Management Plan Process Template

 

It is the policy of the university that conflicts of interest must be avoided where possible, and otherwise disclosed and managed. The University of Iowa and its employees are committed to the principle of objective and fair treatment of all employees. Accordingly, it is crucial that university activities be conducted in an atmosphere that is free of actual or potential conflicts of interest that compromise this principle. The Conflict of Interest in Employment Policy protects the integrity and objectivity of university employees in the performance of their university obligations, and supports a workplace environment based in fairness.

See University of Iowa policy related to Conflict of Interest in Employment (Nepotism)

Creating a Management Plan 

Management plans should be prepared and submitted as follows:

  • The first neutral supervisor* prepares the plan to include the elements listed below.
  • The plan is reviewed and approved by the University Official* 
  • The plan is submitted to Committee on the Conflict of Interest in Employment (Nepotism) for review and to be considered for approval. The committee may approve or deny proposed management plans. 

Creating a Management Plan Accordian

Management Plan Content Requirements

The following information must be included in the proposed management plan before submitting to the Conflict of Interest in Employment (Nepotism) Committee.

  1. Names and job titles of the Associated Individuals who have an external personal or professional relationship.
  2. College or division and unit or department of the Associated Individuals.
  3. The sound institutional reason (please see the Conflict of Interest in Employment (Nepotism), Policy Manual, 8.3 Policy) why the conflict is not being avoided, and rather managed.
  4. A description of the conflict of interest that the plan addresses.
  5. A description of the reporting structure(s), to include names and titles, proposed to eliminate a real or perceived conflict related to hiring, salary, resource allocation including grant funding, working conditions, working responsibilities, evaluation, promotion, and termination decisions. NOTE: If the conflict of interest might arise through a hiring decision, then the hiring process itself should be included in the management plan (i.e., the conflicted supervisor must be removed from any discussions or decisions during the hiring process from the point at which a potential conflict was identified).
  6. Two organizational charts (Before and After) of the immediate unit or area to include all relevant student employees, staff, and faculty (refer to templates below). 
    1. The before chart should display the supervisory relationships that would exist if the two Associated Individuals did not have an external relationship (pre-management plan).
    2. The after chart should display the proposed future supervisory relationships for the two Associated Individuals (post-management plan). 
  7. Acknowledgement that an annual written review of the plan, initiated and requested by University HR, will be provided by the senior HR leader of the unit or department regarding the effectiveness of the management plan. In certain cases, the committee may request a written review prior to one year following the approval date.
  8. Acknowledgement that a letter or memo of notification (hard copy or email) will be sent when the plan is implemented and annually thereafter, to staff, faculty, and if applicable, students in the unit who might be in a position to be affected by the conflict of interest. The letter or memo (refer to template below) should be submitted with the proposed plan, and: 
    1. inform recipients of the existence of the conflict of interest and of the plan to manage the situation, and
    2. identify one or more neutral person(s) to bring concerns to regarding the conflict of interest, particularly any negative consequences or other indications that the management plan is ineffective. The neutral person(s) designated may be different for each body of people: faculty, staff, and students.
* First neutral supervisor: the person (usually the director, departmental executive officer, divisional head, dean of the college, or vice president in charge of the department, college, or unit) immediately superior to one of the two Associated Individuals who, if there were no conflict of interest, would have decision-making responsibility relating to the employment status of the other Associated Individual.
*University Official: the person who holds administrative responsibility for the college or organizational unit in which the Associated Individuals are employed. Typically, this is the dean or vice president, or their designee.

Management Plan Templates

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Management Plan Template

Org Chart (pdf)

Memo to Affected Faculty, Staff, and/or Students (pdf)