By Dan Harper, Associate Director, Labor & Employee Relations
In the September, 2010 issue of HR eNews, we reviewed the evolving standards of scrutiny which the Inspector General and the Ethics Office have applied to situations where relatives are employed at UIC. In the January, 2011 issue, we clarified the support resources available to Campus units when questions arise. This month, we’ll review why the Management Plans are required and share an analysis of why a Nepotism Management Plan is advisable for both the employees and the University when relatives are employed.
Why is a Management Plan required?
Article IX, Section 2 of the Statutes directs each Chancellor to develop procedures to ensure that no conflicts of interest will exist due to the hiring of relatives. UIC HR Policy #313, which implements that Statute, states:
“It is the responsibility of each unit/department/college to review all situations involving the employment of relatives, to assure compliance with this policy and to resolve any potential conflicts. All cases involving members of the faculty will be reviewed and approved by Faculty Affairs; academic administrative and professional staff (including employees with hourly appointments), graduate students with hourly appointments or assistantships, and cases involving civil service staff or extra help must be reviewed and approved by UIC Human Resources; and, those cases involving UIC undergraduate students with appointments must be reviewed and approved by Student Employment. In cases involving an interaction between areas of responsibility, these offices will act jointly.
It is the obligation of staff members to call to attention situations in which they could be in violation of this policy and to remove themselves from initiating or participating in any institutional decisions involving a direct benefit to a relative or domestic partner covered by this policy. In such cases, the department, unit and/or college must develop a decision-making procedure bypassing all the related parties. Such procedures must be agreed to and approved through all administrative levels. In all cases, approval must be obtained from the appropriate human resources office as defined above.
For new hires, there must always be review and approval if two members of the same family are to be employed in the same unit. For changes in existing positions that might create a supervisory relationship in the same unit, review and approval are also required. In all cases, the fact that the unit has met the obligations of this policy should be reflected in unit personnel files available for audit.” (Emphases added.)
Based on the resolution of an investigation ordered by the Ethics Office following a complaint to the Inspector General, the Ethics Office recommended that UIC HR make document templates available to employees so that they could disclose existing familial relationships, even if they are employed by separate units. (The Ethics Office refers to these “decision-making procedures” as “Management Plans”.) This recommendation was based on the high level of inter-departmental transfers which have been completed on the campus. In the case of new hires with relatives already employed on Campus, the Ethics Office required that the Employment Office receive a Management Plan in all cases where the applicant for employment has acknowledged on their application that a relative is employed at UIC. However, as the Policy states explicitly, it the responsibility of the Campus units to ensure compliance with the Policy. UIC HR is available to provide document templates (which have been approved by Legal) and advice as requested.
How does a Management Plan benefit employees and the University?
When two or more relatives sign a Nepotism Management Plan, they openly acknowledge the familial relationship, so there can be no basis to suggest that they have attempted to disguise or hide the relationship. If (or more likely when, in this environment of heightened scrutiny by the media, particularly of ethical issues in the University setting) the University receives a FOIA request about a nepotism concern, the employees will be protected from challenges regarding the employment relationships as they have complied with the most recent advice from the Ethics Office. They have committed to not influencing a relative’s employment in any way and they’ve met the full requirements of the Policy (which, after all, recognizes that relatives may be employed).
In the same way, the University and its officers have some assurance, as the employees have acknowledged that they are familiar with the University Statute and Policy which prohibits either or any of them to intervene, interfere, or influence in any way the terms and conditions of employment of the other(s). Explicitly, they acknowledge that violation of the Policy may lead to termination of their employment. If an employee does in fact violate the Policy after submitting a Nepotism Management Plan, the University will be able to investigate the specifics and take appropriate action. That response will confirm that the Policy has been implemented effectively, and that it worked as it should. Full compliance with the Policy provides the best protection for the University and any involved administrative officers.
Other Considerations
Our evolving experience with the implementation of the Policy and the Management Plans indicates that we need to be especially sensitive when one or more of the related employees are in supervisory roles or when they are in positions which by their nature tend to have influence or impact on others. These may include human resources, business and grant management, or policy roles. Our experience also indicates that hiring units may be well-advised to consider the long-term impacts of hiring relatives of current employees, as the related employees (and the unit itself) may find their flexibility and promotional opportunities limited - - as none of the related employees, regardless of their skills or performance, may be promoted to a supervisory level where they might influence personnel decisions for their relative. Whether this and other factors induce a hiring unit to extend its search for the best candidate is, of course, a decision for the unit itself to make.
Specific question or concerns can be discussed with Dan Harper at X34788. The templates for Nepotism Management Plans are currently being revised so that they can be completed online, but existing formats can be used to protect employees, candidates, and the University while the revisions are made.
