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2. ARE YOU BEING APPOINTED AS AN SGE? / What to Expect

Thank you for your willingness to serve on an NIH Federal advisory committee (Committee/Board). In order to serve, you must be appointed as a Special Government Employee (SGE), which requires you to take ethics training and complete certain forms to comply with Federal regulations and laws, such as the Ethics Reform Act of 1989, the Immigration Reform and Control Act of 1986, the Debt Collection Improvement Act of 1996, the Federal Advisory Committee Act, and federal civil service employment law.

You cannot be a member of a Committee/Board until you complete the required forms and each document is reviewed, analyzed, and determined to be in compliance by NIH staff.

Please be aware that there are a number of systems you will be using, which are listed below:

  • eCommons: eCommons is an online interface where principal investigators, trainees, and post-docs at institutions/organizations can access and share administrative information relating to research grants.
  • NEES: The NIH Ethics Enterprise System is a secure mechanism to complete and periodically update the OGE 450 report, the New Entrant Confidential Financial Disclosure Report. You use your eCommons account to complete and periodically update the OGE 450 report.
  • USA Staffing: This is the system you will use to complete required Human Resources forms to appoint you as an SGE.

In order to proceed with your appointment, please take the following steps:

Ethics Documentation

  1. Financial Disclosure
  2. Foreign Activities and Lobbyist Certification
  3. Initial Ethics Training

HR Documentation

You will receive an email from theUSA Staffing (USAS) Onboarding System (USAstaffingoffice@opm.gov) with instructions. Once you are in the system, you will respond to an online questionnaire and the responses will populate the necessary forms that are required for an SGE appointment. Once the forms are generated, you will electronically sign the applicable documents. You will also be provided pdfs of certain forms that require an original signature and/or notarization which, once completed, you will upload into your USA Staffing record.

Please note that you are not to respond to the email but to follow the instructions provided therein. Any questions you may have should be directed to the point of contact listed in the email. If you would like to review the required documents beforehand, they are listed below:

Forms that are completed electronically in the USAS Onboarding System:

  • Self‑Identification of Disability (SF 256)
  • Direct Deposit (FMS 2231)
  • Statement of Prior Federal Service (SF 144)
  • Ethnicity and Race Identification (SF 181)
  • Employee’s Withholding Allowance Certificate (W-4)
  • Maryland State Exemption (MW-507) or Withholding Tax Form
  • Educational Date Update Form – note to ORS: there is not an external link to this document, so I have sent you the pdf so that you can create a new link to it.
  • Record of Home Address (HHS 476)

Forms that must be uploaded into the USAS Onboarding System:

  • Immigration and Naturalization Employment Eligibility Verification (I‑9)
  • Appointment Affidavit (SF 61) (form must be notarized)
  • Declaration for Federal Employment (OF 306)

Important information regarding standards of ethical conduct for federal employees and ethics training can be foundhere(note to ORS – see new webpage below)and reimbursement/compensationhere.(note to ORS, see new webpage below)

Confidential Financial Disclosure Report (OGE 450)

The purpose of this report is to assist employees and their agencies in avoiding conflicts between official duties and private financial interests or affiliations. Agency ethics officials will use the information that you provide to determine whether any potential conflicts exist. As an SGE, you are required to file an OGE 450 report prior to your appointment through NEES and then provide periodic updates throughout the appointment. Your OGE 450 reports will remain confidential and are only subject to release in accordance with federal requirements and the Privacy Act, as noted on the form. Designated NIH officials will review the information prior to your initial appointment and then again on each update cycle to help identify any potential conflicts of interest. Please review the OGE 450 report through the above-provided link. Generally, you will need to disclose the following types of financial information for you, your spouse, and/or your dependent children:

  • Sources of income exceeding $1,000 from any non-governmental source, such as domestic and foreign employment, intellectual property (e.g. patents with a royalty sharing agreement), and consultant work.

  • Assets with a value greater than $1,000 such as stock or stock options in publicly-traded and privately-held companies, real estate held for investment purposes, bonds, sector mutual funds, annuities, trusts, and private equity funds (e.g. limited partnerships, hedge funds, venture capital funds, etc.)

  • Any position you hold, such as your employment, advisory board positions, or committee memberships with any non-governmental entity such as journals, professional societies, universities, or for-profit entities.

Foreign Activities and the Emoluments Clause

SGEs are subject to the Emoluments Clause of the U.S. Constitution and/or the Foreign Gifts and Decorations Act. The provisions of these laws will apply at all times during your appointment as an SGE, not just the periods of time you are performing services for the NIH. Generally, subject to some limited exceptions: (1) the Emoluments Clause will prohibit you from holding a position or title with a foreign governmental entity (including certain universities), and from receiving compensation and certain gifts from a foreign government and (2) the Foreign Gifts and Decorations Act will restrict your receipt of gifts from foreign governmental entities (including certain universities), although compensation for services is generally permitted. You will be required to complete the Foreign Activities Questionnaire (HHS 697), which can be foundhere.

Federally Registered Lobbyist Prohibition

To reduce the influence of special interests, agencies may not appoint federally registered lobbyists to serve on Committees/Boards. The prohibition on the appointment of lobbyists applies to SGEs, and for the purposes of this policy, includes any individual who is subject to the registration and reporting requirements of the Lobbying Disclosure Act of 1995, as amended (2 USC 1605). Therefore, you will be required to certify that you are not a Federally-registered lobbyist by completing the form which can be foundhere.

In addition to completing these forms, once appointed, you will have several obligations during the year, such as updating your OGE 450 report and Foreign Activities Questionnaire, completing annual ethics training, and re-certifying that you are not a federally-registered lobbyist. Additional information and guidance about serving as an SGE can be foundhere.(Note to ORS:link to"Are you currently serving as an SGE" page that lists the annual requirements)

Next Step:

If you are interested in serving after reviewing these requirements, you will be asked for the following documents and information by email:Currentversion of your curriculum vitae (CV)

  • Current version of your curriculum vitae (CV)

  • Place of birth and residential address (if this information is listed on your CV, please disregard)

  • Name and contact information for your assistant (if applicable)

  • Your preferred email address

When you log in to youreCommons account, please ensure the following demographic information is entered into your profile:

  • Birth date

  • Employer(s) name

  • Work mailing address

  • Phone number

  • E-mail address

If you have any questions regarding this process or packet, please contact theCommittee Management Contact from your welcome email.

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