The Result & Development Cycle Guide for members of staff and supervisors TU Delft 101122
Foreword Dirk Jan van den Berg President of the Executive Board Nynke Jansen HR Director It is our ambition to be a world-class university the preferred choice of students, research partners, associates and staff members. Important steps toward achieving this ambition include formulating clear goals at all levels: at the level of the institution, faculty, board, department, team and the individual. Goals that can be expressed as tangible results and demonstrable development. The Result & Development Cycle is an instrument that can help translate organisational aims into individual goals. The contents of this brochure will help you achieve success in your R&D cycle. Please read it carefully. The R&D cycle is at the heart of our personnel policy; it fosters dialogue between supervisors and staff members on work-related and development-oriented goals. It is part of our efforts to achieve our ambition of being a world-class university. We wish you every success with your R&D cycle.
Contents Introduction 4 The R&D cycle 6 1 Annual report 7 2 R&D meeting 12 3 Feedback and finalisation 20 4 Progress interview 22 Preliminary consultation 24 Evaluation consultation 26
Introduction Getting people to do their best means allowing and encouraging them to use their qualities to the best of their abilities. At the same time, they also have to be given the opportunities and resources that will help them in their personal development. TU Delft uses the Result & Development Cycle as an instrument to monitor and promote the performance and growth of staff members and the university organisation as a whole. Personal and professional development is an ongoing process that we promote through a cycle of planning, implementation, evaluation and new rounds of planning. Our aim is that all staff members should be able to achieve a qualification good or higher to draw out the best that each of us has to offer. Who is this guide for? This guide is intended for members of staff and supervisors to assist them in preparing and conducting the R&D interviews. The next chapter presents some basic information about the Result & Development Cycle (R&D cycle). Later chapters contain more detailed information on each step of the cycle. This brochure is meant to be a practical guide to the 2009 R&D Regulations for TU Delft staff members. Article 5 (Quality Assurance) states in brief that TU Delft applies the regulations with an emphasis on quality, legal equality and the equal treatment of staff members. This guide will tell you how the regulations are implemented in practice. 4 The Result & Development Cycle Delft University of Technology
How should you read this guide? This guide is meant for members of staff and supervisors. Some of the information is intended specifically for staff members. Other sections are meant just for supervisors. Some of the information is useful for everyone. This symbol indicates a useful tip The first part of this guide concerns the core of the R&D cycle: the annual report, R&D meeting, feedback and finalisation. This section is written with staff members in mind. The second part is about how we ensure the quality and diligence of the cycle: through evaluations and preliminary consultations between supervisors. This section is written from the perspective of supervisors. More information? More information on the R&D cycle can be found on the TU Delft website, A-Z index, under R&D cycle. The documents and forms you will need are also available here. 5 The Result & Development Cycle Delft University of Technology
The R&D cycle The R&D cycle focuses on results that are to be achieved and targets for development. It starts with agreements on these topics between supervisors and staff members, and ends with an assessment of the agreements. The entire cycle, from beginning to end, comes full-circle in the R&D meeting. The full R&D cycle consists of a number of steps. Staff members, for example, prepare for their R&D meeting by writing an annual report. Supervisors engage in preliminary consultations and they evaluate these talks afterwards. Progress interviews are planned throughout the year. The cycle is shown schematically on the next page. This chart shows all the steps of the R&D cycle at a glance. It also shows how all the steps relate to each other through the course of a year. All steps are dealt with in the following chapters. Privacy The R&D cycle is confidential. Documents and forms should therefore be dealt with in the strictest confidence. Documents relating to individual staff members may be accessed by the staff member in question, the supervisor, the co-assessor, an HRM staff member and the assessing authority. Others may see the documents only if the staff member has given express permission to do so. Please take care when printing the documents: fetch them from the printer straight away and do not let them lie about. The finalised report will be filed by HRM in the staff member s personnel file. Any draft versions will be destroyed. 6 The Result & Development Cycle Delft University of Technology
january Preliminary consultation february Writing the annual report Progress interviews Feedback & Finalisation R&D interview evaluation consultation march Writing the annual report Reflection on performance and development in the past year Result & Development interview Evaluate and make annual agreements for results and development Feedback & Finalisation Preliminary consultation Agreement on qualifications, criteria and standards. Relationship between organisation and individual goals Evaluation consultation Reflection on qualifications Discuss remuneration and development proposals Progress interviews 7 The Result & Development Cycle Delft University of Technology
Evaluation Development of the R&D cycle itself is also an ongoing project. The R&D cycle is evaluated annually in the third quarter. What is working well and what can be done better? Suggestions for improvements are taken seriously and are regularly included in the manual and on the various forms. If the regulations need to be amended, then the Executive Board will be informed. Topics that are reviewed during each evaluation include: - diligence of the process: duration, provision of information, etc; - user-friendliness of guides and forms; - the support provided to staff members in their personal and professional development; - content, accessibility and participation in R&D training sessions; - assessment criteria and qualification requirements; - university and staff member perception of performance, growth and growth potential; - the application of competencies. 8 The Result & Development Cycle Delft University of Technology
1Annual Report You will write your annual report in preparation for your R&D meeting. In your report you look back on the previous year. Did you live up to your agreements? What were the highlights? And the disappointments? The report presents your own vision on your performance and the goals that you set for yourself. Your supervisor uses your report as input for the assessment. Moreover, it can also serve as a good basis for the agreements you will make for the coming year. 9 The Result & Development Cycle Delft University of Technology
Who must write an annual report? Mandatory for staff members in salary scale 10 or higher; Staff members in salary scale 9 or lower are encouraged to write an annual report. What do you need? R&D form (TU Delft website, A-Z index, under R&D cycle) Contents You describe the results that you achieved in the past year, both quantitatively and qualitatively. You should also write how you arrived at your results. Use any feedback (formal or informal) that you received from colleagues and co-workers in the course of the year. Also describe what you have done to further your personal and professional development. This could include courses and seminars. The basis of your report should be: the annual agreements that you made during your previous R&D meeting; any interim (extra) agreements; the UFO profile and UFO competencies that are assigned to your position. Then you prepare a proposal for the results that you want to achieve in the coming year. Furthermore, you write down your ambitions for your personal and professional development in the short and long term. Be balanced in your reporting. Describe positive results but also things with which you are less satisfied. TU Delft makes use of job descriptions and competencies according to the University Job Classification system (UFO). This system gives you access to the Digital Feedback Instrument (DiFi), a tool that you can use to assess your competencies yourself. You can also ask others to use DiFi to provide feedback on your competencies. You can then use this feedback as input for your annual report. 10 The Result & Development Cycle Delft University of Technology
When must the report be submitted? Send your completed annual report to your supervisor at least two weeks before your R&D meeting so that he or she has enough time to prepare for the interview. The earlier in the R&D cycle that your supervisor has your annual report, the better. Your supervisor will appreciate being able to use the annual reports from you and your colleagues as input for the preliminary consultations (see page 24). More information? Examples of annual reports: TU Delft website, A-Z index, under R&D cycle. Assistance in completing the annual report: your supervisor or an HR advisor. Job descriptions, competencies and Digital Feedback Instrument: TU Delft website, A-Z index, under UFO. R&D training focusing on writing an annual report and other topics: please see the TU Delft website, A-Z index, under R&D cycle for training sessions, dates and registration details. 11 The Result & Development Cycle Delft University of Technology
2Result & Development meeting The R&D meeting is your opportunity to evaluate your results and development during the past year together with your supervisor. You share your expectations with each other and you reach solid agreements for the coming year. 12 The Result & Development Cycle Delft University of Technology
Who is involved in the R&D meeting? Staff member and supervisor; Possibly a co-assessor. What will you need? R&D form (TU Delft website, A-Z index, under R&D cycle) The interview The interview can be broadly split into two parts: an assessment of your performance and development in the past year, and agreements for the coming year. There are three kinds of agreements: agreements on your results, on your competencies and on your personal development. Below you can see how these interviews are structured and what is discussed: 1. Introduction 2. Assessment of the past year: - Performance: results, competencies and development - Evaluation - Feedback about your supervisor 3. Agreements for the coming year: - Results - Competencies - Career and development A short description of all these components can be found on the next page. 13 The Result & Development Cycle Delft University of Technology
1 Introduction Your supervisor welcomes you. He or she provides you with an initial impression of your performance in the past year. If you have submitted an annual report, your supervisor will tell you his or her first impressions of your report. 2 Assessment of the past year: Performance: results, competencies and development You talk with your supervisor about your performance and about the development of your knowledge, skills and attitudes (competencies) during the past year. What went right? What could have gone better? You will have the opportunity to provide more information on what you have written in your annual report. Your supervisor may wish to add some information or qualify things you have written. The part of the interview covering your performance will be based on: - earlier agreements (that may or may not have been amended); - information from colleagues or direct co-workers; - the UFO profile and the UFO level that are assigned to your position. Evaluation Your supervisor gives substantiated, partial evaluations on the most important components of your job. You may also receive an evaluation on the competencies that were involved in last year s agreements. Your supervisor will discuss with you what went well and where you still have some work to do. You will then receive a final evaluation. In formulating the final evaluation, your supervisor looks at your results and what you have done to achieve them. The final evaluation is not necessarily the average of the partial evaluations. Some partial evaluations may be of greater influence than others in the final evaluation. Your final assessment will belong to one of the six categories. It cannot consist of a combination of two categories. (Please see the table on page 15 for an explanation of the qualifications.) Feedback about your supervisor You will also have an opportunity during the interview to share your thoughts on your supervisor with him or her. As a member of staff you are eminently suited to tell your supervisor what he or she can do to encourage you and indicate anything that hampers you in your performance at work or in your development. This need not be written literally in your report. You should also establish agreements on the following: what is your supervisor going to do in the course of the next year to ensure that you are able to perform to the best of your abilities? Together with your supervisor you could decide to make the agreements part of your R&D form, header interview notes. These agreements will be part of your supervisor s own R&D meeting. 14 The Result & Development Cycle Delft University of Technology
Qualification Explanation Excellent E The employee performs above and beyond his or her job description in all regards; and is one of the top-performing members of the department and faculty and achieves excellent results. Outward behaviour (and/or): is influential and highly present; is exemplary (role model, also in behaviour) for other employees. Very Good VG The employee performs above and beyond most aspects of his or her job description; achieves very good results and is one of the top members of staff in the department. Outward behaviour (and/or): requires little or no management and supervision; exhibits exceptional effort; is proactive, submits proposals for improvement; delivers consistently high quality. Good G The employee performs above and beyond some aspects of his or her job description; performs well in all areas and achieves the agreed results. Outward behaviour (and/or): hardly needs to be managed; is clearly committed; has a proactive attitude at work. Sufficient S The employee performs exactly according to the requirements of the job; Outward behaviour (and/or): Performs within the specifications of the job; Is proactive to a limited degree; requires management and supervision. Nearly Sufficient NS The employee does not (yet) fully meet the requirements of the job description; performs below standard, should and can achieve better results. Outward behaviour (and/or): is willing, but not (yet) able; shows a lack of effort; regularly makes mistakes; needs too much management/supervision. Insufficient I The employee does not meet the requirements of the job description; exhibits unsatisfactory performance in carrying out tasks and achieving results; is unfit for the position; there is an insufficient match between the staff member and the job requirements and the mismatch cannot be reconciled within a reasonable amount of time. Outward behaviour (and/or): makes too many mistakes; displays insufficient commitment or needs too much time; is unable to perform adequately in spite of supervision. 15 The Result & Development Cycle Delft University of Technology
3. Agreements for the coming year Results What are you planning to do in the course of the coming year? You will discuss the results that you intend to achieve in the year to come that will require extra effort and time. You will establish agreements for all key components of your job for the year to come. While coming to these agreements you should of course keep the university organisation in mind, as well as your department s goals, your UFO profile and your own desires for the future. Make sure you know what the organisational and departmental goals are. Positions and core activities Each UFO position has certain associated core activities. There may be anywhere from six to twelve per position. Since it would be difficult and time-consuming to discuss them all individually, it is better to group them in four convenient main constituents. A few examples: - Associate professor, assistant professor and professor: education, research, valorisation and organisation/leadership - Secretary: mail and appointments, correspondence, HR and F&C processes, organisation/coordination - Teaching and research officer: educational support, research support, equipment management and development, department wide contribution - Domain manager: TU Delft-wide policy, faculty policy/projects, advisory role, department management Competencies Competencies are the knowledge, skills and attitude you need to do your job well. It is therefore important that you establish agreements on the development of these competencies, for example by enrolling in a course, taking on a particular project or doing some on-the-job training. You will also discuss whatever else you might need to help you realise your annual agreements, for example: funding, training, coaching, specific forms of guidance from a supervisor, a software package, etc. 16 The Result & Development Cycle Delft University of Technology
The most essential competencies are defined according to UFO position. These competencies are mainly intended to serve as a basis for dialogue on personal development. Of course, you can always agree with your supervisor that there are other competencies that are important for your performance. Sometimes rewording a certain competence for yourself works better than using an existing definition. Competencies are linked to the UFO profile. Look under the A-Z index under UFO for more information. You will find clear definitions, key questions and targeted development tips. Professional and personal development Finally, you will talk with your supervisor about your personal ambitions and what you can do to achieve them. How can you best go about utilising your strengths? What are your weaknesses? How can you work on them? You will also discuss how you see your career progressing. What other position might you want in the future? What kind of growth and development will you need in order to increase your chances of securing that job? Issues like these are also part of your annual agreements. These kinds of agreements are called a Personal Development Plan (PDP). As a member of staff you are responsible for your own development. Your supervisor has an advisory and supporting role. Make SMART agreements: - Specific: concrete, unambiguous and clear. - Measurable: how much, how good, how long, when, how much money, etc. - Acceptable: both you and your supervisor should be in agreement. - Realistic: feasible in time, money, facilities etc. - Time-based: establish the end date and interim checkpoints in advance: progress must be measurable. 17 The Result & Development Cycle Delft University of Technology
Be prepared: tips for supervisors - Speak with staff members regularly during the year about how they are getting on with the agreements that you have made. Comment regularly on their day-to-day functioning; give praise or offer constructive criticism. An evaluation interview is not the time for surprises. Use the preliminary consultation to prepare for the R&D meeting. - Take notes on the performance of the employee throughout the year. This will allow you to back up the evaluation with concrete examples. - Use information from a co-assessor and co-workers of the staff member that you are evaluating. If the staff member has been part of a project team, ask the project manager for feedback; if he or she supervises others, ask his or her staff for input. Choose your informants with care so that you get a complete picture of all aspects of the staff member s performance. - Read the staff member s annual report carefully. Formulate your vision of what the report states in advance. Think of concrete examples of behaviour and performance in order to substantiate your vision. - Think in advance about whether the staff member s current position is still suitable for him or her. Is it time for new challenges? Is this still the right position for this member of staff? Consider whether the staff member might benefit from a course or a particular project which will allow him or her to work on competency development. A tool to make and discuss a Personal Development Plan can be found on the TU Delft website, A-Z index under R&D cycle. - Identify which qualification best suits the annual results of the employee. Do this for each component and for everything together. Thoroughly substantiate your evaluation. - Think about the ambitions of the department. Also consider what you want to mention in the context of the staff member s own performance and ambitions. - Use the preliminary consultations to prepare for the R&D meeting. - Make clear agreements. This reduces the risk of misunderstandings, conflicts or ambiguities about mutual expectations. - If it is necessary to alter your agreements later on this year, please use the form progress interview. - Make no promises about performance-based remuneration; this is to be dealt with in the evaluation consultation. 18 The Result & Development Cycle Delft University of Technology
Be prepared: tips for staff members - Ask your supervisor for feedback regularly throughout the year. This will give you the opportunity to adjust your agreements from time to time and you will get a clearer idea of what your supervisor finds important. - Take a moment to review your UFO profile and the competencies for your position before your interview. - Write a balanced annual report. Describe the highlights and disappointments that you experienced for each agreement from the previous year. Use concrete examples wherever possible. Ask colleagues and co-workers for their opinion and use them in your report. - Think about your own ambitions (even if you do not necessarily want to move to a different position). What are your career and development needs? Substantiate your report thoroughly. Place your needs and desires in the context of the ambitions of the department. If you want to know more about the ambitions of the department, prepare your questions for your supervisor in advance. A tool to make and discuss a Personal Development Plan can be found on the TU Delft website, A-Z index under R&D cycle. - Think about what you hope to achieve in the year to come. - If it is necessary to alter your agreements later on this year, please use the form progress interview. More information? Examples of completed R&D forms: TU Delft website, A-Z index, under R&D cycle. Info about the co-assessor: TU-website, A-Z index under R&D cycle Assistance in completing the R&D form: your supervisor or an HR advisor. Job descriptions, competencies and Digital Feedback Instrument: TU Delft website, A-Z index, under UFO. R&D training focusing on conducting R&D meetings and other topics: please see the TU Delft website, A-Z index, under R&D cycle for training sessions, dates and registration details. 19 The Result & Development Cycle Delft University of Technology
3Feedback and finalisation The R&D form will be filled in further after the R&D meeting. It is important that you are both in agreement about the text of the report. Once you have signed, the report will be entered into your personnel file. 20 Resultaten & Ontwikkelingscyclus Technische Universiteit Delft
Who is involved in the report? Supervisor and staff member; Assessing authority (approves the report). What will you need? R&D form (TU Delft website, A-Z index, under R&D cycle) Contents The report of the R&D meeting contains your evaluation, supporting information, the annual agreements and career development goals. You sign your evaluation as seen and the annual agreements as approved. Your supervisor sends the original documents to the assessing authority for final approval. You and your supervisor both get a copy of the approved report. The original is recorded in your personnel file. Once you and your supervisor have received a copy of the approved R&D report, you can start working on the agreements for career development, training and other activities. You may, of course, find that you are not in agreement with your evaluation. You can then write to the Assessment Authority and request a review. Do this within two weeks of signing your R&D report. Send your supervisor a copy of your letter. You and your supervisor will be invited by the Assessment Authority to explain your request. The Assessment Authority will strive to bring the matter to a mutually satisfactory conclusion. If you and your supervisor (and the co-assessor, if applicable) are unable to come to an agreement, then it may be up to the Assessment Authority to come to a final decision. If you disagree with the Assessment Authority s decision, you can lodge an appeal. Your appeal must be sent in writing to the Executive Board within six weeks of the date of the Assessment Authority s decision. When must the report be signed? You must sign the report within two weeks of the interview. The Assessment Authority will approve the report within eight weeks. 21 The Result & Development Cycle Delft University of Technology
4Progress interview A progress interview is held midway through the assessment period to see how things are going with the annual agreements. This provides an opportunity to change or supplement the agreements. 22 The Result & Development Cycle Delft University of Technology
Who is involved? Staff member and supervisor What will you need? Progress interview form (TU Delft website, A-Z index, under R&D cycle) The interview The progress interview provides a moment to pause and consider the agreements you have made. You and your supervisor will have a look to see if you are on track. Are you going to be able to make your agreements work? Is your personal and professional development progressing as planned? If necessary, you can update or supplement your agreements. Your supervisor will record these amendments to your agreements. These additions and changes, taken together with the annual agreements you made at the beginning of the year, form the basis for your next R&D meeting. Progress interviews are held at your request, or at the behest of your supervisor. If your performance last year was evaluated as nearly sufficient or insufficient, then a mandatory progress interview will be scheduled. The progress interview is to be held no later than nine months after the R&D meeting. Your supervisor will initiate this meeting. More information? Assistance in filling out the Progress interview form: your supervisor or an HR advisor. 23 The Result & Development Cycle Delft University of Technology
Preliminary consultation Supervisors prepare the R&D meetings in an intervision-like setting (peer review) during the preliminary consultation. You and your colleagues discuss the various job categories within the department. You also see to it that everyone applies the qualifications in the same way. Please note: The preliminary consultation and everything that is said is confidential. Deal with staff member records with care and discretion. Destroy them immediately if they are no longer needed. 24 The Resultaten & Development Ontwikkelingscyclus Cycle Delft Technische University Universiteit of Technology Delft
Who is involved? Varies by faculty or directorate; depends on the group of staff members under discussion; The dean and the HR manager decide on participants in the preliminary consultations within the faculties. The director and HRM decide for the University Corporate Office. The HR advisor prepares the consultations with the head / deputy head of department. Here is an example: who is present during the preliminary consultation? - During discussions of academic staff and management and support staff, the following individuals are present: the dean, the departmental director, research group leaders, the director of education, the deputy head of department, HR advisor and the HR manager. - When faculty-based M&C staff members are being discussed, the following are present: Director of M&C, M&C managers and the HR advisor. What will you need? Prep sheet (list of staff members and relevant information, available from HR advisor) Staff members annual reports (to be used as input by you) Schedule for the preliminary consultation (available from HR advisor) The consultation This consultation gives you and your fellow supervisors an opportunity to discuss what you expect of staff members in relation to the objectives of the department. You look at the multi-year plan of the department and how it influences the development potential of staff members. You also discuss the significance of qualifications, criteria and standards, for example, what is the difference between an excellent employee and an employee who is very good? When should a staff member s evaluation be sufficient and when nearly sufficient? What supporting information do you need if you plan to give someone an insufficient evaluation? During the consultation managers together discuss the performance of their employees. This consultation is in general terms and on the basis of indicative assessment. By sharing the different points of view, together we will come to a balanced judgement. This will lead to a careful development of the employee s assessment. You will be encouraged in the consultation to approach the R&D meetings with an open mind. In other words: have the courage to be honest about the performance of staff members and linked to that provide substantiated qualifications. Of course important is your honest attitude in this meeting. 25 The Result & Development Cycle Delft University of Technology