Ethics Procedures

All reports and actions involving senior employees require clearance by the NIH DEC or designee. Actions for employees designated as senior in NEES automatically route to the NIH Ethics Office (NEO). Any hard copy requests should be submitted with relevant supporting information and documentation to the NEO Action Coordinator, with a cc to the NEO Ethics Specialist servicing the IC.

Outside Activities

Official Duty Activities

Gift Exceptions

If several employees from one IC are invited, an IC-specific blanket WAG may be prepared to cover all or any category of invitees.

  • If an IC-specific blanket WAG does not include any senior employees the IC DEC may make the final determination. If several non-senior employees from multiple ICs are invited, each IC may prepare a blanket WAG and the IC DEC may make a determination regarding employees within their IC.

  • If an IC-specific blanket WAG includes any senior employees, the NIH DEC will need to make the final determination.
Beginning in April, 2014, the new Blanket WAG administrative module in EMIS will be used to capture information relating to NIH-wide and IC-specific Blanket WAGs. Individual employee WAG data shall still be entered into the individual employee’s ethics record in EMIS. Before preparing a blanket WAG, each ethics office will check EMIS to see if an NIH-wide or IC-specific blanket WAG has already been entered into EMIS for the same event. If no entry exists, the ethics office shall enter the blanket WAG data into EMIS so that others will be able to search for and view it. This will enable ethics offices to share information and collaborate in obtaining ethics clearance for employees’ acceptance of gifts of free attendance under the WAG mechanism.

Protocol Review (designation after each document shows authoring office and date)

Reporting New IPA Appointees/Detainees

Financial Disclosure

Delegations of Authority

All delegations of authority and any re-delegations are processed through the NIH Ethics Office (NEO) and copies are sent to the Office of General Counsel, Ethics Division (OGC/ED). Contact your NEO Ethics Specialist for assistance with Delegations of Authority and re-delegations.

Beginning in April, 2014, the new EMIS Delegation administrative module will track the delegation of authority from the NIH Deputy Ethics Counselor (DEC) to each IC DEC, and any applicable re-delegation from an IC DEC to an IC Ethics Coordinator or Specialist. The re-delegation information in the Delegation module in EMIS will include details about which authorities are re-delegated.

Managing Non-Compliance with Ethics Requirements

NIH Ethics Office Program Review Guidelines (pdf)

HHS Co-Sponsorship Policy and Model Agreement

Conferences: A Guide for Ethics Officials (OGE, May 2010) (pdf, 50 pages)

Updated: 10/28/14