Extramural/OD Title 42 Model – Proposals July 27, 2006

2 Contents Slides  Fundamental Goals of Model3  Extramural/OD Model4  Framework5  Extramural/OD Categories 6-9  Responsibilities and Oversight10-13  Implementation: Moving Current T42 Employees to New Model  Review and Placement14  Those Who Don’t Fit15-16 National Search17 Exhaustion18-19 New Hires/Conversions (Placement in Model)20 Future Movement of Title 42 Employees21 Non-Citizens22

3 FUNDAMENTAL GOALS  NIH will make appointments in compliance with governing Title 42 laws, regulations and policies  Any increases in number or compensation are appropriately justified

4 Extramural/OD Model  Provides a workable methodology for categorizing the majority of non- intramural positions Identifies positions for Title 42 and for other mechanisms OER test modeling by a subset of ICS indicates that most non-intramural positions can be accommodated within proposed categories

5 FRAMEWORK  Six categories of positions with the following professional designations: Scientific Executives – Title 42 (f) Science Policy Leader or Science Program Leader –Title 5 or Title 42 (f) Science Policy Analyst or Science Program Analyst – Title 5 Health Science Program or Review Officers – Title 5 Senior Scientific Officer – Title 42 (f) Program Coordinators and Specialists – Title 5

6 Scientific Executive Category  Title 42 (f)  Recommended as a categorical exception to the exhaustion requirement  Coverage limited to scientific positions at the highest levels in the OD/NIH and in ICs OD/NIH Office Heads reporting to the Director, NIH, and Deputies reporting to Office Heads Extramural division directors reporting to the IC Director  Consistent with IC Director Compensation Model, pay will be determined based on Position and Incumbent Pay factors and recommendations will be reviewed by NIH Deputies for approval by Director, NIH Position Pay < $30,000 IC Directors’ Position Pay

7 Science Policy Leader or Science Program Leader Category:  Title 5 or Title 42 (f), depending upon position requirements and employee impact  Coverage includes: Scientific supervisory positions that report to Scientific Executives and that direct, coordinate, and manage science policy and/or program activities Non-supervisory Senior Scientific Advisors reporting to the Director or Deputy Directors, NIH and IC Directors who advise on or manage broad, emerging and cross- cutting science policy and/or program activities Non-supervisory Senior Scientific Advisors reporting to Scientific Executives in the OD/NIH and ICs who coordinate, manage and/or provide advice on science policy and/or program activities on behalf of NIH  Use of Title 42 is subject to exhaustion requirements, Committee review and NIH approval

8  Title 42 (f)  Unique or hard-to-fill positions in medical or scientific specialty areas where the specialty is required by the position and is defined before recruitment  To recognize the unique and market-driven qualifications required, pay should be set using the IC Director Compensation Model, for review by the NCC Position Pay < $40,000 IC Directors Position Pay Senior Scientific Officer Category

9 Remaining Categories  Title 5 Science Policy Analyst or Science Program Analyst Health Science Program Officer or Health Science Review Officer Program Coordinator or Program Specialist

10 RESPONSIBILITIES AND OVERSIGHT  OER will have responsibility for: Monitoring compliance with governing requirements Monitoring category placements & compensation for equity and consistency across NIH Data gathering & analysis, including consideration of RNO & gender factors Monitoring use & growth of T-42 Tracking movement of “grandfathered” employees Collecting data to justify categorical exceptions

11 RESPONSIBILITIES AND OVERSIGHT, con’t.  Establish Extramural/OD Title 42 (f) Committee (ETFC) Similar to OIR’s Central Tenure Committee Members – Senior representatives from extramural and OD programs  Recommended membership, to be approved by the Steering Committee, includes:  Deputy Director, NIH – Chair  DDER – Vice Chair  2 IC Directors – One as Vice Chair  2 Extramural Program Directors  2 Deputy Directors  OD Policy/Program Representative

12 RESPONSIBILITIES AND OVERSIGHT, cont’  ETFC Responsibilities Advisory to the Deputy Director & Director, NIH Broad oversight and peer review responsibility for all aspects of extramural/OD Title 42 (f) appointments, including but not limited to:  Review individual professional designations – upon initial implementation, subsequent hires and conversions, and movement of Title 42 employees  Concur that exhaustion requirements have been met  Review requests to waive exhaustion requirement  Peer review for new hires and conversions

13 RESPONSIBILITIES AND OVERSIGHT, con’t  Implement as 1-year Pilot Provides time to collect data to support any categorical exceptions to the exhaustion criteria Provides time to test criteria  Pay Range Determinations Recommend that Pay Ranges for each Title 42 (f) category be established after employee placements/designations are approved

14 Moving Current T42 Employees to New Model – Review & Placement  IC proposes initial placement in a category  Review by ETFC and approval by Deputy Director, NIH  Once approved, action will be processed by the OHR/CSD Branch to officially change employees’ titles  No increases in pay during initial placement process

15 Moving Current Title 42 Employees to New Model – Those Who Don’t Fit  Employees who don’t fit will be “grandfathered” The IC may recognize the employee doesn’t fit and not propose placement or ETFC may determine the employee doesn’t fit  OER and OHR will maintain records of “grandfathered” employees

16 Moving Current Title 42 Employees to New Model – Those Who Don’t Fit  “Grandfathered” in current job Will remain in Title 42 or be moved to another appropriate appointment mechanism Will be assigned a professional designation under the new Model Those remaining in Title 42 will be eligible for increases, etc. as provided by the NIH Title 42 Pay Model

17 National Searches  National searches required for all Title 42 (f) categories covered by this model ETFC to define national search criteria ETFC approval required for all search plans  Permits identification of broad and diverse candidates

18 Exhaustion  All Title 42 positions covered by this Model are subject to the HHS “exhaustion” requirement – i.e., other mechanisms must be exhausted before Title 42 is used Categorical Exceptions  Must be approved by the Director, NIH, based on appropriate supporting data (e.g. recruitment difficulties, AAMC data, salary data for newly hired/tenured Senior Investigators)  Current exceptions are “top 5,” Senior Investigators, & “direct report” scientific program heads Individual Exceptions  Must be approved by the Deputy Director, NIH following review and recommendation by the ETFC

19 Exhaustion, con’t  For positions where exhaustion is required, OER and OHR/CSD will develop advertising/recruitment requirements addressing: Length of announcement Area of consideration Appropriateness of concurrent advertisement Inappropriate advice to candidates  ETFC must concur that exhaustion requirements have been met before Title 42 search is initiated  Cannot “exhaust” for positions in categories that are not Title 42. That is, although recruitment difficulties may be shown for other positions, Title 42 can be used only for positions identified in the Model as appropriately filled under Title 42

20 New Hires/Conversions (Placement in the Model)  For equity of treatment and consistency in application of criteria, all new hires and conversions of scientists not currently in Title 42 will be subject to peer review by the ETFC Except, “Top 5” scientists are reviewed under other processes, either by NIH Deputy Directors or as required by OIR  ETFC will review assignment of professional designations to individual scientists  During the pilot, the Deputy Director, NIH, will approve individual professional designations  Assuming candidates are found eligible for Title 42 following peer review, pay will be established in accordance with provisions of the NIH Title 42 Pay Model.

21 Future Movement of Title 42 Employees Movement of Employees Who Remain in Title 42 is subject to prior review by the EFTC  Title 42 to Title 42 No pay increase, within same category, similar duties and scope of responsibility Permissible. No search or exhaustion required.  Title 42 to a different Title 42 category Different category, greater duties and responsibilities, immediate or potential pay increase Possibly subject to exhaustion and requires Title 42 search (and possible NCC review if required by NIH Title 42 Pay Model)  Title 42 to non-Title 42 science position Permissible. No search or exhaustion required. Employee will be “grandfathered” in new position  Title 42 to non-Title 42 non-science position Title 42 not permissible; Title 5 or SES

22 Non-Citizens  Non-citizen doctoral scientists may be selected and appointed to Title 42 positions on the same basis as citizens  Employment of non-citizen doctoral scientists under Title 42 to fill Title 5 science positions is permissible Recruitment and any subsequent movement may be subject to “exhaustion” requirement Appointments will be time-limited NTE 5 years, with the possibility of renewal Pay will be set equivalent to what appointees would otherwise have received under Title 5 ICs may hire without further review unless the NIH Title 42 Pay Model requires pay review