Leadership and management role of professors

Staff appraisal interviews traditionally take place in autumn. Administrative and technical employees at ETH have an annual staff appraisal with their supervisor, who provides feedback on their performance. Staff are also encouraged to give feedback on their supervisors. Together they agree on new goals for the coming year. This process applies to all staffing levels. A different evaluation process applies to professors, however.

Professors undergo continuous assessment

The work of professors is subject to continuous assessment by their peers – for example, when publishing research results, submitting research applications, filing patents or winning awards. Students in turn assess teaching through regular questionnaires on individual study modules. And a dedicated Annual Academic Achievements (AAA) database provides a comprehensive overview of professors’ individual activities and their annual performance. This ranges from duties undertaken as part of academic autonomy, to other time-consuming activities such as outreach, the founding of spin-offs and any outside employment.

Reporting requirements have been steadily growing in recent years, however.

Call for formal reporting on leadership role

The ETH Professorial Ordinance, for example, not only requires a regular appraisal of professors’ performance; it stipulates that the completion of the review must also be reported to the ETH Board. 'I think it’s important that a more formal performance appraisal should not be understood as being a tedious duty to be fulfilled,' ETH President Joël Mesot stresses. The intention is not simply to get professors to write even more reports. 'Reflecting on what we actually do and how we go about it should help us in our continuous personal development,' says Mesot.

Given this backdrop, the ETH Executive Board has decided to look at the issue of professors’ appraisals as part of the rETHink project. Workstream 3 (WS3), which focuses on support for professors, was commissioned to determine where measures are required in the appraisal and support of professors, and to make concrete suggestions on their implementation. While the analysis showed the AAA process did provide a broad picture of professors’ activities, it also revealed that when it comes to management responsibilities, there is no formalised and binding system in place for regular evaluation or feedback.

A suitable solution for ETH

This is no simple task. The management role in a scientific setting is in some respects different from a company. The biggest challenge is that doctoral students and postdocs, by definition, only belong to a research group for a limited period and also work on their own projects. 'Such teams are very diverse and members tend to change frequently; so time often has to be spent integrating new people, many of whom come from very different cultural backgrounds,' explains Julia Dannath, Vice President for Personnel Development and Leadership (VPPL).

The particular emphasis is on offering employees effective guidance and support while at the same time ensuring young researchers have the freedom to develop their scientific careers. 'The balancing act of being supervisor and mentor at the same time is also familiar in industry, but the aspects already mentioned make managing a university research group particularly challenging and a big responsibility,' Dannath sums up.

A new Leadership Feedback Process takes shape

Workstream WS3, in close collaboration with the Vice Presidency for Personnel Development and Leadership and in consultation with the professoriate, has come up with a solution: the Leadership Feedback Process (LFP).

The idea is for all full professors to undergo an LFP review every five years to provide feedback on their leadership and management role. The focus is on a feedback discussion, for which professors prepare by writing their own self-reflection report. At the same time they should also obtain feedback from their research group at shorter intervals and, if necessary, talk with colleagues. In addition to the report and feedback, factors such as staff turnover, dropout rate of doctoral students, or duration of doctorates in a departmental comparison should also be discussed in the LFP sessions. The size and structure of the research group should also be taken into consideration.

Ensuring confidentiality

The process ends with the professor and LFP feedback partner sending a brief, joint report to the VPPL. To meet formal reporting requirements, it has to be clear the LFP actually took place, and when.

However, it is vital for the contents of LFP sessions, along with the preparatory reports, to remain confidential. The professors are the data owners. This reflects the fact that the purpose of the LFP review is not to run a check on professors. 'As with any staff appraisal, the focus is on self-reflection and the discussion of individual personal development goals,' Julia Dannath stresses. It is important to show appreciation for the work done by professors and to factor in their different leadership styles.

Still work to be done

The underlying LFP concept is now clear and was given a warm reception by academic departments at a recent roadshow; but – as so often – the devil is in the detail. For example, it is still not clear who will act as LFP partners in the feedback discussions with professors.

'We need a pool of people who not only have the necessary leadership expertise but are also familiar with the very specific circumstances and challenges in university research groups,' explains Julia Dannath. Only in this way can the feedback session be conducted on an equal footing. One approach currently under discussion is for the ETH Executive Board to appoint retired professors and VPPL specialists as LFP partners, allowing professors to choose from a pool of people with different backgrounds and expertise.

Concrete proposals and detailed process descriptions will be drawn up and finalised by the end of the year. In 2023 a pilot scheme will run, with professors taking part on a voluntary basis. This will provide initial experiences and allow the finishing touches to be made to the LFP. In 2024 the LFP will  be introduced for all full professors at ETH.