UT regulations

Assessment Requirement

UT Assessment Regulations 1996

An explanation is provided at the end of this document.

Definitions

Article 1

The following terms will have the following meanings in these regulations:

a.   general aspect: the aspect of the work behaviour which is relevant to evaluating the job performance and is applicable to multiple positions.

b.   assessor: the official designated by the assessment authority to make the assessment.

c.   assessment: evaluation of the job performance by the employee which is formulated pursuant to these regulations.

d.   assessment advisor: the personnel advisor responsible for ensuring the proper interpretation and application of these regulations.

e.   assessment authority: the official designated as such by the competent authority.

f.   assessment list: the form in which the assessment is recorded.

g.   competent authority: the University of Twente’s Executive Board.

h.   position: the set of activities for which the employee, pursuant to the assignment given to him by or for the competent authority, was actually responsible during the assessment period.

I.    job component: the set of activities which, by their nature and/or focus, constitute a distinguishable element of the position.

j.    job performance: the employee’s total performance and behaviour while carrying out his position.

k.   performance appraisal: the appraisal referred to in Article 3.2(3) of the Regulations on the Legal Status of Academic Education and Research.

l.    informant: the person who furnishes the assessors with factual information about the employee's job performance.

m.  employee: the person to whom Article 3.2 of the Regulations on the Legal Status of Academic Education and Research applies.

n.   counsellor: a person from the university community or not who is appointed as such for a four‑year period by a Faculty Board on the recommendation of the particular faculty's joint professors.

Assessment period

Article 2

 1.   An assessment will relate to a period encompassing at least six months and at most two years.

2.   At least one performance appraisal must be conducted during the assessment period.

 3.   The assessment period will not include a period for which an assessment has already been determined.

  Assessment time

Article 3

An assessment will be made:

a.   if there is an intention to grant the employee permanent employment;

b.   if there is an intention to give the employee a ‘promotion’;

c.   if denial of an ‘incremental salary increase’ is being considered;

d.   at the immediate supervisor’s and/or assessment authority’s request;

e.   at the employee concerned' s request, but no more than once every two years in principle.

Assessors/Informants

Article 4  

1.   Without prejudice to the provisions in paragraph 2, the assessor will be appointed by the assessment authority, based on co-responsibility for the performance of the employee to be assessed.

2.   In any event, the assessment authority will appoint the following persons as assessors:

      ·      for support and management staff: the immediate hierarchical supervisor;

      ·      for the other academic staff: the professor in accordance with whom the employee works or under whose supervision the employee works, and/or the senior university lecturer under whose supervision the employee works or the project leader (professor or other person);

      ·      for the other academic staff working outside the faculty: the immediate hierarchical supervisor.

3.   No later than two weeks before the preliminary assessment (as referred to in Article 6) is made, the employee will be informed of the intention to conduct an assessment of him.

4.   The employee and the assessors may each designate at most three informants.
Joint informants may be designated. The assessors will consult with the informants designated.

5.   The assessment authority may decide that other officials besides those referred to in the previous paragraphs may act as informants and/or assessors.

6.   The assessment authority may not also act as the assessor. If the assessment authority is the assessor, the competent authority will designate another assessment authority.

Assessment list

Article 5

The competent authority will adopt a model assessment list.

Making the preliminary assessment

Article 6                       

1.   The assessors will make a preliminary assessment while an assessment advisor is present. They will record the evaluation of the job performance in the assessment list.

2.   The assessors will make the preliminary assessment with regard to the general aspects and/or job components.

3.   In making the preliminary assessment, the assessors’ point of departure will be the work assigned by or for the competent authority and the related requirements. Requirements of which the employee was unaware through no fault of his own will not be taken into account.

4.   If the actual work to be performed differs from the work referred to in paragraph 3, the assessors will note this in the assessment list.

5.   The employee will receive a copy of the preliminary assessment as soon as possible, but in any event no later than two weeks before the assessment interview referred to in Article 7 occurs.

Assessment interview

Article 7

1.   The assessors will discuss the preliminary assessment with the employee while the assessment advisor is present.

2.   The assessment interview may give the assessors cause to adjust the preliminary assessment.

3.   The assessors will set forth a summary of the assessment interview in the assessment list as soon as possible after the interview. Any agreements made between the assessors and employee in connection with the assessment interview will likewise be recorded in the assessment list.

4.   The assessors will sign the preliminary assessment. The assessment advisor will also sign the preliminary assessment, unless he believes that this is not sufficiently supported by arguments and/or the assessors have applied these regulations incorrectly. In that instance, the assessment advisor will provide written notice, stating reasons, to the assessment authority.

5.   As soon as possible after the summary of the assessment interview has been set forth in the assessment list, the employee must sign the preliminary assessment as proof that he has seen it.

6.   The employee will receive a copy of the preliminary assessment signed by him as having been seen.

Assessment of professors

Article 8

1. An assessment of a professor will be made:

  1. at the professor concerned' s request, but no more than once every two years in principle;
  2. at the Faculty Board’s and/or the Rector Magnificus request;
  3. if a change in the professor concerned’s legal status is being considered; but in any event at least every six years. 2.   The preliminary assessment will be made in the presence of the assessment advisor by:      ·      the faculty counsellor, if one has been appointed, and      ·      the faculty dean and      ·      if a promotion is being considered, an ad hoc expert from outside the faculty to be appointed by the Faculty Board after consulting with the professor concerned. The presence of the expert will be optional in other cases. The expert must work within the professor concerned’ s field of study. 3.   The vice-chancellor will act as the assessment authority regarding professor assessments. 
  4. Article 3 and Articles 4.1, 4.2 and 4.4 of these regulations will not apply to professor assessments. 

Adopting the assessment

Article 9

 1.   After the employee has signed the preliminary assessment to show that he has seen it, the assessors will submit this to the assessment authority for approval as soon as possible.

2.   If, in the assessment authority’s judgment, the preliminary assessment has been properly formulated and the employee does not exercise the option to file points of concern as referred to in Article 10, the assessment authority will approve the assessment.

3.   The employee will receive a copy of the approved assessment .

Points of concern

Article 10

1.   The employee may file written points of concern, supported by reasons, with the assessment authority within six weeks after receiving the copy of the preliminary assessment referred to in Article 7.6.

2.   An employee who has filed points of concern will be given the opportunity to explain these orally to the assessment authority. The assessment authority may determine that other persons will be present during this meeting as well.

3.   Within six weeks after receiving the points of concern, the assessment authority will take a decision. The assessment authority will take the decision after consulting with the assessors and assessment advisor.

 

4.   The assessment authority will inform the employee in writing whether it has made changes to the preliminary assessment and, if so, which ones. The assessment authority  will indicate the reasons why it has not or not fully accepted the points of concern. The assessment authority will then approve the assessment.

5.   After consulting with the assessors and assessment advisor, the assessment authority may decide not to approve the preliminary assessment, while simultaneously stating when a new assessment will be made and over which period. If this situation arises, the authority will provide written notice, stating reasons, to the employee as soon as possible.

Objections

Article 11

1.   If the employee disagrees with the assessment authority’s decision as referred to in Article 10.4, he may file a letter of objection with the competent authority within six weeks of the date on which the decision in question was announced to him. The competent authority will confirm the receipt of the letter of objection in writing.

2.   If, in the competent authority's judgment, the objections to the assessment authority's assessment are manifestly well-founded in full, it will accordingly approve the assessment within six weeks after receiving the letter of objection. The competent authority will provide written notice to the employee, the assessment authority and the assessors.

3.   In other cases besides those referred to in the previous paragraph, the competent authority will present the letter of objection to an advisory committee for a recommendation. The employee will be given written notice of this.

4.   If the competent authority presents the letter of objection to the advisory committee referred to in paragraph 3, it will approve the assessment, with or without change, within 10 weeks after receiving the letter of objection.

5.   The advisory committee will consist of two officials designated by the competent authority who were not involved in the assessment. The committee will also include an external chairman designated by the competent authority in consultation with the members of the federations of civil servant associations serving in the UT Labour Union (OPUT).

6.   A secretary and a personnel advisor, both of whom to be appointed by the competent authority, will assist the advisory committee.

7.   The competent authority will provide the employee with written notice of the advisory committee’s composition and the names of the secretary and personnel advisor.

8.   Insofar as possible, the competent authority will handle objections to the assessment authority’s decision as referred to in Article 10.5 in accordance with the provisions in paragraphs 1 to 7.

Objection procedure

Article 12  

1.   In the situations referred to in Article 11.3, the competent authority will send the assessment authority’s decision and the objections stated in writing by the employee, as well as any further documents which may be relevant to the assessment of the case, to the advisory committee within one week after receiving the letter of objection. The interested parties may submit additional documents up to 10 days before the hearing.

2.   Within four weeks after receiving the documents referred to in paragraph 1, the advisory committee will hold a hearing. It will at any rate summon the employee and the assessors to appear. The advisory committee will give the employee the opportunity to present his judgment and views regarding the assessment to the committee and to explain these further orally or in writing.

3.   The employee may have a lawyer handle his case before the advisory committee.

4.   Prior to the hearing, the competent authority will make any documents relating to the case available for inspection by the interested parties for at least one week.

5.   The advisory committee will give the employee, the assessors and the assessment authority the opportunity to respond orally or in writing to whatever anyone has put forward.

6.   The advisory committee will timely inform the employee and assessors of the names, location and date on which people will be heard. The employee and/or his lawyer, as well as the assessors, will be entitled to attend these hearings. People may be heard without the employee and assessors being present only with the employee's and assessors' written permission.

7.   Each employee must comply with a summons to appear by the advisory committee and, if requested, furnish any desired information truthfully and without reservation. A report will be drawn up of the hearing. The persons heard will sign the dated report. 

8.   The advisory committee’s hearings will not be open to the public.

9.   Within three weeks of the hearing, the advisory committee will send its recommendation (along with the reports of the hearings), which will be supported by reasons and signed by the chairman, to the competent authority. If the committee is unable to issue its recommendation within this period, the competent authority may extend this period by at most four weeks. The competent authority will inform the employee, the assessors and the assessment authority in writing of any extension.

10. The employee, the assessors and the assessment authority will receive a copy of the recommendation issued by the advisory committee.

Decision by the Executive Board

Article 13

  1. The competent authority will take a decision on the letter of objection within two weeks after receiving the recommendation referred to in Article 12.9. 
  2. The competent authority will notify the employee of the decision by sending or serving it. If the decision on the letter of objection differs from the advisory committee’s recommendation, the competent authority will state the reason for the difference in the decision. The decision will be in the form of a decision which may be appealed and will indicate the competent court and the appeal period. 
  3. The advisory committee, assessors, assessment authority and assessment advisor will receive for informational purposes a copy of the documents sent to the employee. 

Transitional provisions

Article 14

The ‘University of Twente Assessment Regulations 1994’ will cease to apply when these regulations take effect. 

  1. Assessments made before the date referred to in Article 15.3 will be disposed of based on the ‘University of Twente Assessment Regulations 1994’. 

Final provisions

Article 15

1.   The competent authority may deviate from the provisions in these regulations in exceptional cases.

2.   The competent authority will decide those cases not provided for in these regulations.

3.   These regulations will take effect on 1 September 1996 and may be cited as the ‘UT Assessment Regulations 1996'.  

Explanation to the University of Twente Assessment Regulations 1996

Introduction

With the Regulations on the Legal Status of Academic Education and Research (RWOO) having come into effect on 1 November 1995, the rules which the Executive Board adopts for making and adopting employee assessments have gained a new statutory basis. The assessment regulations adopted in 1994 therefore need to be amended. Article 3.2 of the RWOO constitutes the statutory basis for the UT Assessment Regulations 1996. Paragraph 1 of this article reads: “The institutional administration will adopt rules for making and adopting employee assessments.”

In addition, partly at the suggestion of the UT Labour Union (OPUT), the assessment regulations were amended in the following respects:

.     During the period which the assessment encompasses, there must be at least one performance appraisal with the employee to be assessed. The chance that an assessment will generate surprises will hereby be reduced, and the relationship between the assessment and the performance appraisal will be stronger.

·     The new assessment regulations talk about a ‘preliminary assessment’ until the date that the assessment authority approves the assessment. The board thus wishes to emphasize that the evaluation which the assessors record in making the assessment will be preliminary in nature. The interview which the assessors conduct with the employee may give them cause to adjust their evaluation.

·     The employee will receive a copy of the preliminary assessment no later than two weeks before the assessment interview occurs. This period will give the employee the opportunity to prepare for the interview.

·     An informant will no longer sign the preliminary assessment as proof of having seen it. From now on, the informant will merely sign a statement recording the information which the informant contributed in connection with the assessment. The assessors will include the signed statement with the assessment list. In this way, the informant will be unable to find out the content of the preliminary assessment.

General

As stated in previous UT assessment regulations as well, the Executive Board deems it important to make some comments about the relationship between assessments and performance appraisals. The performance appraisal is well suited to evaluating and discussing experiences and expectations at play within an organization regarding the substance and details of the position and the employee’s performance. The appraisal can help ensure that the current job is performed as well as possible under as favourable circumstances as possible. Moreover, the needs and opportunities of the employee, on the one hand, and the unit where the employee works, on the other hand, can be properly attuned. A satisfying work situation can be achieved for everyone through focused agreements. This necessitates insight into the manner in which an employee performs his job and into the expectations and beliefs which he has in that connection (see the ‘UT Performance Appraisal Guidelines 1992’).

If the performance appraisal system works well, the employee assessment will follow from and largely reflect this. An assessment will only occur then in isolated cases, specifically, if certain aspects of the employee's legal status are at issue (for example, granting permanent employment, promotions, dismissals and so forth) or if the employee himself desires this. The legal status-related nature of the employee assessment and the associated appeal options are reasons for giving the employee assessment a separate position.

Article-by-article explanation

Article 1

Although most of the definitions are self-explanatory, a few of them merit some additional explanation.

a. ‘general aspect’

The general aspects pertain to the way of working, viewed in light of:

·     the knowledge and experience necessary to perform the job well;

·     the independence, that is, the latitude given in the position for the employee to think for himself, to take decisions and act himself, and to organize the work and perhaps others’ work himself;

·     the communication skills, that is, speaking and writing as means of communication in performing the job;

·     the contact with the people whom the jobholder must deal with in his work;

·     the necessary due care to perform the work well.

c. ‘assessment’

Assessing employee performance and behaviour is essentially a continuous activity for managers. Part of the regular supervision includes giving assignments, assessing performance, adjusting goals, discussing the results and so on. Such supervision periodically leads to a performance appraisal. The assessment adds an element to this, with respect, for instance, to measures affecting the employee’s legal status.

h. ‘position’

The description of this term is intended to gain a clear picture of the actual situation. The assessment should take place against the background of the work actually assigned. As a result, an employee who cannot entirely handle his organic position (see the explanation to Articles 6.3 and 6.4) and who consequently was not yet or was no longer assigned some of this work (coupled or not with the assignment of other or lighter work) will nevertheless typically receive a good assessment. If the assessment list clearly indicates the work for which the employee was actually responsible during the assessment period, this will not be a problem. In particular, the combination of these notations and the evaluations stated in the list will provide a clear picture of the actual situation. This will also be the case, of course, if a person was assigned more difficult work than the work associated with his organic position. This work will then constitute the point of departure for the assessment.

i. ‘job component

The job components usually correspond to the main components of the position laid down in the organic job description.

j. ‘job performance’

The performance and behaviour to which the job performance pertains cannot be viewed separate from all sorts of circumstances: people do not work in a ‘vacuum’. Often, these circumstances have no or hardly any effect on the quality of the performance. If that is the case, however, this must, further to the evaluation of the performance, be mentioned.

Article 2

Paragraph 1

For the judgment to be sufficiently measured and realistic, the assessment period should not be too short or too long. If the period is too short, there will be an incomplete picture of the job performance. Random incidents may play too big a role. If the period is too long, the picture may be distorted, too.

This article, by the way, is not intended to indicate that an assessment must be made after every period of at most two years. 

Article 3

Certain decisions affecting an employee’s legal status require a formal evaluation of the employee’s performance. If such a decision is being considered, an assessment must be made.

Even apart from any legal status-related decisions, recording a given evaluation in a more official way may be desirable. Performance appraisal reports, for example, may provide reason to make an assessment. The assessment authority, the immediate supervisor and the employee may separately or jointly take the initiative to make an assessment. An assessment may also occur at the employee’s request.

If an assessment is made at the immediate supervisor’s and/or assessment authority’s request, they will inform the employee of the purpose of the assessment in advance.

employee who himself desires an assessment must submit a request, stating reasons, to his immediate supervisor. If the supervisor sees no reason to grant the request, he will deny this request in writing, stating reasons. The employee may file an objection to this denial with the Executive Board within six weeks after his request was denied. In principle, an assessment at an employee’s request will not occur more than once every two years. All of this will depend on the specific circumstances. 

Article 4

Paragraph 1

To promote care, completeness and objectivity in the evaluation process, multiple assessors will generally be involved in an assessment. The person best qualified to act as an assessor in addition to the employee concerned’ s immediate supervisor will depend on the unit’s organizational form. This may be the ‘next higher supervisor’, while engaging others may be desirable in the first instance in project or matrix structures.

Paragraphs 4 and 5

These paragraphs open the possibility of designating informants and/or assessors.

Informants are people who furnish information about the job performance which is factual in nature. Unlike assessors, however, they do not participate in determining evaluations. Obviously, they must have knowledge of the substance of the job and a view of the employee concerned’ s performance.

Article 5

The appendix to this explanation includes the model assessment list.

Article 6

Paragraph 1

The assessment advisor advises and assists the assessors in preparing the assessment, making the factual evaluation and recording that evaluation in the assessment list. He ensures that the assessment method and assessment regulations are applied correctly.

An assessment must be conducted as objectively as possible. It is crucial, then, that the job requirements, arguments, aspects and the like be formulated clearly and precisely.

Paragraph 2

With regard to the ‘general aspects’, please refer to the explanation to Article 1(a).

The assessors will choose the assessment templates (general aspects and/or job components) in cooperation with the assessment advisor. In making this choice, it is important to know which information will be recorded. If the assessors wish to determine whether an organic job is being performed in full, an assessment of the job components makes sense. Assessment based on general aspects may be preferable for positions with more general duties.

Paragraphs 3 and 4

The work which the employee performs ensues from an assignment. This assignment is also called the ‘organic position’. The exact substance of a position need not, though, correspond entirely to the organic position. In practice, the substance of a position will, to a greater or lesser degree, be determined in part by external influences and circumstances and by the person performing the job himself. Reference is made in this connection to the ‘actual position’.

When the assessment is made, it must be indicated whether the actual position is still regarded as an elaboration of the organic position or whether this is a new position. If that is so, the circumstances/reasons which led to this new position being created will be indicated in the assessment list. Thus, in combination with the evaluations stated in the list, a clear picture of the actual situation will emerge.

Besides the substance of the job, the requirements stated for the job performance play a major role in evaluating the work results and the manner in which they were achieved. Job requirements may only be used as a ‘measuring rod’ in making an assessment if the employee was aware of these requirements. Job requirements of which the employee was unaware through no fault of his own must not be taken into account in making an assessment.

Article 7

Paragraph 1

The employee may express his opinion about the assessors’ evaluation during the assessment interview. It is good for the first assessor to lead the interview. He is usually the person best capable of explaining the assessment based on facts. Moreover, this prevents the first assessor from being side lined in his mind or in the employee concerned' s eyes. If the first assessor does not lead the assessment interview, he will at any rate be present at the interview.

Paragraph 3

To avoid misunderstandings later, the main points of the assessment interview will be briefly recorded in the assessment list:

·     the most important points which the assessors raised;

·     any viewpoints expressed by the employee;

·     any instructions and agreements with a view to the job performance in the near future.

The summary may be noted in the assessment list immediately after the assessment interview. In complicated situations, it may be better to allow some time to record the right formulation.

Paragraph 5

The obligation to sign the preliminary assessment as proof of having seen it leaves the employee assessed with the option of submitting points of concern regarding and objections to the assessment.

Article 8

Under Article 3.2 of the RWOO, assessment regulations must provide for the manner in which professors are assessed.

Except in a limited number of respects, these assessment regulations also apply to professor assessments. The exceptions pertain to the assessment time and the assessors/informants to be designated. They relate to the specific position which the professor holds.

Article 9

Paragraph 1

The appendix to this explanation includes a list of officials acting as the assessment authority.

Article 10

The employee may have points of concern about the content of the provisional assessment. He can apprise the assessment authority of these points of concern in writing within six weeks. The appendix to this explanation includes a list of officials acting as the assessment authority.

Article 11

If the employee disagrees with the assessment authority’s decision, he can file an objection with the Executive Board within six weeks. In most cases, the board will ask a separate committee for a recommendation about the case. The employee will receive the outcome on his objection within 10 weeks. 

Article 12  

Paragraph 2

If the employee, without valid reason, does not comply with the advisory committee's summons to appear, the committee may declare that the objections are unfounded. 

Paragraph 8

Due to the confidential nature of the discussions, committee hearings are not open to the public.

Article 13

If the employee disagrees with the Executive Board’s decision, he may, within six weeks after receiving this decision, lodge an appeal with the district court’s administrative law sector. 

The Dutch text of this regulation is binding. In case of a difference of interpretation, this translation cannot be used for legal purposes.