Guidelines for good working relationships

Antonio Togni, Professor of Inorganic Chemistry and Vice Rector for Doctoral Studies, can probably recite one particular article of the new Doctoral Ordinance in his sleep: Article 26, which requires all doctoral students to have a second supervisor.

This issue was first discussed back in the summer of 2019, when the ETH Executive Board presented a blueprint for measures to revise the existing Ordinance on Doctoral Studies. This triggered discussions in the academic departments and university groups over two extensive consultation rounds. Even the very final adjustments to the ordinance mainly concern Article 26.

More precise supervision rules

The biggest change introduced by the new ordinance is more comprehensive and effective support for doctoral students, with the appointment of more than one supervisor. This will also reduce dependency in relationships. Some critics feared overregulation of the collaboration between doctoral students and professors, and loss of autonomy. One common concern was that a few isolated but well-publicised cases of poor supervision might complicate the rules for all those who had already established a positive culture of cooperation over the years.

Togni explains the need for change: “The purpose of reviewing our doctoral studies was not simply to address individual negative cases, but to encourage a new understanding of collaboration in doctoral studies. We needed to address this issue – and the outcome has been positive. Doctoral students make a vital contribution to the university’s research success. Their work deserves our full attention.”

Under the new ordinance, a second “co-supervisor” must be appointed for every doctoral student. The wording of the ordinance states: “The supervisor of the doctoral thesis, in consultation with the doctoral student, shall appoint a suitably qualified expert to provide additional specialist guidance and support. This appointment must be confirmed by the time the research plan is submitted.”

The underlying principle of a co-supervisor was never up for discussion; the focus was rather on the various roles and skills of those involved. The first draft of the ordinance proposed that the co-examiner preparing the written report should also act as co-supervisor to the doctoral student. After discussion in the consultation stage, however, it was decided to split these roles. The written report on the doctoral thesis will now be prepared by the co-examiner, who is only appointed when the student registers for the doctoral examination. Togni elaborates: “Splitting the roles of co-examiner and co-supervisor places far more emphasis on supervision. By definition, the co-supervisor is more independent if they are not co-examiner as well.”

In theory the co-supervisor could ultimately act as co-examiner, but since this decision is only taken at the final stage, and in consultation with the doctoral student, the co-supervisor’s independence is assured.

In future, all doctoral students will even be able to request a third supervisor, primarily in the capacity of mentor. Initially there was also talk of making a third supervisor compulsory, but this idea was rejected during the consultation phase.

Guidelines for effective collaboration

Major changes have also been made to admission procedures for doctoral studies and the planning of the proposed collaboration: now all candidates must work with their supervisor in preparing a proposal that not only details their doctoral thesis but also their involvement in teaching and the research group. They must then attend an aptitude interview to assess their suitability as candidates, in which they present and defend their research plan. An aptitude committee comprising three members then makes the final decision on their suitability for the doctoral programme.

After final admission, doctoral students must provide a progress report on their research every year. Their thesis supervisor must also conduct an annual review to discuss not only the student’s research, but also their collaboration in the group and their performance. More precise rules have also been defined for escalation levels in case of differences of opinion or change of supervisor for the doctoral thesis.

Togni stresses that the new rules are intended to put collaboration at the university on a more equal footing. Supervision has a central role to play, as doctoral candidates are ultimately also students going through a learning process. “We are confident that many of the new rules are already being followed in most of the research groups, since they promote a positive culture.” Over the past 10 to 20 years, however, there has been a significant change in what doctoral students and professors expect from a doctorate at ETH. Furthermore, the university has expanded significantly. “The old version of the doctoral ordinance simply no longer reflected the new reality. We needed up-to-date and more detailed regulations.”

Two extensive consultation rounds

The new ordinance was drafted by the Rectorate’s core group in consultation with an extended group of professors from different departments and representatives from AVETH, Human Resources and the Legal Office.

Over the course of two extensive consultation rounds, the Rectorate also gathered feedback from all academic departments and university groups: first in summer 2019 focusing on the proposed measures, and then in autumn 2020 about the draft of the new ordinance. In addition to the ordinance itself, the Rectorate also included the associated implementation provisions in the consultation process.

Freedom in interpretation

Christoph Niedermann from the Rector’s Staff comments: “From the very start, we encouraged extensive and transparent discussion on this topic. Reactions during the consultation showed that this approach was both sensible and necessary. A lot of feedback focused on the concrete implementation and form of the new regulations. As a result, the new ordinance deliberately leaves room for interpretation.”

For example, individual departments are free to stipulate whether the additional supervisor should come from the professoriate or from the scientific staff. They are also free to choose the format of the aptitude interview and the practical arrangements for doctoral exams.

Coming into force this fall

The ETH Executive Board passed the new ordinance on 26 January. It must now go through the official consultation process at federal level in Bern. Once this is complete and the wording finalised, the ordinance will come into effect on 1 October.