• TU/e Ancillary activities regulations
• TU/e Scientific Integrity Regulations

You can download an ancillary activities form here (Word) en here (Pdf)

General

Pursuant to the conditions of the Netherlands Universities CLA, clause 1.14, employees are obliged to inform their employer of their ancillary activities before commencing them or on commencement of the employment contract. Ancillary activities may only be executed with the employer's permission. The aforementioned CLA condition provides the opportunity to set further rules; these regulations provide further elaboration on that point. These regulations include stipulations that support the Netherlands Scientific Practices Code of Conduct.

*For ease of reading, we have opted for the 'he' form. This can also be read as 'she'.

In general, the TU/e takes a positive attitude towards its employees executing ancillary activities. Ancillary activities, either executed in association with regular activities or not, can encourage a positive interaction between the TU/e and its social environment. Ancillary activities may, however, conflict with the interests of the TU/e. For that reason, the TU/e adheres to openness in respect of the discussion of ancillary activities between employees and managers.

Ancillary activities are tested in relation to the university function, any revenue and other university interests. Agreements are concluded in respect of the income from paid ancillary activities within the framework of the function. Ancillary activities should be declared beforehand to the manager (often the director of operational management or the head of department).

Data registered on ancillary activities (function, organisation, place, date of commencement, time involved, term of appointment, paid/unpaid) of scientists, members of the Executive Board, members of faculty boards and heads of department can be called up individually via the TU/e website.

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

1. Manager: the person charged with the mandate or sub-mandate in respect of personnel affairs.
2. Direct superior: the person charged with the day-to-day management of the employee.
3. Employee: the person with an employment contract with the university with the exception of trainee assistants.
4. Ancillary activities: paid or unpaid activities and/or affiliations that could affect the interests of scientific practices and/or the university.
5. Income: a monetary remuneration or other financial interest.
6. Working hours: the working hours agreed in the employment contract.

Clause 1:

The employer is obliged to declare his ancillary activities to his direct superior beforehand or prior to commencement of the employment contract. This declaration should include the following:

1. a description of the ancillary activities and/or function
2. the name of the organisation and the place where the activities are executed
3. the date of commencing the ancillary activities
4. the period in which the activities are executed and the appointment term
5. an estimation of the amount of time involved in the activities and an indication of whether this is during or outside working hours
6. whether there is any remuneration or other financial interest

Clause 2: The direct superior tests the declaration against the current and future proper, independent execution of the university activities and any income involved. The direct superior then advises the manager in respect of these aspects.

Clause 3:

1. Ancillary activities may only be executed with the employer's prior permission. Permission is granted for executing ancillary activities outside working hours, unless there are serious operational reasons not to.

2. Agreements are concluded by the manager and the employee regarding income earned from ancillary activities during working hours. See explanation

Clause 4:

The manager informs the direct superior of his proposed decision. If this deviates from the direct superior's advice, after hearing the employee he will enter into consultation with the direct superior to see whether they can come to a unanimous opinion.

Clause 5:

The manager takes a final decision and informs the employee in writing within 10 days of having received the declaration of the (proposed) ancillary activities.

Clause 6:

A positive decision by the manager is valid for the term of four years with the possibility of an extension. The employee should inform the manager of any changes in relation to the ancillary activities.

Clause 7:

An objection to a decision by the manager can be lodged with the Executive Board pursuant to the General Administrative Law.

Clause 8:

Appropriate disciplinary measures can be taken against members of personnel failing to comply with ancillary activities regulations, in accordance with what is defined in the Netherlands Universities CLA clause 6.12.

Clause 9:

These regulations apply from 1 January 2007 and can be cited as "Regeling Nevenwerkzaamheden 2007" .

 

Notes of explanation on the TU/e Ancillary Activities Regulations 2007

Ancillary activities, examples:

Paid or unpaid activities and/or affiliations that could affect the interests of scientific practice and/or the university are considered to be ancillary activities. Some examples are:

• Functions such as supervisory director, advisor, investor, board member or partner of a partnership, foundation or association that is regularly in contact with the university or can come into contact with the university by virtue of its function
• Acting as a (guest) lecturer for third parties*
• Participating in a research project for third parties
• Fulfilling the function of advisor for an external organisation

Agreements will be made with the manager regarding any revenue earned from paid ancillary activities.

The following are NOT considered to be ancillary activities in the context of these regulations: All other paid or unpaid activities that, due to their nature or the time involved, bear no relation to the function or the employment contract, that clearly cannot affect the interests of the university and that are executed outside working hours.

*Here, we refer to situations such as providing a series of paid lectures for an organisation such as TIAS, not giving a one-off guest lecture at another university.

Declaration

It is essential to declare ancillary activities to the manager and for the direct superior to discuss them with the employee for the transparency the TU/e aims for. In principle, the employee himself is responsible for assessing whether ancillary activities are permissible in his actual situation. To prevent arguments in retrospect regarding the accuracy of the consideration, it is necessary for the activities to be declared beforehand. This also prevents the necessity to either cease activities that have already been started or take other measures. Ancillary activities should be declared using a form (on commencing employment) or web page (for current employees).

Evaluation

Permission will be granted if the activities can be expected not to hinder the employee in the quantitative and qualitative execution of the function or harm the interests of scientific practice and/or the university. For employees working for a faculty, the dean must always examine the declaration before it is signed by the manager. Reasons for the prohibition of executing ancillary activities will be provided for each application and are open to objection and appeal.

Ancillary activities involving income.

If there is any income from ancillary activities, further agreements are made by the manager and the employee establishing whom that income is due to (partly or entirely). Issues taken into account in this consideration can include: the relationship between the activities and the main activities, whether the activities take place (partly) during or outside working hours and how the level of the remuneration can be defined in relation to professional independence.

In principle, the remuneration for ancillary activities outside working hours is due to the employee, unless the knowledge and/or resources of the TU/e are used for these activities. If TU/e knowledge/resources are used for activities outside working hours, agreements are made by the manager and the employee regarding any income and/or cost distribution.

Appraisal

The subject of ancillary activities should be dealt with annually in the appraisal meeting between the employee and the direct superior, whereby the permitted activities should be tested for their effect on the qualitative and quantitative deployability of the employee within the TU/e. Any changes in the activities should be declared/discussed.

Transitional regulation

When these new regulations for ancillary activities are introduced those current activities for which explicit permission has been given earlier must be reviewed. In a number of cases, a new decision will be necessary in the context of the new evaluation. If this decision is not positive, a realistic term will be set for terminating the activities in question or bringing them in line with any new conditions.

1. General

All those involved in scientific education and research within the TU/e are personally responsible for maintaining scientific integrity.

The general principles of professional scientific practice, as defined in the "Nederlandse Gedragscode Wetenschapsbeoefening" , must be complied with at all times. This code of conduct, which was established by the Association of Universities in the Netherlands in December 2004, makes existing practice more explicit and elaborates further on the "Notitie Wetenschappelijke Integriteit"  issued by the Royal Netherlands Academy of Arts and Sciences in 2001. The code of conduct was declared applicable within the TU/e as of 20 January 2005.
All scientific staff are obliged to behave in accordance with the code of conduct.

Young scientific staff of the TU/e are therefore obliged to participate in the course scientific integrity. More information on this course

The Executive Board also endorses the way in which the Royal Netherlands Academy of Arts and Sciences memorandum of November 2001 interprets the principles of scientific integrity.

One of the ways of testing scientific integrity is the university staff's right to complain about breaches of that integrity. To implement that right to complain, the Executive Board was defined the regulations below. These include a regulation for conducting an investigation into breaches of scientific integrity, at the request of the Executive Board.

2. Confidant and confidential committee for scientific integrity

a. Task

1. The scientific integrity confidant (hereinafter referred to as the confidant) investigates complaints concerning acts of commission or omission on the part of university staff that are in contravention with the Netherlands Scientific Practices Code of Conduct.
2. The confidant advises the Executive Board, enlisting the aid of (members of) the confidential committee for scientific integrity (hereinafter referred to as the confidential committee) on whether complaints are grounded or not and any consequential measures to be taken.
3. The confidential committee is independent in its judgement forming.

b. Appointment and composition

1. After seeking advice from the Doctorate Board, the Executive Board appoints the confidant and the other members of the confidence committee for a period of four years. Reappointment is possible.
2. The following are required for appointment as a confidant or other member:
• Extensive experience in research or design and in education, preferably gained  at one or more Dutch universities
• The ability to deal with differences of opinion and conflicts
• Familiarity with the management organisation of the universit 
3. The Supervisory Board, the members of the Executive Board, the members of management of the departments and other course directors are not eligible for appointment.
4. Interim dismissal of the confidant or the members of the confidential committee by the Executive Board is possible:
• at the request of the confidant or member him/herself
• due to dysfunction as confidant or member
• if he/she no longer fulfils the requirements for eligibility for appointment
5. The confidential committee is composed of the confidant, who is also a member and its chairman, and at least four other members.
6. In the absence of the confidant, one of the other member acts as acting confidant and acting chairman of the confidential committee.
7. The Executive Board provides administrative support for the confidant and the confidential committee.

c. Methodology

1. The confidant deals with complaints that fulfil the following requirements:
• Clear description of the act of commission or omission by one or more persons providing scientific education or conducting scientific research at the TU/e
• Statement of name and function of the complainant, with, where possible, a statement of his/her specific interest in the actual act of commission or omission by the person(s) against whom the complaint has been made
2. After consultation with at least 2 of the members of the confidential committee, the confidant informs the complainant and the Executive Board of the admissibility of the complaint within ten working days. He can offer the possibility to elaborate on the complaint.
3. The confidant informs the person(s) against whom the complaint has been made of the complaint and of his decision regarding admissibility.
4. The confidant submits an initial complaint to the confidential committee.
5. The confidant appoints at least two members of the confidential committee to deal with a complaint. Together with him, they constitute the complaints committee. No members of the confidential committee are eligible for appointment who are involved in any way in the facts relating to the complaint.
6. The complaints committee hears the evidence of those involved in the complaint. The hearings take place individually and in person. In exceptional cases, the complaints committee can decide that the complainant and the person(s) against whom the complaint has been made are to be heard in each other's presence. Hearings are not held in public. A confidential report of the hearing is compiled.
7. The complaints committee is entitled to gather information from all university staff and university bodies. It is entitled to peruse all documents it considers important for settling the complaint. The complaints committee may consult experts. A confidential report of the consultation of experts is compiled.
8. The complaints committee can investigate the possibility of an amicable settlement of the complaint after consultation with those involved.
9. The complaints committee informs the complainant and the person(s) against whom the complaint has been made of its proposed conclusion regarding the complaints, providing them with the opportunity to respond within ten working days. The complainant and the person(s) against whom the complaint has been made may peruse the documents on request.
10. After expiry of this term, the confidant submits advice to the Executive Board on behalf of the confidential committee regarding whether the complaint is grounded and any measures to be taken.

3. Disciplinary procedure

1. The Executive Board adopts its initial judgement within two weeks of receiving the confidant's recommendation. It immediately notifies the complainant and the person(s) against whom the complaint has been made of the judgement in writing. The complainant and the person(s) against whom the complaint has been made receive a copy of that advice.
   The advice is then public. 
2. The complainant and the person(s) against whom the complaint has been made can request the Landelijk Orgaan voor Wetenschappelijke Integriteit , within six weeks of receipt of notification by the Executive Board, to give advice regarding the Executieve Board's initial judgement. If requested to do so, the confidant will immediately send copies of all documents relating to the complaint to the NCSI.
3. If no advice is requested of the NCSI within the term defined under 2, the Executive Board adopts its judgement regarding the complaint and makes a decision regarding any consequential measures to be taken.
4. If advice is requested from the NCSI, the Executive Board adopts its judgement regarding the complaint after receipt of that advice. It also decides any measures to be taken pursuant to its judgement.

4. Amicable settlement

If an amicable settlement has been reached or the complaint has been withdrawn or the person(s) against whom the complaint has been made has conceded to the complainant's complaint to the complainant's satisfaction, then the complaints committee ceases to deal with the complaint. The complainant and the person(s) against whom the complaint has been made and the Executive Board  will be notified in writing.

5. Investigation at the request of the Executive Board 

The Executive Board can request the scientific integrity confidential committee to conduct an investigation into a suspected breach of scientific integrity. Clause 2C paragraphs 3 to 10 and clauses 3 and 4 apply here.

6. Justification

The confidant and the confidential committee are answerable to the Executive Board and report annually on their activities. The Executive Board submits the annual report to the University Council for its information.

7. Confidentiality

The confidant and the members of the confidential committee are obliged to maintain confidentiality concerning whatever has come to their knowledge in that capacity.

8. Final stipulation

The confidential committee is authorised to advise the Executive Board on matters occurring before the introduction of the Netherlands Scientific Practices Code of Conduct on 20 January 2005.

These regulations were defined by the Executive Board on 8 September 2005 and came into force on 8 September 2005.
Last changed and defined on september 18 2008. 

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