This Is Auburn Office of Audit, Compliance & Privacy

Management Plans

Management plans are written documents or statements that enhance transparency and create separation between an employee's personal activities and his/her university work in order to avoid the appearance of impropriety in university decision-making or research. They are created when there is a potential overlap between an individual's outside relationships or interests and their Auburn University responsibilities.

Management plans can be tailored to an individual's circumstances. Employees should work with their supervisor to create a management plan to address their situation.

General Management Strategies

  • Recusal from decisions involving hiring of family members or close friends
  • Recusal from decision involving the outside company with whom the employee has a relationship
  • Limitations on using subordinates or students in outside activities without agreements and/or supervision changes in place
  • Agreements for use of university resources for outside activities (equipment, materials, time, labs/space, etc.)
  • Disclosure of conflicts to research collaborators, team members, and the public in writing, scholarly publications, presentations, and articles/press releases.

Microsoft Word Template Management Plans

Submission, Review, & Approval

For AU Main Campus Investigators
Submit your management plan with your department head's and your dean's signatures (using Adobe Sign) in PDF form to the Research Integrity Manager, Milly Tye at for review and approval signature from the Vice President for Research.

For all other Employees

After working with your department head's and your dean/director/VP's signatures, (using Adobe Sign) in PDF form for review and final approval by the Division of Institutional Compliance & Privacy. Send your management plan to If you have questions, contact Kristin Roberts, Compliance Manager at

Last Updated: May 21, 2020