each employee will be subject to the Clinical Center Performance Enhancement and Competency Assessment Programs established to:
- meet requirements of the Joint Commission on the Accreditation of Health Care Organizations;
- reflect CC and NIH performance and organizational goals; and
- permit the assessment of employee growth in competencies as required for Individual Pay Rate determinations.
ADVERSE ACTIONS FOR CAUSE - PERFORMANCE OR CONDUCT
(Applicable to core and temporary supplemental staff. Per diem employees excluded.
Procedures for Temporary Supplemental Appointments
Temporary Supplemental Appointees may be terminated before their expiration dates for cause, e.g., personal or clinical misconduct; lack of satisfactory performance; or for administrative reasons including but not limited to programmatic changes, budgetary constraints, and lack of funds.
Procedures for Core Appointments - Performance
Conditional Period:
Failure of core appointees to meet probationary requirements during the conditional period may result in:
- alternative placement, e.g., placement in a lower band (in which case a new conditional period may be required); or
- termination.
Post-Conditional Period:
Core employees who have completed the conditional period will be notified of unsatisfactory performance and given a reasonable opportunity to improve. During that period, the employee's patient-care activities will be strictly monitored. Employees who fail to improve will either be placed in a lower band or terminated. Employees will have the right to review the documentation supporting the charge(s), and prepare a response to the Deciding Official in writing and/or in person. The response must be made within 15 days of receipt of the proposal (unless extended in writing by the Deciding Official). Employees who are terminated will receive 30 days written notification. Terminations/assignments to a lower band based on unsatisfactory performance will not be appealable.
Procedures for Core Appointments - Conduct
Conditional Period:
Misconduct of core appointees during the probationary period may result in disciplinary action up to and including termination of employment. If a probationary employee will be terminated, he/she normally will receive written notice of termination that addresses the basis for the termination and the effective date of the action.Post-Conditional Period:
The following disciplinary actions are available for conduct-related issues:
- Reprimands: Immediate and higher-level supervisors have the authority to issue formal reprimands. Reprimands will be kept in the Official Personnel File for a maximum of two years. They may be removed earlier at the discretion of the issuing official.
- Suspensions of 14 days or Less: Immediate supervisors may propose suspensions of 14 days or less. The second level supervisor or a higher official will serve as the deciding official for these actions.
- Suspensions of 15 days or More, Reductions in Band or Pay, or Removals: Department/Office Chiefs or higher-level supervisors may propose these actions. The CC Chief Operating Officer will serve as the deciding official for these actions (unless the COO is the proposing official, in which case the CC Director will be the deciding official).
Employees will have the right to a representative of their choosing and the right to review the documentation supporting the charge(s). For actions other than reprimands, employees may also prepare a response to the Deciding Official in writing and/or in person. The response must be made within 15 days of receipt of the proposal (unless extended in writing by the Deciding Official). The Deciding Official will determine whether the charges are sustained and whether the penalty proposed is reasonable given the sustained charges. The Deciding Official may sustain or reduce the proposed penalty.
Procedures for Core Appointments - Furlough
The Director, CC may furlough employees appointed under this authority under the same conditions as may be applicable to Title 5 employees.
GRIEVANCES
Employees are encouraged to have a continuing and open dialogue with their supervisors regarding working conditions, assignments, performance and competency requirements, and other workplace issues. The services of the NIH Ombudsman for Alternative Dispute Resolution and/or Peer Panels may be used where there are disputes with supervisors. No other grievance mechanism will be available.
BENEFITS AND OTHER CIVIL SERVICE REGULATIONS - APPLICABILITY
(Applicable to core and temporary supplemental staff only. Per diem employees excluded.
Basic Benefits
The following selected Title 5 civil service provisions are extended to core and temporary* supplemental staff in the CC Clinical Research Support: Retirement (FERS and Social Security, or CSRS [if individually applicable]); Medicare, FEGLI, FEHB, Training, Occupational Medical Service Facilities, Workers Compensation, Withholding Tax, Medical Qualifications, Standards of Conduct, Restrictions on Political Activity, Outside Work, Conflict of Interest, Tort Claims.
*To be eligible for participation in the retirement, life insurance, and health insurance programs, temporary appointments must be for a period of more than 1 year. Once appointees are enrolled in any of these programs, their eligibility continues into succeeding appointments or extensions -- even if for less than 1 year -- as long as there is no break in service of more than 3 days.
Travel
Appointees may be authorized travel and transportation (i.e., mileage allowance and per diem) to first duty station at the discretion of the CC. Coverage for appointees' immediate families and/or transportation of household effects may be authorized only as an exception by the appropriate review/approving official. Appointees are entitled to travel allowances or transportation and per diem while traveling on official business during the term of their appointments. Travel allowances or transportation from last duty station to place of residence are not authorized for appointees when they leave the Service.
Other Benefits
The basic provisions of Title 5, Chapter 63 will apply
Sabbaticals: Paid or unpaid sabbaticals may be granted to Band II and III employees in the Professional and Associated category of the Clinical Research Support as a means to increase skills and/or as a retention incentive.
Workplace Benefits: Other workplace benefits that are available to other CC staff will be available to T42 staff, e.g., parking, fitness center, day care center, lactation center, family and worklife center, credit union, shuttle service, etc.
Note: Program Proposal approved by HHS Assistant Secretary for Management and Budget, John J. Callahan, on January 4, 2001.
