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The Evaluation Office of the University of Zurich (UZH) regularly conducts evaluations for all areas of the University. The UZH Regulations for Evaluations (RE) govern the purpose of the evaluations and define the concept, mission, organization and purview of the Evaluation Office. The Evaluation Process generally includes a self-evaluation (self-evaluation report, possibly supplemented by survey reports and reports on publishing activity) and an evaluation by external experts. In order to develop evidence-based self-evaluations, it is necessary that the offices conducting the evaluation be granted access to all information (= non-personal and personal data) and that the members of the units under evaluation cooperate by taking part in surveys and in discussions with the external experts, among other things.
The information collected is used for the purposes defined in the Regulations for Evaluation or the evaluation mandate and the respective evaluation agreement, particularly the collection and advancement of the quality of the scientific work in research, teaching and services, as well as the quality of the work in management and administration. The object and purpose of the evaluation are set out in section 6 and section 2 of the RE.
To the extent possible, information that is already available will be used and utilized as the basis for evaluations. If information is not available, surveys and polls may also be conducted. Depending on the evaluation focus, the following personal data are collected and/or evaluated within the framework of the self-evaluation reports:
Survey reports are based on surveys conducted using external survey tools or using paper questionnaires. Prior to each evaluation process, the survey participants are informed about which personal data will be collected for what specific evaluation purpose, and agree to the processing of the data. Only such personal data are collected as are absolutely required for the purpose of the evaluation. The questions and responses will be collected in such a manner that it will not be possible to draw any conclusions about the survey participants. The number and scope that could allow identification of the survey participants are limited to the amount necessary in each case. If free text fields are used within a survey, the survey participants will be notified that the contents of their statement could potentially allow a conclusion to be drawn about their person.
The data collected is evaluated only for the purposes specified in section 2 of the RE. Following the conclusion of the collection phase and prior to evaluation of the data, the directly identifiable personal data (e.g., name, e-mail) are expunged so that if possible, anonymized data is available prior to the evaluation, or data that can only be identified with an effort that is disproportionate to that which is normal. Questions that are answered by less than five participants are not evaluated. In addition, an evaluation in accordance with specific criteria (e.g., gender) is not conducted if the parameters apply to only five or fewer of the persons who took part in the survey. The original wording of the responses to open questions (free text) is set out in the results report. The survey participants are therefore requested to structure their responses in such a manner that it is not possible to identify their own person or third parties. Any statements by means of which their own person or third parties could be identified are changed so that these personal data are rendered anonymous. The participants are notified that the contents of their statement might still allow conclusions to be drawn about their person or about third parties. Comments on the expert report from the members of the unit under evaluation are included in their original wording in the evaluation report and the names of the authors are specified.
The data collected for purposes of the evaluation are stored on UZH servers.
Third parties (service providers) may be entrusted with data processing in the course of the evaluation. The data processing by third parties may include compiling (e.g., using an external survey tool), evaluating and storing data. Any processing of information on behalf of UZH by third parties is protected through specific legal, technical and organizational measures to ensure compliance with data protection regulations. The third parties may only process data on this basis, as prescribed by the UZH. The third parties must meet the same security requirements with respect to ensuring confidentiality, availability and integrity.
UZH uses technical and organizational security measures so that the information (= non-personal and personal data) that it collects and processes in the course of the evaluation process remains confidential and is protected against any accidental or unauthorized access, changes or disclosure, as well as loss and destruction. Any access to the information occurs exclusively in accordance with the need-to-know principle. Only those persons who require access due to their job and work-related duties have access to the evaluation data. The online surveys are conducted by means of an external online portal. The data are only transmitted in the online portal using SSL encryption. Each participant receives a personal access code that allows her/him the option of continuing with the survey at a later date as well. The time of access and the IP address are stored each time the portal is accessed. A system backup is generated on a daily basis to protect the personal data against any accidental destruction or loss.
The transmission of the results of the evaluation that contain personal data is only permitted with the consent of the person concerned. In the absence of consent, any such evaluation data may only be transmitted if this is required by mandatory legislation (e.g., rulings of an authority, court decisions) or for the purposes of a legal action or criminal prosecution (e.g., in the event of attacks on the UZH network infrastructure). Personal data will not be disclosed to third parties for any other purposes.
Evaluation results go into the evaluation reports exclusively in aggregated form. The Evaluation Office transmits the evaluation reports to the persons managing the unit under evaluation and the employees, as well as to the governing bodies of the University (Faculty Council, Executive Board of the University, potentially Hospital Executive Board, Board of the University).
The personal data are destroyed as soon as their information is no longer required to fulfill the tasks within the framework of the evaluation conducted. Irrespective of this, the evaluation data and raw data, if they are personal data, will be destroyed no later than two years following their collection.
Participants may withdraw their consent in full or in part for the future at any time by written notice to the Evaluation Office, and may request that all data collected to that date be erased, provided that any erasure of the data collected does not make realization of the purpose of the survey impossible or seriously jeopardize it. In addition, participants may be provided with information about the data stored with respect to them on request. Any such requests are to be directed to the Evaluation Office in writing.
