ER Procedures for Intramural Employees
INTRAMURAL RESEARCH TRAINING AWARD (IRTA) TRAINEES:
Termination of traineeships may be made prior to their expiration date for scientific or other forms of misconduct, interpersonal incompatibility, or failure to comply with terms of the traineeship or to carry out or satisfy the purpose for which it was awarded.
All termination proposals for cause must be in writing and provide trainees with an opportunity to make a reply before a decision is rendered. Fiscal considerations should not be the basis for early termination within the NIH Intramural Program.
The Office of Financial Management (OFM) and the FAES must be notified immediately and proper clearance obtained when a Traineeship is terminated for cause, to avoid overpayment.Administrative procedures covering IRTA’s can be found in NIH Policy Manual 230-320-7.
IRTAs who are postdoctoral fellows are subject to the guidelines cited immediately below.
POSTDOCTORAL FELLOWS: Guidelines for the early termination of awards to Postdoctoral Fellows can be found in the Office of Intramural (OIR) Sourcebook.Appointments of Postdoctoral Fellows may be terminated prior to their expiration date as follows:
- For incompatibility between postdoctoral fellow and preceptor, a transfer is generally appropriate.
- For unsatisfactory performance, termination prior to the completion of an appointment must be based on rigorous documentation. Notification must be specific and include suggestions for achieving satisfactory performance.The decision to terminate the fellow should be communicated approximately 11 to 12 months prior to the termination date, where feasible.The decision to terminate rests with the Scientific Director of the IC, but it can be delegated to the fellow’s Lab/Branch Chief.In the latter instance, the fellow can appeal the decision to the Scientific Director.
- Swift action should occur in instances of serious misconduct on the part of the fellow, following IC procedures. Normally, this would involve providing due process to the employee; i.e., providing an opportunity to reply to the reasons for any proposed discipline before a decision is rendered.
A decision to not renew an appointment does not constitute an action covered by these guidelines. However, in any case, when feasible, the fellow should be given approximately 12 months notice that he/she will not be reappointed. Decisions not to renew appointments do not require formal justification.
TITLE 42 EMPLOYEES - appointed under 42 U.S.C. 209(f) and 209(g); all members of the Senior Biomedical Research Service appointed under 42 U.S.C. 228; Special Experts for NIH appointed under 42 U.S.C. 282(d)(1); Special Experts for NHLBI appointed under 42 U.S.C. 285b-3(b)(1); and Special Experts for NCI appointed under 42 U.S.C. 285a-2(b)(5).The NIH policy governing Title 42 employees is summarized below:
PROBATIONARY EMPLOYEES
ICs may establish a probationary period of one to two years dependent upon the duties and responsibilities of the position. ICs should establish probationary periods of like duration for positions with like duties and responsibilities. Employees converted to Title 42 from another NIH appointment are not subject to serving a probationary period if they have completed a probationary period under the previous appointment.
To terminate an employee during the probationary period requires that the employee be notified in writing as to why he/she is being separated and the effective date of the action.Information in the notice shall, at a minimum, consist of the IC’s conclusions as to the inadequacies of the employee’s performance/conduct.Probationary employees need not be provided with a formal opportunity period to improve in the event of unacceptable performance nor do they have any right to reply to the notice of termination.Actions are final and not subject to further review.
NON-PROBATIONERS
1. UNACCEPTABLE PERFORMANCE
If at any time during the rating period, a non-probationary employee’s performance is deemed to be Unacceptable in one or more critical elements, the employee will be given a documented performance improvement plan and an opportunity to demonstrate Acceptable performance.If, after the documented opportunity to improve is completed, the employee’s performance has not improved to the Acceptable level, action will be initiated to reduce the employee’s pay or remove the employee.
When the employee is a tenured or tenure-track scientist, specific policies and procedures developed for these positions will apply as appear in the Office of Intramural Research Sourcebook.The employee should be provided an opportunity to improve prior to any recommendation for removal of tenure, and de-tenuring would precede any proposal to terminate the employee for unacceptable performance.
(a) TERMINATION - The employee’s supervisor or other designated official will prepare a recommendation for action and a justification in support of the recommendation.The employee will be notified in writing of the recommendation and the supporting reasons. The employee will normally be provided a period of not less than seven days and not more than 14 days to reply orally, in writing, or both to the IC Director or an individual designated by the IC Director to receive the response. If warranted, extensions of the reply period may be granted.The employee may be represented in this process.The IC Director will consider the supervisory recommendation, the narrative justification, and any response of the employee, and will provide a written decision in the case. In the case of members of the SBRS, the reply will be made to the Director, NIH who will make a final decision.Termination actions are final and not subject to further review.
(b) REDUCTION IN PAY - Where warranted, the employee’s supervisor may recommend a downward adjustment in pay of up to 20 percent or $20,000, whichever is greater, in lieu of termination.The employee will be given a notice and a reply period, same as in (a) above.The decision will be made by the IC Director or his/her designee (in the event that the authority has been re-delegated). The decision is final and not subject to further review.In the case of members of the SBRS, the reply will be made to the Director, NIH who will make a final decision.
NOTE: Tenured investigators are subject to procedures unique to their status, and the OIR Sourcebook should be referenced prior to any the initiation of any action involving their pay.Also, for tenured senior investigators, notice of intent to reduce salary should normally be given in writing at least one year in advance of the action.
2. TERMINATIONS FOR CAUSE OR ADMINISTRATIVE REASONS
Appointments may be terminated prior to the expiration of the appointment period for such cause as personal or scientific misconduct. In rare instances, termination may be based on administrative reasons such as lack of funds. However, a tenured scientist must first go through the de-tenuring process before being terminated for administrative reasons.Title 42 employees recommended for termination will be notified in writing of the IC’s recommendation and the supporting reasons.Employees have the right to reply and to representation, same as in 1(a) above.The written decision will come from the IC Director.In the case of members of the SBRS, the reply will be made to the Director, NIH who will make a final decision.Termination actions are final and not subject to further review.
3. DISCIPLINARY SUSPENSIONS
If termination is not warranted, suspensions for conduct may be recommended by the official who has been delegated that authority by the IC Director. The length of the suspension should generally be consistent with the NIH Table of Penalties. The employee must receive a notice in writing of the suspension and the specific reason(s). Employees will have the opportunity to respond orally, in writing, or both, to the delegated official, and be represented in the process. Normally, a period of not less than 7 calendar days will be provided, with extensions granted, if warranted. The employee will receive a written decision by the IC Director or his designee (in the event that the authority has been re-delegated).In the case of members of the SBRS, the reply will be made to the Director, NIH who will make a final decision.Suspension actions are final and not subject to further review.
4. DISPUTE RESOLUTION
Terminations and suspensions are not subject to review through the usual administrative grievance process, with the exception of EEO allegations raised under a statutory provision, such as Title VII of the Civil Rights Act. Title 42 employees may avail themselves of the services of the NIH Office of the Ombudsman, Center for Cooperative Resolution (CCR).In addition, the Office of Intramural Research (OIR) maintains a process for resolving disputes of a scientific nature, including such issues as tenure, promotion, and science review decisions.Details are provided in the OIR Sourcebook.
