# Critical Elements for ***Ethics Program Specialist (Grade 13) - 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) based on comprehensive and up-to-date knowledge of
    all 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; conducts extensive investigations
    and/or makes further inquiries to obtain more factual details that
    often are not obvious or readily available; and consults with the
    NIH Ethics Office (NEO) on particularly complex, precedent-setting
    or potentially controversial cases in order to make recommendations
    to the Deputy Ethics Counselor (DEC) 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.

-   Conducts the initial review, thoroughly analyzes, and prepares all
    background information and documentation for all ethics actions
    involving (IC) senior employees (aka "Top Five"), including the
    Director, Deputy Director, Scientific Director, and Clinical
    Director.

-   Provides advice to key officials and other specialists on highly
    complex and/or potentially controversial cases, conducts or advises
    on necessary research, conducts thorough and in-depth analyses of
    complex business relationships, and drafts or assists other
    Specialists in preparing recommendations for action by the 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, and provides advice and assistance to other
    specialists. 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), and provides advice and
    assistance to other ethics specialists. 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, collects and reviews
    all required documentation 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 CRADA conflict-of-interest surveys, and provides timely
    recommendations so that the DEC can clear prior to review by the NIH
    CRADA review committee.

-   Written clearance is provided for guest researcher/volunteer
    appointments in sufficient time to meet appointment deadlines or
    program staff is advised of impediments.

-   Researches, assembles and clears background materials and replies
    for inquiries involving the Ethics in Government Act submitted under
    the auspices of the Privacy Act or Freedom of Information Act,
    coordinating with appropriate IC and NIH staff.

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

-   Identifies and raises legal, policy, and ethics program management
    issues to the DEC that warrant referral to Departmental and NIH
    ethics officials to ensure appropriate level of attention and
    consistent approach in resolution.

### 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.

-   Conducts in-depth background research, analyzes findings, presents
    conclusions, and drafts responses to Congressional, DHHS and NIH
    ethics inquiries in a complete and timely manner.

### 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.

-   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.

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

-   Assists the DEC in developing (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.