Management Plan Process Template
The University of Iowa and its employees are committed to the principle of objective, fair, and equitable treatment of all employees. For the purpose of protecting both the integrity and objectivity of its employees in the performance of their university obligations, and to create a workplace environment based in equity and fairness, it is the policy of the university that conflicts of interest should be avoided where possible, and otherwise disclosed and managed. The following process has been established to create a management plan to revise a reporting structure so that no individual has authority to make employment-related decisions for another individual with whom they have a personal or professional relationship outside of the employment setting.
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 through the dean, director, or vice president of the college or division, as appropriate.
- The plan is submitted to the Assistant VP of Employee Relations and Inclusion in university HR.
- The plan will be sent to the Conflict of Interest in Employment (Nepotism) Committee for review.
Creating a Management Plan Accordian
The following information must be included in your proposed management plan before submitting to the Conflict of Interest in Employment (Nepotism) Committee.
- Names and job titles/statuses of the individuals in a personal or professional outside relationship
- College or division and unit or department of the individuals in a personal or professional outside relationship
- 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
- A description of the conflict of interest that the plan addresses
- A description of the reporting structure(s), to include names and titles, proposed to eliminate a real or perceived conflict related to hiring, salary, 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., how the conflicted supervisor was removed from any participation in the hiring process from the point at which a potential conflict was identified).
- 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).
- The before chart should display the supervisory relationships that would exist if the two individuals were not related (pre-management plan).
- The after chart should display the proposed future supervisory relationships (post-management plan).
- Acknowledgement that an annual written review of the plan, initiated and request 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.
- Acknowledgement that a letter or memo of notification (hard copy or email) to staff, faculty, and, if appropriate, students, will be sent annually to anyone 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:
- inform recipients of the existence of the conflict of interest and of the plan to manage the situation, and
- 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.
