DOCTORAL SUPERVISION
IN OTHER, PRIMARILY
IN NATURAL SCIENCES
BAZSA György
Former President of HAC; Prof. Emer. Univ. of Debrecen,
EDAMBA Annual Meeting
3rd September 2013, Budapest, Uni-Corvinus
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Content
i. Trend: Europe gradually focuses on supervision in PhD training
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Ministers in the Bologna process (Bergen, London, Bucharest)
European Council – DG Research & Innovation
European University Association (Salzburg I, II; CDE; ARDE)
EDAMBA pioneering activity
International example: Biomedicine (ORPHEUS/AMSE/WFM)
National examples: UK/QAA, UK/UCL, D/QZ, DK/DTU, etc.
ii. Doctoral training and PhD earning in Hungary
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Legal conditions (Act, Decree): doctoral schools, core members
Hungarian Accreditation Commission’s proposal on supervision
iii. Hungarian Practice of Supervision
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www.doktori.hu database – efficiency of doctoral training
Questionnaire and answers for this presentation
iv. Some characteristics of doctoral training in natural sciences
including supervision
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i.
Trend: Europe gradually focuses on supervision
in doctoral training
Bergen communiqué (2005) – but not in the Bologna declaration
Regarding doctoral education, Ministers made the following statements:
• Doctoral level qualifications need to be fully aligned with the EHEA
overarching framework for qualifications using the outcomes-based
approach.
• Core component of doctoral training is the advancement of knowledge
through original research.
• The normal workload of the third cycle in most countries corresponds
to 3-4 years full time.
• Doctoral programmes should promote interdisciplinary training and the
development of transferable skills to meet the needs of the wider labour
market.
• More doctoral candidates should be encouraged to take up research
careers within the EHEA.
• Participants in third cycle programmes are considered both students
and early stage researchers.
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London communiqué (2007)
We invite EUA to continue to support the sharing of experience among
HEIs on the range of innovative doctoral programmes that are emerging
across Europe as well as on other crucial issues such as transparent
access arrangements, supervision and assessment procedures, the
development of transferable skills and ways of enhancing employability.
Bucharest Communiqué (2012)
Taking into account the “Salzburg II recommendations” and the Principles
for Innovative Doctoral Training, we will explore how to promote quality,
transparency, employability and mobility in the third cycle, as the
education and training of doctoral candidates has a particular role in
bridging the EHEA and the European Research Area (ERA).
European Council DG Research & Innovation (27 June 2011)
Report of Mapping Exercise on Doctoral Training in Europe „Towards a
common approach” – moderately focusing on supervision
http://ec.europa.eu/euraxess/pdf/research_policies/Report_of_Mapping_Exercise_on_Doctoral_Training_FINAL.pdf
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EUA Seminar Salzburg 2005:
10 basic principles of doctoral programmes
5. The crucial role of supervision and assessment: in respect of
individual doctoral candidates, arrangements for supervision and
assessment should be based on transparent contractual framework
of shared responsibilities between doctoral candidates, supervisors and
the institution (and where appropriate including other partners).
Supervision is considered a crucial part of doctoral training. It is critically
important for ensuring good quality of candidates’ performance.
However, conditions of supervision are often not clear and regulated,
and they differ from country to country or institution to institution. There
was no common agreement on questions of
• how supervisors are selected,
• who can be a supervisor,
• how often supervisor meets with the candidate,
• how many candidates the supervisor can manage and
• how the research progress is monitored.
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EUA Seminar Salzburg 2005:
10 basic principles of doctoral programmes
Some national or institutional systems seem to be more open and do not
provide any rules or control of supervision.
In other countries where doctoral training is organised in a structured way
(e.g., in doctoral schools) supervision is more a responsibility of the
institution than an individual supervisor.
Some institutions prefer supervisory panels with several experts/
professors from inside and outside of the university (multiple
supervisory), which was considered a good practice example.
Participants agreed that universities should introduce institutional regulations on terms and obligations of doctoral candidates, supervisors and
the institution. In addition, a signed contract (agreement) on rights and
responsibilities between the three parties can be a good instrument
ensuring that each party is aware of their role in the process of doctoral
training.
http://www.eua.be/eua/jsp/en/upload/Salzburg_Report_final.1129817011146.pdf
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EUA Salzburg II recommendations – 2010
2. CLUES FOR SUCCESS
2.3. Supervision
As stressed in the fifth Salzburg Principle, supervision plays a crucial role.
Supervision must be collective effort with clearly defined and written
responsibilities of the
– main supervisor, supervisory team,
– doctoral candidate,
– doctoral school, research group and
– the institution,
leaving room for the individual development of the doctoral candidate.
Providing professional development to supervisors is an
institutional responsibility, whether organised through formal training
or informal sharing of experiences among staff. Developing a common
supervision culture shared by supervisors, doctoral school leaders
and doctoral candidates must be a priority for doctoral schools.
Supervisors must be active researchers.
http://www.eua.be/Libraries/Publications_homepage_list/Salzburg_II_Recommendations.sflb.ashx
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European University Association
Council for Doctoral Education - founded in 2008
Objectives
• To enhance the quality of doctoral education in European universities by
fostering debate and promoting the exchange and dissemination of
good practice
• To encourage and support the development of institutional policies and
strategies as well as the introduction of effective leadership and
management practices
Enhancing of Supervision: Professional Development and
Assessment of Supervisors
(EUA–CDE Workshop, 8–9 January 2009, Imperial College London, UK)
EUA–CDE Annual Meeting - Warsaw June 2013
Anne Lee: Doctoral Supervision: are we on the right track?
(Anne Lee: Successful Research Supervision)
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EUA CDE – ARDE project –T. E. Jørgensen (27 Sept. 2012, Karolinska)
• 2/3 of the HEI-s have written regulations for PhD supervision
• Elements of such regulations:
– maximum number of doctoral candidates per supervisor;
– obligatory training for supervisors; voluntary training for supervisors;
– a recommendation for a minimum number of meetings with the
supervisor(s);
– a requirement or recommendation for supervisory teams;
– written agreements between supervisor, supervisee, institution;
– procedures for dealing with supervisor-supervisee conflicts;
– systematic feedback collected from doctoral candidates; and
– other (specified) issues.
• More focused on a supervision culture than on rules and compliance
– Much focus on the training of supervisors – Organisation & motivation
– How to get supervisors involved – Clarity about institutional goals
– Monitoring of supervisors – Setting clear expectations
– Rules and guidelines – Involve the supervisors in drafting
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European Doctoral Programmes Association in
Management and Business Administration (EDAMBA)
– a valuable pioneering series of actions since 1991
www.edamba.eu
An "EDAMBA Guide to European Doctoral Programmes" has been
published in 1995. The guide contains a description of the doctoral
programmes of the first 28 EDAMBA members, giving detailed
information on specialisation topics and the requirements for the thesis.
The guide has been edited by Michel Lauraine (HEC).
EDAMBA Journal
1st Thesis Competition 2003
…
Supervisory practices in doctoral education (Annual
Meeting 1–3 Sep 2013 at Corvinus University, Budapest)
http://edamba2013.hu/
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Standards for PhD Education in Biomedicine and Health Sciences
ORPHEUS/AMSE/WFME Task Force (2012)
5. SUPERVISON
• Each PhD student must have a principal supervisor and when relevant
at least one co-supervisor to cover all aspects of the programme
• The number of PhD students per supervisor must be compatible with
the supervisor’s workload
• Supervisors must be scientifically qualified and active scholars in the
field concerned.
• Supervisors must have regular consultations with their students.
• The institution must ensure that training in supervision is available for all
supervisors and potential supervisors.
• The supervisor–student relationship is the key to a successful PhD
programme. There must be mutual respect, planned and agreed shared
responsibility, and a contribution from both.
http://www.orpheus-med.org/images/stories/documents/Standards-2012-01.pdf
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UK Quality Code for Higher Education – in Part B: Supervision
HEIs appoint supervisors with the appropriate skills and subject knowledge
to support and encourage research students, and to monitor their
progress effectively.
Each research student has a supervisory team containing a main
supervisor who is the clearly identified point of contact.
HEIs ensure that the responsibilities of research student supervisors are
readily available and clearly communicated to supervisors and students.
HEIs ensure that individual supervisors have sufficient time to carry out
their responsibilities effectively
HEIs put in place clearly defined mechanisms for monitoring and
supporting research student progress, including formal and explicit
reviews of progress at different stages.
Research students have appropriate opportunities for developing research,
personal and professional skills.
HEIs put in place mechanisms to collect, review and respond as appropriate to evaluations from those concerned with research degrees
http://www.qaa.ac.uk/Publications/InformationAndGuidance/Documents/Quality-Code-Chapter-B11.pdf
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University College London:
An introduction to research student supervision
• Category: Advising and/or supervising research students
• Workshop leader(s): Professor David Bogle
• Course outline: This session is mandatory for all members of academic
staff wishing to be appointed as supervisors at UCL as well as new
members of academic staff with experience of research supervision at
other institutions. It is run by the Graduate School and provides an
introduction to:
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University College London’s regulations and Code of Practice
Graduate School support
UCL procedures
Skills development requirements and programme
Research student log
Factors for successful supervision
Further research supervision training
Please note that this is a prerequisite to enrolment on all other courses about research
supervision including the session 'Effective research supervision at UCL' (one-day).
http://www.ucl.ac.uk/calt/courses-workshops/research-supervision
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University College London
Effective research student supervision at UCL (one-day workshop)
• Category: Advising and/or supervising research students
• Workshop leader(s): John Wakeford
• Course outline: This full-day workshop will be of equal importance to
new and more experienced supervisors and will provide participants
with an overview of all the main issues faced by supervisors today. It is
particularly relevant to academics at the beginning of their career but
feedback from participants shows that experienced supervisors also find
it a useful refresher course. Participants are asked in advance what
particular aspects of supervision are of special concern, making the
session interactive, with participants able to share their own
experiences.
German Network of 10 universities: Qualitätszirkel Promotion
Shaping a Doctorate together – Guidelines for Supervisors (2012) pp. 31
http://www.graduateschools.uniwuerzburg.de/fileadmin/43030300/Promovendenbetreuung/Promotionshandbuch2012__English_Supervisors.pdf
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Danish Technical University (DTU)
Principal supervisor
It is the responsibility of the principal supervisor to inspect that the PhD
student conducts his/her studies in accordance with the determined
scientific contents and that the time schedule of studies is observed.
Thus the principal supervisor is responsible for:
– preparation and submission of a study plan
– preparation of the half-year reports
– preparation of the principal supervisor’s concluding statement which
forms part of the assessment as to whether the thesis is ready for
submission
– submission of proposal for members of the assessment committee
– planning and conducting the defence session.
DTU strongly recommends that the PhD student be involved in the tasks
of study plan and half-year reports as part of his/her learning process.
http://www.dtu.dk/english/Education/phd/PhDguide/Supervisor
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ii. Doctoral training and PhD earning in Hungary
The first Hungarian Act on HE 1993 introduced PhD degree as the only
scientific degree in Hungary awarded exclusively by HE institutions.
204/2011. Act on NHE
Section 16
• (1) The PhD course is also a part of the education programme, which
prepares candidates for obtaining a PhD during the PhD programme
taken after completing the Master programme. The education period is
6 semesters. PhD programmes are standardised, consisting of a 36
month-long education period, which may be subdivided into reporting
periods.
• (5) The doctoral council of the higher education institution has the right
to organise PhD programmes and award PhDs (hereinafter doctoral
procedure). The doctoral council of the institution may set up academic
and art doctoral councils in each discipline, as well as in branches of
science and art defined in the doctoral regulation of the higher
education institution. With the exception of PhD students, every member
of the doctoral council must hold an academic degree.
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Doctoral Programmes and the Procedure of Obtaining a Doctorate
Section 53
• (1) The doctoral programme shall consist of course modules,
research and reports adjusted to the unique character of the scientific
discipline and needs of the student individually or in a group. Students
that have obtained a Master degree are eligible to enrol in doctoral
programmes. [Supervisor isn’t mentioned in the Act.]
• (2) The doctoral degree may be obtained within the framework of a
special doctoral procedure following the PhD programme. [The
person is called doctoral candidate. This is no more student status, it’s
a contractual doctoral candidate–university relationship).]
Individuals that do not take part in doctoral training and prepared for
the degree on their own may also be PhD candidates providing that
they have obtained a Master degree and fulfilled the requirements of
the doctoral programme. If the doctoral candidate commences the
above procedure during the period of instruction, they shall concurrently be a PhD candidate alongside having a status as a student.
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(5) Requisites for obtaining a doctoral degree:
a.Fulfilment of obligations prescribed in the doctoral regulation, as well as
passing the special doctoral exam evaluated by a committee comprised
of at least three members;
b.Two foreign languages – with the opportunity to accept the nonHungarian sign language in the case of deaf PhD candidates and the
language required to cultivate the scientific field – certified in accordance
with the specifications stipulated in the doctoral regulation;
c.Presentation of independent scientific work with articles, studies or
through other means; the products of independent art work as a
precondition for obtaining doctoral degrees in art (DLA);
d.Independent implementation of the scientific or art activity measured
against the requirements of the degree; presentation of a dissertation or
work of art; defending achievements in a public debate.
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Governmental decree 287/2012.
• Doctoral training could be organized only in accredited doctoral schools.
A doctoral school (DS) should have at least 7 core members with a
majority of full professors: highly qualified researchers of the given
branch of sciences. [There are 55 such branches defined in Hungarian
HE, mainly corresponding to the Frascati manual. In nine branches of
(fine) arts Doctor of Liberal Arts (DLA) degree exists equivalent to PhD.
There are at present 174 doctoral schools at 26 universities and at 1
college. (In two decades 23 ceased working for different reasons.)]
• Establishing a doctoral school is the right of the University Senate, but it
requires in advance the support (earlier called accreditation) of the
Hungarian Accreditation Committee (HAC) involving evaluation of the
proposed at least 7 core members. HAC evaluates all DSs and their
core members each 5 year (but not supervisors).
• The doctoral student should have a supervisor from the enrolment
(nominated with the application) until submitting the Thesis. Core
members must be successful supervisors. In the 174 doctoral schools
there roughly 2.200 core members and further 2.000 supervisors by and
large. Criteria are defined and evaluated by the doctoral schools.
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Proposals (not criteria) of the Hungarian Accreditation Committee
Supervision is a professional function and human responsibility in helping
student’s professional and personal development.
Supervisor must have a PhD degree and be an active researcher with
fresh publications.
Supervision is a continuous and documented joint activity including
• proposal of the research subject (right of the supervisor),
• approval of the research subject and supervisor (right of the DS),
• announcement on www.doktori.hu and DS’s website,
• admittance of the doctoral students (right of the doctoral council),
• guiding the student’s research,
• evaluation and recognition of the performance in each semester,
• reporting on the progress of the research to the DS,
• preparation of joint communiqués, conference presentations, posters,
• helping in writing the Thesis,
• recommendation of the submission of the Thesis.
Limits: 6 students/supervisor, 2 supervisors/student
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iii. Hungarian Practice of Supervision
www.doktori.hu public database of ODT/HAC
Doctoral programme
Doctoral schools
Thesis defended
by institution
by institution
by research field
by research field
by name
by number
by date
ceased working
by doctoral school
Academic staff member
by name
by research topic
archives
Thesis topic proposals
by doctoral schools
by research field
by research topic
Supervision of PhD students
PhD degrees awarded/year vs
scientific strength of HEI faculty
ELTE
PhD
PTE
DE
SZTE
BME
SE
SZIE
BCE
Faculty strength: 1×PhD + 3×DSc + 5×MHAS
MIHÁLY György (HAS, 03.06.2013): www.doktori.hu
Enrolled – 36 months completed – PhD earned
MIHÁLY György
(HAS, 03.06.2013):
www.doktori.hu
Human Nat. Soc. Med. Eng. Agr. Relig. Arts
PhD: 40% 55% 38% 49% 43% 62% 31% 40%
Natural sciences – DS 138
Ratio of PhD earning: 70%
30%
70%
MIHÁLY György (HAS, 03.06.2013): www.doktori.hu
Natural sciences – DS 135
Ratio of PhD earning: 70%
30%
70%
MIHÁLY György (HAS, 03.06.2013): www.doktori.hu
3 Law Doctoral schools
Ratio of PhD earning:
very low
MIHÁLY György (HAS, 03.06.2013): www.doktori.hu
3 Business and management DSs
Ratio of PhD earning:
very low
MIHÁLY György (HAS, 03.06.2013): www.doktori.hu
A rapid survey about supervision in the doctoral schools
(39 questions; 102 answers out of 174 doctoral schools).
B
i. Development of the partnership between
doctoral student and supervisor
1. What is the content of announced
themes?
Name/title – Research programme –
Goals to achieved
2. Are there publications in the
announcement from?
None – Supervisor – Others
3. Application involve the theme and Applicant brings a theme, looks for
supervisor.
supervisor.
4. Does the entrance exam involve
discussion of the theme?
Yes – No
5. Does the admittance decision
include the theme and supervisor?
Yes – No
1–25% *** 26–50% *** 51–75% *** 76–100%
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Practice of supervision
ii. 36 months of the PhD student
1. How the students start?
Planning research – Reviewing
literature – Planning courses
2. The credits of the semester are
signed by the
Supervisor – DS head
3. The signature is based on?
Working co-operation – Public oral
report – Written report
4. How many progress reports should
the doctoral student write?
3 – 2 – 0 – 1 – (6)
5. How many course credits must the
student complete?
30-40 – 10-20 – >40
6. What are requirements of the
“absolutorium”?
Only the 180 credits – Summary
report
(0%) *** 0–25% *** 26–50% *** 51–75% *** 76–100%
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Practice of supervision
iii. 36 months of the supervisor’s activity: supervisor …
1. … suggests courses to the student:
Each semester – 3 years complete
block – (Not at all)
2. … writes substantive review about
the student:
0 – 1 – (2) – (3) – (6) times
3. … is allowed to propose termination
of doctoral status (scholarship) if …
Yes – No
4. … could have a limited number of
PhD students at the same time:
6 –3
5. … has an active role in the defence
process (introduction, scoring):
No – Yes
(0%) *** 1–25% *** 26–50% *** 51–75% *** 76–100%
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Practice of supervision
iv. 36 common months of doctoral student and supervisor
1. Do they prepare jointly?
The research program – A literature
review – (Nothing)
2. How often do they consult? Each …
Ss: Month – Semester – (Week)
Hs: Week – Month – Semester
3. In which way do they consult?
Personally – E-mail – Phone – Skype
– Correspondence
4. On average, how many active forum
appearances expected outside DS?
5 – 3 – 1 – >5
5. Is it expected to assist writing and
publishing in the first 2 years?
Yes – No
Ss: soft science *** Hs: hard science
(0%) *** 1–25% *** 26–50% *** 51–75% *** 76–100%
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Practice of supervision
v. Preparation of the dissertation
1. In which year is the frame of the thesis
formulated?
Ss: Third – Second – Later
Hs: Third – Second – Later
2. Does the student prepare a literature
summary prior to the dissertation?
Yes – (No)
3. Does the DS require any publication
before thesis writing?
Published – Accepted –
Submitted
4. Is a preliminary assessment and presentation of the dissertation obligatory?
Yes – No
5. Is a supporting opinion of the supervisor
a precondition of thesis submission?
Ss: Yes – No
Hs: Yes – No
(0%) *** 1–25% *** 26–50% *** 51–75% *** 76–100%
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Practice of supervision
vi. Activities of the Doctoral School
1. What is the basis of accepting a
supervisor?
Application – Referral –
(Competition)
2. Are the announced themes approved
annually by the DS based on new
publications of the supervisor?
Yes – No
3. Does the DS announce courses on
research methodology and ethics?
Yes – No
4. Does the DS organise methodological,
ethical preparation for supervisors?
No – Yes
5. Does the DS evaluate annually the prog- Ss: Yes – No
ress of the students with the supervisors? Hs: Yes – No
6. Does the DS asking feedback from the
students systematically?
SS: Yes – No
Hs: No – Yes
(0%) *** 1–25% *** 26–50% *** 51–75% *** 76–100%
Practice of supervision
vi. Activities of the Doctoral School
7. Does the DS evaluate regularly the
No – Yes
quality and effectiveness of supervisors?
8. Does the DS organize so-called
doctoral student conferences?
Alone – In cooperation – Not at al
9. Has the DS its own publishing forum, for Ss: No – Yes
example doctoral student journal?
Hs: No – Yes
10. Has the DS active international cooperation for helping students’ development?
Yes – No
11. How many postgraduate scholarships
were provided from third sources?
>10 – 7-10 – 4-6 – 1-3 – 0
12. Did the DS report or inform any
organisation?
Doctoral Council – HAC – (Senate)
13. Have the DSs of the branch of
sciences domestic cooperation forum?
Occassional – Regular – No
(0%) *** 1–25% *** 26–50% *** 51–75% *** 76–100%
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A very short summary of
supervisor – doctoral student relation:
 Stronger contact 
 shorter training 
 higher efficiency.
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iv. Some characteristics of doctoral training
in natural sciences including supervision
• Common interest and efforts of doctoral student and supervisor
in good results (outcomes for presentations and publications).
• Successful supervisors are productive researchers & vice versa.
• Almost daily contact between student and supervisor. Doctoral
student frequently requires and gets practical or theoretical
advices/help from the supervisor.
• Supervisors and students of the group/school often co-operate.
• Progress in research appears immediately and stimulates. Even
small intermediate results inspire and orientate student.
• Natural sciences are global in nature – with many motivating
aspects for doctoral students.
• Competitive atmosphere of international natural science
community enforces fast achievements.
• Excellent new results may bring national, even international fame
(„world priority” feeling) for young scientists.
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I wish you success
in analysing the practice and
in improving the quality
of doctoral training including supervision.
Thank you for the invitation
and for your kind attention!
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