Outside Activities
- NIH uses the NIH Enterprise Ethics System (NEES) for submission and review of outside activity requests (HHS-520) and for the outside activity annual report (HHS-521). Guidance in the following documents is relevant, but go to https://nees.nih.gov/ instead of submitted paper forms. Logon onto NEES using your regular NIH logon and password.
- Submission of the HHS-520 Request for Approval of Outside Activity (pdf, 10 pages)
- Review of HHS-520 Request for Approval of Outside Activity (pdf, 8 pages)
- Completion and Review of HHS-521 Annual Report of Outside Activity (pdf, 6 pages)
- NIH Ethics Advisory Committee (NEAC) Jurisdiction
- Acts of Self-Dealing: Prohibited Compensation from Private Foundations: The Internal Revenue Service (IRS) code prohibits compensation by private foundations to certain Government employees for "acts of self-dealing," e.g., an outside activity. Read the details on this page.
- Award from Outside Organization: Acceptance of gifts associated with an award from an outside organization requires advance approval. NIH policy requires use of the NIH Enterprise Ethics System (NEES), https://nees.nih.gov/ to electronically submit and review form NIH-2854 Request for Approval to Accept Gifts Associated with an Award from an Outside Organization (Rev 8/09). When you complete and submit the form in NEES, it is routed to your supervisor, who will add his or her recommendation and forward your request to your IC Ethics Office. Your Deputy Ethics Counselor will determine the permissibility of acceptance of the award and you will be notified of the decision. To obtain form NIH-2854, go to the forms page.
Awards with cash (or equivalent) gifts require prior review and confirmation that the award meets the regulatory criteria before NIH employees may accept a cash prize. See information on the Awards topic page. Ethics officials will follow the detailed procedure for submission of the review request package, including use of the current summary review form (dated 8/7/12) (pdf format, fillable form being developed).
The Internal Revenue Service (IRS) code prohibits compensation by private foundations to certain Government employees and prohibits agreements to make payments of money or property to these employees. The cash prize associated with an award may also be considered compensation. See details about the prohibition on the page entitled Acts of Self-Dealing: Prohibited Compensation from Private Foundations" for details.
- Honorary Degree. Acceptance of an honorary degree requires advance approval. Use form NIH-2855 Request for Approval of an Honorary Degree (Rev 08/09) to obtain advance approval to accept and to set the period of disqualification. Complete the form, attach a copy of your notification letter, sign, and forward the package to your supervisor, who will add a recommendation and forward the package to your IC Ethics Office. Your Deputy Ethics Counselor will determine the permissibility of acceptance of an honorary degree and you will be notified of the decision. To obtain form NIH-2855, go the forms page. When the form is available in NEES, submission and review will be accomplished electronically.
- Free Attendance using the Widely Attended Gatherring (WAG) Exception. Acceptance of free attendance requires advance approval. For example, if you are invited to attend a dinner or reception where you are not presenting nor notparticipating in another way other than as an attendee, you would obtain approval using form NIH-2803 Request to Accept Free Attendance Under the WIdely Attended Gathering Exception (Rev 12/11). NIH policy requires use of the NIH Enterprise Ethics System (NEES), https://nees.nih.gov/, to electronically submit and review the form. You will be required to attach an electronic copy of the invitation. When you complete and submit the form in NEES, it is routed to your supervisor, who will add his or her recommendation and forward your request to your IC Ethics Office. Your Deputy Ethics Counselor will determine the permissibility of acceptance of the free attendance and you will be notified of the decision. To obtain form NIH-2803, go to the forms page..
Protocol Review (designation after each document shows authoring office and date)
- Procedure for Ethics Review and Clearance of Clinical Protocols (NEO, 1/12) (pdf, 7 pages)
- Approval of Expedited Review Memo (DDIR, 5/10) (pdf, 1 page)
- Protocol Review Flow Chart (NEO, 8/10) (pdf, 1 page)
- Personal Financial Holdings Clearance Form (Word) (NEO, 9/10)
- Guide to Completing the Personal Financial Holdings Clearance Form (OIR/CC, 3/08) (pdf, 3 pages)
- A Guide to Preventing Financial and Non-financial Conflicts of Interest in Human Subjects Research at NIH (OIR/CC, updated 5/08) (pdf, 6 pages)
- Email from OIR/CC diseminating review forms and information (OIR/CC, 3/08) (see also its attachments)
Reporting New IPA Appointees/Detailees
- Memo from NIH Deputy Director Initiating Reporting Requirement (8/24/07, pdf, 2 pages)
- Spreadsheet to report new IPA, use directed by above memo (8/24/07, Excel)
- HHS 717-1 Confidential Report of Financial Interests in Substantially Affected Organizations for NIH Employees (The HHS-717-1 is available on the forms page.)
- Employees: Detailed Instructions for Submitting the HHS 717-1 (revision pending)
- Supervisor: Detailed Instructions for Supervisor Review of the HHS-717-1 (revision pending)
- Ethics Officials: Detailed Instructions for Reviewing the HHS 717-1 (revision pending)
Managing Non-Compliance with Ethics Requirements
- Procedure for Managing Employee Non_Compliance with Ethics Requirements (Using Form NIH-2850) (pdf)
- Form NIH-2850 Referral for Non-Compliance with Ethics Requirements (pdf)
- Table of Penalties (pdf)
- Procedure for Form NIH-2802 Annual Report of Referrals for Non-Compliance with Ethics Requirements (pdf, 2 pages, Rev 1/12)
- Form NIH-2802 Annual Report of Referrals for Non-Compliance with Ethics Requirements (Summary of Form NIH-2850) (Word, Rev 1/12)
NIH Ethics Office Program Review Guidelines (pdf)
HHS Co-Sponsorship Policy and Model Agreement- Memorandum from the HHS General Counsel regarding Co-Sponsorship of Events (8/8/02, pdf, 4 pages)
- Memorandum from the HHS DAEO regarding Co-Sponsorship of Events (8/8/02, pdf, 12 pages)
- Model Co-Sponsorship Agreement (8/8/02, Word)
Conferences: A Guide for Ethics Officials (OGE, May 2010) (pdf, 50 pages)
Updated: 9/13/12