# Critical Elements for ***Ethics Program Specialist (Grade 12) - 301***

### Implements an ethics program for (IC) that ensures compliance with the full range of ethics, financial disclosure, conflicts of interest, standards of conduct, political activity, and procurement integrity requirements. 

-   Provides advice and makes recommendations to the (IC) Deputy Ethics
    Counselor (DEC) or the senior (IC) Ethics Coordinator/Specialist
    based on up-to-date knowledge of the laws, regulations, judicial
    precedent, policies, procedures and documents applicable to the
    filing, review and approval (including waivers, recusals, and
    authorizations) of Request for Official Duty Memos, Requests for
    Outside Activity (NIH-520), Annual Report of Outside Activities
    (HHS-521), Certification Checklist for Sponsored Travel of Non-FTE
    Person (Appendix 10B), Widely Attended Gatherings (NIH-2803), Public
    Financial Disclosure Reports (SF-278), Cash or in-kind (348) travel
    reimbursements, Confidential Financial Disclosure Reports (OGE-450),
    and Initial Report of Financial Interests in Substantially Affected
    Organizations (HHS-716).

-   For the assigned \[portfolio of (IC) employees OR IC organizational
    components(s) OR specific types of ethics actions\], conducts timely
    reviews of filed reports; thoroughly researches and analyzes the
    information provided by filers; makes further inquiries to obtain
    more factual details that often are not obvious or readily
    available; and consults with the DEC and/or senior ethics specialist
    on complex, precedent-setting or potentially controversial cases in
    order to develop recommendations for DEC action on financial
    disclosure reports, employee requests for approval of outside
    activities, and other ethics clearance matters. Assigned financial
    disclosure documents receive initial review within 60 days of
    receipt or are documented to indicate difficulties.

-   Provides advice to assigned employees and their supervisors on
    complex and/or potentially controversial cases, conducting necessary
    research, including the preliminary analysis of complex business
    relationships, and seeks advice as needed from the senior specialist
    or DEC, including recommendations to address ethics concerns through
    waivers, recusals or divestitures.

-   Reviews, analyzes, and processes ethics actions under the
    jurisdiction of the NIH Ethics Advisory Committee (NEAC) for
    assigned employees, independently seeking advice and assistance from
    the senior specialist as required. In most cases, forwards such
    requests that are submitted complete and timely to the (IC) Office
    of Ethics to the NIH Ethics Office (NEO) at least six (6) weeks in
    advance of the activity or associated travel, giving appropriate
    priority to highly visible or especially sensitive actions.

-   Reviews, analyzes, and processes other ethics actions requiring
    review by the NIH Ethics Office (NEO), independently seeking advice
    and assistance from the senior specialist as required. In most
    cases, forwards such requests that are submitted complete and timely
    to the (IC) Office of Ethics to the NIH Ethics Office (NEO) at least
    four (4) weeks in advance of the activity or associated travel,
    giving appropriate priority to highly visible or especially
    sensitive actions.

-   If less advance time than that stated above exists prior to the
    start date of an activity requiring NEO review, seeks assistance in
    collecting and reviewing all required documentation, necessary, and
    submits to the NEO within five (5) business days of the employee's
    receipt of the invitation, if the invitation is submitted promptly
    upon receipt to the (IC) Office of Ethics.

-   Reviews assigned CRADA conflict-of-interest surveys, and provides
    timely recommendations so that the DEC can clear prior to review by
    the NIH CRADA review committee.

-   Tracks and ensures compliance with annual ethics training
    requirement(s).

### Ensures program accountability by timely filing all reports and maintaining all appropriate records.

-   Enters and updates (IC) information in the electronic NIH Ethics
    Management and Information Systems (EMIS), and maintains hard copies
    of ethics documents for assigned employees in accordance with the
    applicable systems of records to ensure the maintenance of accurate
    and up-to-date data on the NIH Ethics Program.

-   Provides information to the DEC for all recurring DHHS and NIH
    workload reports in a complete and timely manner.

-   Assembles background materials for Congressional, DHHS and NIH
    ethics inquiries in a complete and timely manner and participates in
    drafting responses to highly sensitive, complex or controversial
    inquiries, or prepares draft replies for straightforward fact-based
    inquiries.

### Ensures that the (IC) Ethics Program provides for employee awareness and compliance through training, administrative reminders and alerts, and ongoing consultations and advice to employees, supervisors and administrative staff. 

-   Renders prompt and informed advice and counsel to managers and
    employees on all aspects of the NIH Ethics Program including
    conflict of interest, standards of conduct, representational
    activities, salary supplementation, post-employment restrictions,
    and political activities, independently seeking advice from the NEO
    or senior IC ethics staff, as deemed necessary.

-   Program areas/employees are advised promptly of any impediments or
    delays related to requested activities.

-   Provides timely notification to newly covered employees of their
    requirement to file financial disclosure report(s), due dates, and
    potential sanctions for failure to comply.

-   Provides assigned employees who are SF-278 filers with advice and
    information on the annual requirement to file, and provides advice
    and instructions for completing the necessary forms or using the
    optional NIH Ethics Enterprise System (NEES) for the preparation of
    SF-278s.

-   Responds to inquiries from incumbent OGE Form450 filers related to
    the 2006 shift to an annual rather than fiscal year reporting
    period, waiver of the October 2006 filing, and the revised filing
    date (February 15, 2007) in accordance with OGE notices and NIH
    instructions. Provides advice and assistance on the final amended
    OGE Form 450 and related information, including the revised criteria
    for designating confidential filers and information required to be
    reported, and instructions for completing the report. Researches
    questions not addressed by existing information or instructions.

-   Provides regular updates and guidance on new policies and procedures
    and changing requirements to (IC) top management and assigned
    employees through meetings, emails, and other appropriate means.

-   Participates in the development of (IC) communication strategies,
    standard operating procedures and training materials.

-   Assists the DEC in ensuring that all covered and new (IC) employees
    receive ethics training in compliance with OGE regulations and HHS
    and NIH instructions by tracking and reporting on completed training
    for assigned employees.