Supervisor ResponsibilitiesSupervisor responsibilities Q &A
Conflict Management plan Q & A
What is a supervisor, chair,
or other manager’s responsible for in the CERT program?
- Completing an e-CERT for their employment
situation in accordance with the requirements.
- Become knowledgeable about the program using the
resources provided, tutorial, quiz, website, examples, FAQ’s, etc.
- Participating in discussions with their
employees who reveal a real or potential conflict of interest. Assist
employees in finding answers to their questions about how to comply.
- Discussion should include what to avoid, how to
modify situations to avoid conflicts of interest, or whether another type of
remedy is warranted.
- Contacting a key resource office (left menu bar
of the CERT website) to discuss how to handle a situation disclosed by the
employee if you are uncertain.
- Documenting the discussion and agreement of a specific
conflict management plan. The documentation should include a date of
discussion, names of parties to the discussion, how the conflict of interest
(or potential of) will be managed, eliminated or avoided. Share a copy
with the employee and retain a copy in the employee’s departmental file.
- Follow up or monitor situations that require a
conflict management plan as appropriate. Bring issues of concern to
another manager in your management reporting chain OR contact the appropriate
key resource office for assistance.
- Report anything you are not comfortable with
until you are satisfied that the situation has been handled correctly.
What is a conflict management plan? eCERT Supervisor Follow Up Database
A conflict management plan may include any of the
- Avoiding certain types of activities. There will be
some circumstances when it is necessary for an employee of the university
to cease certain activities (external or internal) in order to reduce the
risk of conflict of interest in their NAU position.
- Minimize the risk of a potential conflict of interest
by establishing an arrangement that is agreed upon by the management
chain, key resources offices, and/or university counsel that helps the
institution avoid and/or properly manage the potential conflict.
- Disclosing certain relationships or outside interests
to NAU. In some cases additional actions may be required beyond
disclosure, but not always.
management plans should be discussed between the employee with the real or
potential conflict and their supervisor/chair/manager. Discussion and agreements
to manage or avoid the conflict of interest or cease certain activities should
be documented and retained by the supervisor or a member of the management
reporting chain. The supervisor or manager should also monitor the
situation to ensure that the agreement is being followed. Conflict
management plans may also need to be shared with certain key offices (HR,
Legal, Affirmative Action, Research) depending on the nature of the situation.
eCERT Disclosure Status Database
eCERT Supervisor Follow Up Database
Login here to determine which of your employees need documented conflict management plans.
Supervisor responsibilities for follow up:
- Log in at the link above periodically, but at least every 30 days to review the disclosures made by employees that report directly to you, found on the "needs review" tab.
- Review the data for the faculty or staff that report directly to you, and make a determination as to whether a conflict of interest exists or may have the potential to occur.
- Ensure that a conversation occurs to gather more information, if needed, and discuss how to manage, avoid or eliminate any real or potential conflict of interest.
- Document the conflict management plan within the eCert Supervisor Follow-up database, if one is needed. Instructions are provided within the database.
Supervisors’ responsibilities to check for eCERT completed statuses and conduct following ups:
- Log in by clicking on the link above, at least every 30 days, to review the statuses of eCERT disclosures by the employees who report directly to you to determine who has not completed their eCERTs.
- Remind your employees to keep their eCERTs current. eCERT disclosures are required to be completed or updated by all employees within 30 days of their hire date, on an annual basis, or within 15 days of when their circumstances change, which can include but not limited to NAU relationships, outside employment or sponsored projects that affect the accuracy of their previous disclosures. Employees who are not current will continue to receive the biweekly email reminders and if the employees are not responsive within a few weeks of the notice, the supervisor must conduct a follow up.
- To accurately pull or filter the report for all employees who report directly to you, please type “your name” in the SEARCH box.
- Deans, department heads and vice presidents are encouraged to periodically check the overall completion status of other units within their reporting scope for any significant outstanding issues (such as someone that has Never Completed the eCERT and has worked at NAU for a while, or a significant number of employees Expired or Never Completed within a unit).
- To sort the data to your specifications, use the column headings, the search box, or look for specific information on the report. You will automatically see all statuses with this color-coding: Current – green, Expired – yellow, and Never Completed - pink. You can narrow what is displayed by typing in the key word such as Expired or Never Completed in the search field to see only those that need follow up. Please pay particular attention to those that have expired greater than 30 days or those that indicate never completed and are not recent hires.
- The Excel function button will allow you to export the same data showing to a spreadsheet format. This is the format you would use to send to an administrative staff person or other supervisor (if needed, for follow up). Only supervisors that have employees reporting to them in the “Reports To” table in PeopleSoft will be able to view information in the database and then only the data of those employees reporting directly to them or to another supervisor that reports within their scope of reporting will show.