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 Supervisor Follow Up Database
Supervisor responsibilities for
- 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.