ETH Zurich and EPFL, and the Four Research Institutes PSI, WSL, Empa and Eawag

FINANCIAL REPORT KEY FIGURES PERFORMANCE MANDATE GOVERNANCE FASCINATION REVIEW customers over with new products and over highest newcustomers with the of quality. products very processes their own on the global market, Swiss SMEs and must continually industry win Innovation is for competitiveness vital and for the success our of economy. To hold international innovations networks, and cooperation to in the best with the world. become fully involved in Horizon 2020. Switzerland has thus secured access to the on Croatia 16 Protocol ratified December 2016, thereby enabling to the country reliefThe was palpable within the Swiss research community when the Federal Council Dear Readers DrFritz Schiesser and well-being. thus continuing generate to added value in and our safeguard to country employment towards making Switzerland aleading international research for centre digitisation, engineering, Domain the play ETH is to set apivotal role in this area and contribute to and world’s society. its With leading teaching and research institutions for science and employment market. Digitisation one poses the challenges of biggest the economy to Innovation Park and trains over 3,000 highly skilled graduates year every who join the and the public sector. In addition, Domain the ETH plays akey role in the Switzerland DomainETH in 2016, but also in the renewed close collaboration the economy between in the 50 spin-offs andnot only which reflected 230 patents emerged the from Technology and the four research drive institutes innovation in Switzerland. This is Federal Domain Switzerland of two Institutes its as ETH with aplace The activity. of helpto counteract the ongoing to deindustrialisation and our of underpin to country specialism Domain defined by the ETH –are intended findings in “Advanced Manufacturing” –aresearch towards the implementation 4.0. Industry of latest The andcesses new materials, making contribution its pro production state-of-the-art develop to seeking Together industrial Domain with the ETH is partners, Zurich/Bern, February 2017

President of the ETHBoard - of the ETH Board on the ETH Domain ETH the on Board ETH the of 2016 ANNUAL REPORT

ETH Domain and its institutions Scientific achievements at the highest level – this is what the ETH Domain provides with over 21,000 staff, more than 30,000 students and doctoral students, and about 800 professors. The ETH Domain consists of the two Federal Institutes of Technology ETH Zurich and EPFL, and the four research institutes PSI, WSL, Empa and Eawag. The ETH Board is the strategic management and supervisory body of the ETH Domain. www.ethdomain.ch I www.ethboard.ch

At ETH Zurich about 500 professors teach approx. 20,000 students from With over 10,100 students and doctoral students from over 125 countries over 120 countries. Together they carry out research in the fields of and more than 300 laboratories, EPFL is doing cutting-edge research in engineering sciences, architecture, mathematics, natural sciences, such varied fields as renewable energies, medical technology, materials system-oriented sciences, and management studies and social science and IT. The institution produces some 15 start-ups each year sciences. The findings and innovations achieved by researchers at the and maintains close relations with private business, local SMEs and ETH are fed into the most forward-looking sectors of the Swiss multinational companies. EPFL embarked upon ambitious projects in economy, from computer science to micro- and nanotechnology, to the field of Digital Humanities in 2016 – most notably with the ArtLab high-tech medical systems. building, a meeting place for art, technology and the general public. ——25 spin-offs in 2016, amounting to a total of 355 since 1996 ——20 spin-offs in 2016 and 262 since 1996 ——More than 800 cooperations with industry and the public sector ——More than 350 cooperations with industry and the public sector ——At least 90 patent applications and almost 200 invention disclosures p.a. ——Over 5,800 employees and 113 trainees in 13 professions ——Over 11,000 employees and 169 trainees in 14 professions

www.ethz.ch www.epfl.ch

The Paul Scherrer Institute (PSI) The WSL investigates changes to Empa is an interdisciplinary Eawag is one of the world’s develops, builds and operates the terrestrial environment and research institute of the leading water research institutes. large, complex research installa- the use and protection of natural ETH Domain for materials science Its strength and success are based tions, available to the national habitats and cultural landscapes. and technology. As a bridge on the combination of research, and international research It monitors the condition and between research and practical teaching and higher education community. All these large-scale progress of forests, landscape, applications, it develops solutions that it has provided for 80 years, research installations are unique biodiversity, natural hazards for the primary challenges of along with consultancy and in Switzerland, in fact some of and snow and ice, and develops industry and society, thereby the transfer of knowledge. them are not found anywhere else sustainable solutions for socially making an important contribution The combination of natural, in the world, only at the PSI. Its relevant problems. The WSL also to reinforcing the innovative engineering and social sciences own main areas of research are includes the WSL Institute for strength and competitiveness of enables a comprehensive water matter and materials, energy and Snow and Avalanche Research the Swiss economy in an research of untouched natural the environment, and humanity SLF Davos. increasingly competitive water up to fully automated waste and health. environment. water management systems.

——More than 2,000 employees ——At least 500 employees from ——At least 1,000 employees from ——At least 500 employees from from about 60 countries some 25 countries more than 50 countries a total of 40 countries ——About 900 doctoral students per- ——incl. some 270 scientists and ——Some 200 doctoral students ——incl. over 200 scientists and formed measurements at the PSI more than 60 doctoral students ——More than 3,500 hrs of lectures over 140 doctoral students ——At least 6,000 hrs of instruction ——At least 3,000 hrs of instruction at Swiss universities (and of ——More than 5,000 hrs of lectures at Swiss universities (and of at Swiss universities (and of applied sciences) at Swiss universities (and of applied sciences) applied sciences) ——Some 500 cooperations with applied sciences) ——More than 1,200 cooperations ——250 cooperations with industry industry and the public sector ——About 400 cooperations with with industry and the public and the public sector ——43 apprentices in 10 professions industry and the public sector sector ——15 apprentices in 7 professions ——25 apprentices in 4 professions ——100 apprentices in 15 professions

www.psi.ch www.wsl.ch I www.slf.ch www.empa.ch www.eawag.ch Facts and Figures 2016

2,454 773 21,054 m m Employees* Total federal Research contribution contributions, (budgetary framework) mandates and scientific services 464 thereof apprentices*

30,351 829 31% Students and Professors* of full professorships doctoral students awarded to women from over 125 countries

230 3,400 50 Patent applications cooperations with Spin-off industry and the foundations public sector (rounded)

ETH Zurich EPFL Ranked 1st in THE Europe Ranking Ranked 1st in THE 150 Under 50 Ranking (continental Europe) Ranked 30th in THE World Ranking Ranked 9th in THE World Ranking Ranked 6th in the QS Europe Ranking Ranked 8th in the QS World Ranking

* Employment contracts Mission Statement The ETH Domain strives to strengthen the competitiveness of Switzerland in the long term and contribute to the development of society through excellence in research, teaching and knowledge and technology transfer. It endeavours to serve as an exemplary beacon by assuming its share of responsibility for the management of urgent social challenges, the enhancement of the quality of life, and the long-term maintenance of our natural resources.

ETH Domain in brief

2017 THE ETH DOMAIN IN BRIEF Contents

REVIEW 2016 2 Highlights 2016 2 Financing and annual financial statements 4 Real estate 5 Environment and energy 5 Teaching, Research, Knowledge and technology transfer 6

GOVERNANCE 26 Structure and leadership 28 Organisation and management bodies 30 Members of the ETH Board 32 Monitoring and audit 34 Risk situation and risk management 35 New Members of the ETH Board 2017 36 Personnel matters 37

PERFORMANCE MANDATE 38 Objective 1 | Teaching 40 Objective 2 | Research 44 Objective 3 | Knowledge and technology transfer 48 Objective 4 | Research infrastructures and large-scale 52 research projects Objective 5 | International positioning and cooperation 56 Objective 6 | National cooperation 60 Centres of competence and strategic initiatives 64 Objective 7 | Role in society and national tasks 66 National tasks 70 Objective 8 | Sources of financing and allocation of funds 72 Objective 9 | Real estate management 76 Objective 10 | Working conditions, equal opportunities and 80 young scientific talent

KEY FIGURES 84 Monitoring table 86 Academic achievement report 88 Rankings and benchmarking 94 Personnel 100 Professorial matters 107 Real estate 108 Environment and energy 113 Financing statement 116

FINANCIAL REPORT 120 www.ethboard.ch/financialreport2016 120

List of abbreviations 122

Publication data 123 Highlights 2016

ETH Zurich Opening of the “Arch_Tec_Lab” Digitisation can contribute to a resource-efficient, zero-emissions and compact construction. This is reflected in the “Arch_Tec_Lab”, which was unveiled on the Hönggerberg Campus of ETH Zurich in September 2016. The largely digital planning and construction process for this prototype for a new building took six years. It involved architects, civil engineers, building service engineers and construction physicists from six professorships at ETH Zurich. The crowning glory is the timber roof with an enormous span of 2,308 m2, consisting of 48,624 timber elements which was fully assembled by robots. The “Arch_Tec_Lab” will function as a laboratory with real- world conditions, emitting no emissions during use. (Photo: Andrea Diglas, ITA/Arch-Tec-Lab AG)

EPFL

Eawag Start-up record: 100 years of research for lakes seed capital of The Lucerne Natural Research Society (Naturforschende Gesellschaft Luzern, NGL) almost CHF 400m in Kastanienbaum founded a “Hydrobiological Laboratory” in 1916. The laboratory Start-up companies at EPFL had already has been part of Eawag since 1960. Following its expansion in the 1970s, it has generated CHF 397m in seed capital by become a significant place of research with an international reputation. Its mid-December 2016. This is up 50% centenary provided Eawag with the occasion to look back and to deliver a on 2014. The increase in the number of presentation to politicians, government agencies, associations and the general spin-offs was striking. Their total public about current lake research, as well as to encourage dialogue with fundraising effort amounted to CHF 261m, researchers. A river in Lake Lucerne, or the Lake of the Four Forested Settlements with CHF 100m of that alone accounted as it is known, formed the attraction of the events about the hydrobiological for by MindMaze – the first Swiss laboratory. “unicorn” with an estimated valuation of over CHF 1bn (photo: CEO Tej Tadi). The other companies in the EPFL Inno vation Park reported a total of CHF 76m, and the IPO of AC Immune on the Nasdaq technology exchange accounted for CHF 60m. (Photo: Robert Huber/EPFL)

2 Highlights 2016

Empa Coating Competence Center opened Empa’s new Coating Competence Center takes tailor-made surface technologies from the laboratory and turns them into a marketable industrial application. The center which was opened in close collaboration with industry in April 2016, is home to various coating facilities for PSI hard material layers, flexible thin-layer photovoltaics and printable electronics, as well as 3D printers for metallic materials and bio-compos- Official opening ites (photo: a precision printing system for organic materials). The center is intended to give Swiss industrial firms the edge over their internation- of the SwissFEL al competitors in terms of innovation. (Photo: Empa) The PSI officially opened its new large-scale research installation SwissFEL on 5 December 2016 (photo: Federal President Johann N. Schneider-Ammann and PSI director Joël Mesot). The ceremony was attended by around 250 visitors from politics, WSL industry and science. The Swiss X-ray Free Electron Laser is part of a new generation of X-ray light sources. Ultrafast processes at molecular and Challenges for forestry practice atomic level are made visible by short light bursts The research programme on “Forests and Climate Change” being under- lasting 10–15 seconds. The expected scientific taken by WSL and the Federal Office for the Environment studied how breakthroughs will spur on important develop- forests respond to higher temperatures and increasing drought between ments in the fields of energy and the environment, 2009 and 2016, with the following result: these circumstances are likely information technology or health. (Photo: Markus to afflict trees greatly, jeopardising timber production and safeguards Fischer/PSI) against natural hazards in the decades to come. Swiss forests may also adapt to climate change within limits. In particular, increased promotion of biodiversity in trees increases their adaptability. In order to implement the results of the research in forestry practice, recommendations are now being developed for woodland management and for choosing trees which are appropriate for the future.

Annual Report 2016 on the ETH Domain 3 Financing and annual financial statements

The ETH Domain is mostly financed with funding from the Federal Government (total federal contribution). For the ERI period 2013–2016, a budgetary framework of CHF 9,657.9m was proposed. The credits corresponded in 2013 and 2014 to the annual instalments of the budgetary framework, after which they were reduced by a net amount of CHF 136.6m as a result of Federal Government savings measures. As a result, the ETH Domain had at its disposal a total of CHF 9,521.3m for the ERI period 2013–2016. With 98.6% of the credit limit applied, the Parliament has implemented the request for secured total federal contribution. ETH Zurich, EPFL, WSL and other partners The credits imputed to the budgetary framework cover the financial requirements for the basic teaching and research facilities Swiss Polar Institute (budgetary framework for operations), and the share of construc- founded tion investments for the government-owned property used by the ETH Domain (budgetary framework for investments). The “Swiss Polar Institute” was founded in April The annual financial statements of the ETH Domain comprise 2016 by EPFL, ETH Zurich, WSL, the University of the statement of financial performance, the balance sheet, the Bern and the publishing house Les Editions Paulsen, under the auspices of the SERI. The cash flow statement, the statement of changes in equity and the interdisciplinary centre researches the poles, which notes, and since 2014 have been produced in accordance with the are particularly hard hit by the effects of global International Public Sector Accounting Standards (IPSAS). warming. The first project is an international scientific expedition around the Antarctic in which 55 researchers from 30 countries are spending Fig. 1: The main financial indicators 2013–2016 three months on board the researcher vessel Akademik Treshnikov, having set off in December CHF millions 2013 * 2014 2015 2016 2016. 22 research projects were selected for this expedition, covering a variety of areas such as Statement of financial performance glaciology, climatology, biology and oceanography. (Photo: AARI, Arctic and Antarctic Research Institute) Operating revenue 3,189 3,450 3,475 3,598 Operating expenses 3,132 3,183 3,252 3,314 of which personnel expenses 63.3% 62.7% 63.0% 63.4% Surplus (+) or deficit (-) 70 272 214 289 Balance sheet Current assets 1,851 1,937 1,994 2,149 Non-current assets 2,138 2,611 2,693 2,892 Balance sheet total 3,989 4,547 4,686 5,041 Liabilities 2,985 3,710 4,321 4,918 Equity 1,004 837 365 123 Equity ratio 25.2% 18.4% 7.8% 2.4% * The figures for the statement of financial performance 2013 do not correspond to the IPSAS.

The year 2016 closed with surplus of CHF 288.6m. This is CHF 74.9m more than the previous year. The increase is the result of 3.5% growth in operating revenue, compared to a rise in operating expenses of just 1.9%. On the revenue side, in addition to federal financing (+2.4%), there have also been increases in research contributions from public sources (SNSF +5.8%, EU-FP +5.2%,

4 REVIEW 2016

CTI +4.1%, federal research funding +22.2%) and private sources The ETH Domain is conscious of its function as a role model. (business-oriented research +4.7%, other project-oriented third- For this reason, on issues of sustainability (see p.113), building party funding +9.9% respectively). On the expenses side, the rises culture and earthquake resistance, the ETH Board works closely in personnel expenses (+2.6%) and other operating expenses with the relevant federal offices and with the institutions of the (+2.9%) were in line with the planned scope. ETH Domain. This also applies to the maintenance of existing The balance sheet increased from CHF 4,686m (2015) to buildings and installations. With a condition value of 82.7% of CHF 5,041m. The increase is attributable mainly to the increase of the original value on the basis of STRATUS, a good level of pres- cash and cash equivalents as well as non-current receivables. The ervation of value and functionality was again demonstrated. net defined benefit liabilities in borrowed capital increased again The work on adapting internal governance processes in real this year, by CHF 473m to CHF 2,572m. The effects of the actuarial estate management was also largely completed in 2016. A new insurance assumptions, which had changed compared to the pre- real estate directive was issued, along with a plan for the internal vious year, resulted in a further reduction of the valuation reserves control of finance- and real estate-related processes. in the equity and overcompensated for the positive annual result. As a result of this, equity decreased by CHF 242m to CHF 123m. Environment and energy

Real estate Potentials for the production of renewable energy are utilised Rising student numbers pose challenge for building activities The institutions of the ETH Domain are not just big consumers of and their financing energy; they also produce a portion of it themselves. A study com- In 2016, major building projects such as the research and inno- missioned by the Federal Council in 2016 has shown that the insti- vation building NEST, the free-electron X-ray laser SwissFEL, the tutions of the ETH Domain are already making very good use of the Arch_Tec_Lab for architecture, and the ArtLab for digital human- available potential, especially in terms of the use of so-called ities were completed and handed over for use in teaching and environmental energy (heating and cooling with geothermal research. At the same time, the real estate sector faces some chal- energy and seawater). lenges: in the past few years, the number of students and doctoral The ETH Domain provided detailed accounts of its activities in students has risen more sharply than the Federal funding for the the areas of environment and energy in 2016’s annual report ETH Domain. Projects which, during planning by the institutions, ’The Confederation: Exemplary in Energy’ published by the Swiss had already been assessed as difficult to fund had either to be Federal Office of Energy (SFOE). In ’The Confederation: Exemplary postponed in the investment plan or, as in the case of the joint in Energy’ the ETH Domain is committed to implementing meas- ETH Zurich/Empa project of research and laboratory buildings in ures for improving energy efficiency. Under the RUMBA programme Dübendorf, dispensed with altogether. (“Management of Resources and the Environment by the Federal As a result of greatly reduced project planning the financial Government“ run by the Federal Department of the Environment, requirements from the 2016 investment credit also fell. This Transport, Energy and Communications, DETEC), the ETH Domain reduced demand resulted in a credit reallocation, amounting to reports every two years on the progress achieved by the institu- 18%, from the investment credit to the operating budget of the tions with regard to resource and environmental management. institutions (Federal financial contribution). The credit allocation The next RUMBA report is due to appear in mid–2017. is within the maximum limit of 20% which was set in the Federal The detailed reporting in the ETH Board’s annual report on the Resolution on the Budget 2016. ETH Domain (see fig. 34, p.115) supplements that of RUMBA, since As mentioned above, some notable building projects could they are based on the same measurement criteria. be completed: at the Empa, the NEST was brought into operation, From 2014 to 2015, the final energy consumption of the the PSI inaugurated the SwissFEL, the EPFL opened the ME and ETH Domain has risen back to the level of 2013, by 12.5 GWh, or ArtLab building, and ETH Zurich handed over the Arch_Tec_Lab to about 2.9% in absolute figures. In 2015 the environmental factors the Architecture department. The common goal of these projects for purchased, certified electricity from Hydropower Switzerland was to meet the needs of teaching and research in a timely and were corrected, which contributed to a significant improvement of cost-effective manner, and to comply with or even exceed the the key figures compared to the uncorrected figures for 2014. On specifications of the Federal Council regarding sustainability and the basis of the figures for 2014, which were also corrected back- innovation of the technologies and plans applied. Two buildings wards, primary energy used fell only minimally and CO2 emissions for student accommodation were opened by private investors remained constant, despite an increase in final energy consump- at ETH Zürich, and at the EPFL work has started on a student tion. residence.

Annual Report 2016 on the ETH Domain 5 REVIEW 2016 | Teaching, Research, Knowledge and technology transfer

Digitisation, Europe and Medicine in Focus Hardly any future issue attracts as much interest nowadays as the opportunities and challenges of digitisation for the economy, society and science. Given their core competencies and development initiatives in teaching and research, as well as in knowledge and technology transfer (KTT), the institutions of the ETH Domain are predestined to make a significant contribution towards helping Switzerland play a leading role in the field of digitisation.

Digitisation will be one of the central drivers of technological and EPFL currently offers around 50 MOOCs (Massive Open Online social change in the near future. Policymakers are also increas- Courses), which are very popular around the world, although this ingly concerned with it. In the year of the report, for example, the is particularly true of French-speaking countries in Africa. While Federal Council firmly reiterated that it lays great store by digitisa- MOOCs are also used in teaching on the campus, they are proving tion and, by creating suitable policy conditions, will help to make to be particularly popular in continuous professional develop- Switzerland a leading player in this field. ment. Some two-thirds of MOOCs are used by people who are not The importance of education and research is being pushed to the pursuing a course in the classical sense. In order to make increas- forefront by everyone concerned in connection with digitisation; for ing use of the potential of MOOCs for continuous professional example, when it comes to extracting applicable findings from big development and to gain further experience, EPFL is planning data, or with regard to initial or further training. Not least of all, it is a an extension school in the future, where confirmation can be question of equipping people for the developments which will be part obtained of the successful completion of courses. and parcel of digitisation in the working world and in everyday life, However, digitisation is also a driving force in the further quali and ensuring that they can make beneficial use of digital technologies. tative development of teaching itself at both universities through As one of the world’s leading teaching centres in natural sci- the use of online courses in lessons. For instance, ETH Zurich is ence and engineering, as well as in life sciences, the institutions using specially developed online courses to implement the con- of the ETH Domain are excellently placed to profitably exploit the cept of the flipped classroom. The purpose of classroom teaching potential of digitisation in teaching and research, as well as to is to explore questions about the course content which was made make a substantial mark on it through their research and in for- available to the students beforehand in online course units. Hav- mation. This is also confirmed by the leading positions of the two ing said that, digital technologies are also being used in numer- Federal Institutes of Technology – ranked first (ETH Zurich) and ous other forms on courses, such as a platform for students to ask eighth (EPFL) respectively – in the new “Computer Science” sec- questions directly during a lecture. In an attempt to step up the tion of the renowned THE World Rankings.1 exchange between the teaching staff and the students, there is also central added value in incorporating digital technologies into Teaching: Academic training in the online age university teaching. In 2016, the two Federal Institutes of Technology once again reported rises in the numbers of students and doctoral students, Strategic focus areas: Exploiting the possibilities of which is evidence of how attractive the courses on offer are. The digitisation total number was up over 3%, and students and doctoral students The new possibilities created by digitisation in research will also exceeded the 30,000 mark for the first time. The largest growth help to progress the strategic focus areas that the ETH Board has in both institutes was in the Master’s courses, followed by the specified as strategic priorities for the ETH Domain between 2017 Bachelor’s and doctorate courses. and 2020. At the end of September 2016, the ETH Board approved With a view towards digitisation, the stand-out aspect of the concepts developed by the institutions for the thematic and teaching is, among others, the development in online courses. organisational orientation of the three new focus areas, which The potential they offer is being deliberately exploited at EPFL and were defined in addition to the existing one, “Energy”. Among ETH Zurich; they are the subject of scientific analysis and are being others, these focus areas concentrate on new scientific, techno- developed further on the basis of this. This applies both to courses logical or social approaches for energy management, for the on the campus, as well as to their use as a resource that is acces- design of social and economic interaction between people, for the sible worldwide, in particular for continuous professional training. quality of life of the individual, as well as for the research into and

1 See p.94, chapter “Rankings and benchmarking”.

6 REVIEW 2016

development of materials with new properties. The basis for this areas. It will offer the services, such as software, methodology or is the computer-aided analysis of large data records, as well as memory and computer capacities, which researchers of different high-resolution digital images and measurement series from disciplines require in order to discover ways of using their scien- complex processes in the environment, in machines and in buil tific data efficiently. The SDSC supplements and uses existing dings, as well as their simulation. research infrastructure such as ETH Zurich’s Swiss National Super- The focus on “Energy” will build on the activities that were computing Centre (CSCS) to enable users from a broad range of previously established in the “Coordinated Energy Research disciplines to obtain the best possible support in data science. Switzerland” action plan. The resources required for this will be In addition to research, infrastructure and services in the area transferred as of 2017 into the basic funding for the institutions. of data science, this strategic focus area is also geared towards The ETH Board has ring-fenced a total of CHF 90m from the training specialists; they are in great demand. This has prompted payment schedule for 2017–2020 for three new strategic focus areas. both ETH Zurich and EPFL to each launch a Master’s degree in Data The content of the four strategic focus areas has been defined by Science, which are due to start for the first time in autumn 2017. the ETH Board with the concepts adopted in 2016 as follows: Advanced Manufacturing Personalized Health and Related Technologies Progress in digitisation is also opening the door to completely new The purpose of the “personalized medicine” approach is to ena- opportunities in production processes and manufacturing tech- ble the huge volume of health- and illness-related data that we nologies because computers, data and products can be connected have at our disposal nowadays to be used to improve patient in a new way. This facilitates extremely innovative developments treatment. Personalized health is synonymous with the efforts to in the manufacture of goods. Through their strategic focus on enable the population as a whole to benefit from the findings, Advanced Manufacturing2, the institutions of the ETH Domain are such as in the area of prevention. In addition to the necessary seeking to make a shared contribution towards ensuring that infrastructure, most notably in the area of medical informatics, Switzerland remains a world leader in this area and, thanks to and the networking of the existing data, this also requires specific the implementation of Industry 4.0, can counteract any further research into interdependencies of medical relevance, for instance deindustrialisation of the country. between genotypic variants and the characteristics of a disease in In order to achieve this, there should be three key aspects to a specific person. One of the key aspects envisaged in the strategic the strategic focus area. Firstly, research projects are to be pro- focus on Personalized Health and Related Technologies is to create moted which explore and further develop the need for equipment platforms which enable different molecular data from clinical and processes in order to progress the free-form production of samples to be linked and to be made available systematically with small parts with high precision. Secondly, research is to be sup- a view towards being used further in research. In addition, there ported in the field of printable electronics, such as those which is a focus in different areas on the analysis of certain data types are or could be used in the retail sector, in healthcare or in envi- and on understanding their health-related significance, including ronmental monitoring. Thirdly, projects will ultimately be pro- in terms of the optimised effect of therapeutic approaches by per- moted which reinforce the sustainability or sustainable use of sonalising them on the basis of data. It is hoped that this will digital production processes. This is a question of developing pro- culminate in the development of devices which provide enhanced cesses which keep the consumption of production materials to a support for research and practice in the area of personalized minimum, which do not require any toxic materials and which health. produce minimal quantities of waste. Cooperation with industry is The strategic research area of Personalized Health and Related important in ensuring that Advanced Manufacturing delivers the Technologies seeks to engage closely with the nationwide Swiss best practical benefits possible. In addition, representatives of Personalized Health Network initiative. As the secure handling industrial partners have significant roles to play in the executive and analysis of large volumes of data is essential in all research committee of the focus area. activities, use is also made of synergies with the strategic focus on Data Science. Energy Research The institutions of the ETH Domain will also continue their activi- Data Science ties in Energy Research as one of their strategic focus areas; the Data Science is concerned with the scientific use and secure han- funding specified in the 2017-2020 Dispatch (on the promotion of dling of huge volumes of data. Intensified research and teaching education, research and innovation) will be integrated in future in this area help to deal with the global challenges facing society, into the contribution paid by the Federal Government (state such as health, energy and food supply, as well as the use of finance). Within the scope of the action plan on “Coordinated resources. With this in mind, EPFL and ETH Zurich are working Energy Research Switzerland”, the Swiss authorities pledged addi- together on establishing the Swiss Data Science Center (SDSC), tional funding to the CTI, the SNSF and the ETH Domain for the per- which will be at the disposal of researchers from all around formance period from 2013–2016. The institutions of the ETH Domain Switzerland. The center will facilitate innovative research by have profited from that both directly and indirectly. Thus, a total of bringing together data scientists and experts from the application CHF 60m of the payment schedule for 2013–2016 was ring-fenced

2 See also www.sfa-am.ch.

Annual Report 2016 on the ETH Domain 7 REVIEW 2016 | Teaching, Research, Knowledge and technology transfer

to consolidate energy research in the ETH Domain. One-third of the Uncertainty in the relationship with the EU affected funds went into developing competencies (new chairs, as well as Switzerland as a scientific location developing and expanding research groups). Two-thirds went into Switzerland’s standing in the European Research Area continued research infrastructure in the field of energy. Furthermore, experts to be marked by great uncertainty in 2016. Since only partial asso- from the ETH Domain played leading parts in operating seven of ciation with the Horizon 2020 research framework programme was the eight Swiss Competence Centers for Energy Research (SCCER), possible following the adoption of the mass immigration initia- which are financed by the CTI. tive, researchers at institutions in Switzerland found that this The special funding pledged within the scope of the action had a discernible adverse effect on cooperation with researchers plan was used to create key themes which will be continued in in the EU. Consequently, the trend from the previous year became the ERI period wherever it is sensible to do so. Appropriate areas even more heightened: cooperation with researchers from of work comprise the likes of energy efficiency, smart networks Switzerland becoming less common, and project partners from and harvesting renewable energy (ETH Zurich), chemicals and Switzerland finding it increasingly more difficult to secure coordi- hydropower (EPFL), as well as catalysis and catalytic biomass nation roles, due to Switzerland’s status as a third country. This conversion (PSI). Furthermore, the “Energy System Integration development was damaging to Switzerland’s standing as a scien- Platform” (ESI) was set up on the PSI site in close collaboration tific centre and is having a detrimental impact on its attractive- with the Empa research platforms NEST and move. Among other ness for leading researchers and research institutions. things, Empa funded a joint project involving three Empa labora- With the Protocol on the extension to Croatia of the Free Move- tories in the field of electrodes for thin-layer solar cells; some of ment of Persons Agreement between the EU and Switzerland having the funds were used for the joint venture between EPFL and Empa been ratified by the Federal Council within the set deadline, full on the “Laboratoire des matériaux pour les energies renouvela- association with Horizon 2020 was achieved at the last minute. The bles” (LMER) in Sion. WSL and Eawag ultimately launched a joint ETH Board is delighted by this and expects positive effects on inter- research programme on the subject of “Energy Change Impact”. national cooperation within the framework of Horizon 2020, which will soon make Switzerland one of the most successful countries KTT bolstered by the “Switzerland Innovation” generation to participate in projects of the European Research Program. project One area for which this development is particularly important Thanks to the new knowledge and expertise being generated is the prestigious grants from the European Research Council in the strategic focus areas, for example, the institutions of the (ERC grants). In 2016, the institutions of the ETH Domain were ETH Domain are making a substantial contribution towards once again very successful in applying for ERC grants. With the addressing the pressing problems of our age. Innovative tech- loss of partial association, a status which had existed since 2014, nologies and their implementation in products, processes and Switzerland would have relinquished its entitlement to be involved services help to keep Switzerland competitive globally, despite the in this important support programme. strength of the franc. An efficient KTT is decisive for the well-being The exclusive criterion for the extremely competitive award of of Switzerland. The institutions of the ETH Domain give their these grants is the scientific excellence of the proposals and of counterparts appropriate support, such as on questions about the researchers. The grants give the distinguished researchers a cooperation with industry or about inventions, patent applica- high degree of international credibility and substantial funding to tions and licensing, as well as on founding spin-off companies. implement their research approaches (“ERC Starting Grants” up to 2016 was also a successful year in this regard, as the statistics from EUR 1.5m, “ERC Advanced Grants” up to EUR 2.5m, “ERC Consolida- the ETH Domain bear out.3 tor Grants” up to EUR 2m and “ERC Proof of Concept Grants” up to The “Switzerland Innovation” generation project is intended EUR 150,000). to help the KTT, particularly bolstering Switzerland’s standing in In 2016, six researchers from ETH Zurich and five from EPFL were the competitive international arena. The project is backed jointly awarded an “ERC Starting Grant”. This gives the young lead- by central government, the regions, the science sector and indus- ing-edge researchers an excellent opportunity to develop their try. The institutions of the ETH Domain are fully embedded both scientific careers. “ERC Advanced Grants” are awarded to estab- nationally and regionally and, thanks to their international repu- lished researchers who are leading lights in their chosen fields. tation, expertise and networking, have a key role to play in the Four researchers from ETH Zurich and seven from EPFL were awarded successful implementation of Switzerland Innovation. Therefore, these in 2016. Three researchers from ETH Zurich, seven from EPFL the ETH Domain will be actively engaged in the future conceptual and one from PSI were awarded an “ERC Consolidator Grant”. The design and implementation of the Switzerland Innovation strategy. grants will enable the researchers to establish their own research It is represented on the board of trustees of the national fun groups and to advance their careers. In addition, three “ERC Proof ding body by the President of the ETH Board, the President of of Concept Grants” were awarded to researchers from ETH Zurich ETH Zurich, the Vice-President for Innovation and Valorisation of and eight to researchers from EPFL. These grants support research- EPFL and by the Director of the PSI. ers, who had previously received an ERC grant, in implementing the results of their research in commercial or social applications.

3 See p.88, chapter on “Academic achievement report”.

8 REVIEW 2016

Full association in Horizon 2020 permits the researchers of the As had been announced in previous years, the two Federal ETH Domain to fully participate in collaborative research projects Institutes of Technology will also be involved increasingly in training from the EU as of 2017. Start-ups and spin-offs now again have in Human Medicine in future. As new discoveries in natural the possibility to submit applications in the areas of “access to sciences and technology are increasingly influencing the develop- risk finance” and “innovation in SMEs”. Particularly important is ment of medicine in many areas, priority is being given to training the fact that Switzerland is again represented in the bodies that doctors who increasingly come from natural science and engi- shape the orientation and content of the work programmes of neering backgrounds. Horizon 2020. The central importance of such a contribution to With this in mind, ETH Zurich is set to offer a separate Bache- Switzerland as a scientific location has become clear in the phase lor’s degree course in Human Medicine with 100 places. The cur- of partial association, which has been ongoing since 2014. riculum has been developed in close cooperation with the Univer- sities of Zurich and Basel, as well as the Università della Svizzera The FET flagship Human Brain Project is on track italiana. Graduates in this course at ETH Zurich are guaranteed the The FET (Future and Emerging Technologies) flagship Human Brain option of continuing to study a Master’s degree in Human Medi- Project (HBP), which is headed by EPFL, successfully completed in cine at one of those three universities. The first course launches in 2016 the preparatory phase which started in October 2013. One of autumn 2017. EPFL has stepped up its cooperation with the Uni- the objectives of the preparatory phase for the HBP was to set up versities of Lausanne and Geneva and is expanding the existing integrated and joined-up research infrastructure for neurosci- links. This allows graduates with a Bachelor’s degree in Life ence, medicine and computer science. This objective was met in Sciences from EPFL to transfer over to the Master’s course at the March 2016 when the first versions of six ICT platforms (Neuroin- faculties of Medicine at the Universities of Lausanne or Geneva formatics, Brain Simulation, High-Performance Computing, Medical after completing an additional year which is focused on medicine. Informatics, Neuromorphic Computing and Neurorobotics) were The number of places is being increased to 40 within the scope of placed at the disposal of the scientific community for use and the special Medicine programme. It is hoped that at least half of further development. those places will be filled by Bachelor’s graduates from EPFL. Upon completion of the preparatory phase, the European Com- The ETH Board regards the greater involvement of ETH Zurich mission availed of the opportunity to evaluate the performance and of EPFL in training doctors as a milestone. Not only because it of the FET flagships up to now and to make recommendations for will help to alleviate the shortage of doctors, but in particular the next phase. The assessors were of the opinion that the HBP because it allows this involvement to focus increasingly on prom- successfully overcame the teething difficulties. According to ising areas of research in medical training, areas in which the them, it is delivering a series of promising results in neuroscience institutions of the ETH Domain are world leaders. After all, and has developed unique infrastructure for neuroscience in advances in digitisation are also bringing about further change in Europe and beyond. The research plan to achieve the envisaged medical research and medical practice. Through their commit- objectives is said to have been adapted, and a new governance ment to personalized medicine, translational medical research structure with three committees has been successfully intro and, in future, to the training of doctors, the institutions of the duced. In light of these positive outcomes, the European Commis- ETH Domain are set to play a key role in exploiting the potential of sion signed the agreement to finance the next phase of the HBP digitisation for medicine in Switzerland. in August.

Contributions towards the training of doctors In recent years, central governments and the regions have worked together to define measures which are intended to lead to an increase in the number of places on university courses and, as a result, in the number of people qualifying in Human Medicine. This is in an attempt to counteract the lack of trained doctors, a situation which is set to be exacerbated in Switzerland in the coming years. Central government will be providing start-up funding with a special Human Medicine programme, for which CHF 100m has been made available within the scope of the 2017–2020 ERI Disptach. This is intended to increase the number of people graduating in Medicine from the current figure of almost 900 to 1,350 from 2025 onwards. Central government and the regions, as well as the universities involved, defined the key criteria for the distribution of this additional funding at the Swiss University Conference on 18 November 2016.

Annual Report 2016 on the ETH Domain 9 Fascination Fascinating, diverse and on the highest international level – qualities the ETH Domain stands for and which the employees of the two Federal Institutes of Technology commit themselves to on a daily basis in the service of society, the economy and the environment.

ETH-Domain EPFL Reaching Staying new targets young in more quickly old age The rapid pace of technical Nutrition researcher progress is producing huge Johan Auwerx uses modern volumes of data. It has to molecular biological methods be filtered, processed and at the EPFL to study how presented in an intelligible metabolic processes affect form. Therefore, data science health and ageing. “The aim plays an important role in is to die young, but as late as all institutions of the possible,” explained the EPFL ETH Domain. → p.12 ETH Zurich professor. → p.16 Innovative research, happy pilots and enthusiastic spectators There were only winners at the world’s first Cybathlon organised by ETH Zurich. The event gave people with disabilities the chance to show how they are better equipped to cope with everyday challenges thanks to state-of-the-art assistive technologies. Around 4,600 spectators roared the teams on. → p.14 10 (Photo: Nicola Pitaro/ETH Zürich) Fascination

PSI Eawag Brilliant Detecting X-ray light unknown The views inside the Swiss harmful Light Source are every bit as unique as the exterior of the substances building is exotic. With first- rate X-ray systems at their Thousands of chemical disposal, researchers from all substances seep into the around the world examine environment every day. microstructures and develop Sharing experiences about WSL new materials or medications. newly developed harmful → p.18 substances is one of the Oak instead objectives of NORMAN, Empa a European network of of spruce reference laboratories, research centres and Rising temperatures and Better, safer affiliated organisations. increasing dryness are and even → p.24 placing trees under stress and changing the composition of more cost- our woodlands. The vegetation zones have moved up around efficient 500 metres. This has been revealed by a research batteries programme conducted by the Researchers are developing new WSL and the Federal Office for concepts for the next genera- the Environment. → p.20 tion of batteries at the Empa. For the purposes of mobile applications, they are using a solid-state battery which does not contain any liquid electrolytes, which means that it cannot burn or even explode. In stationary energy stores, expensive lithium is to be replaced by more cost-efficient substances which are available in abundance. → p.22

Annual Report 2016 on the ETH Domain 11 FASCINATION ETH DOMAIN | Data Science

Reaching new targets more quickly The rapid pace of technical progress is producing huge volumes of data. It has to be filtered, processed and presented in an intelligible form. Therefore, data science plays an important role in all institutions of the ETH Domain. Its development will be accelerated further in the future.

12 FASCINATION ETH DOMAIN

Gunnar Rätsch, professor for Biomedical Information Technology treatment of cancer. “It will require even more research here to at ETH Zurich, combines data science with biomedicine. This inter- confirm that the molecular analysis helps.” According to Rätsch, face is also being strengthened by a financial contribution from “our data scientific perspective can provide completely new University Hospital Zurich (USZ) towards the chair and through insights here – it is very exciting.” Particular importance is additional premises at the USZ. With his team, Rätsch is develop- attached to the protection of patient data. Thus, ETH Zurich is ing an early warning system for patients on ITUs. It is designed to developing a new High-Performance Computing System, which trigger an alarm a few hours before renal failure occurs. “For the is particularly suitable for data of a medically sensitive nature. purposes of analysis, we are using current machine learning tech- “The systems are specially protected, and the data is saved in niques to predict how cases will progress based on past events encrypted form,” explained Rätsch. and treatment that has been performed,” explained the data Collecting and analysing huge volumes of data is a relatively scientist. Other projects are concerned with the personalized new technique in many fields. There is a tradition of it in environmental research. For instance, the researchers from the WSL work with data which is over a century old. Christoph Marty from the You can find the full article at: WSL Institute for Snow and Avalanche Research SLF in Davos www.ethboard.ch/fascination examines the snow cover and its changes in the past and in the future: “Trends only emerge through the great background noise when you look at data from over a longer period.” For example, the early winters of 2015 and 2016 which brought hardly any snow to the ski resorts were rare events. “However, based on the models with which we feed our data,” explained Marty, “we can predict that these situations will occur with increasing frequency in the future.”

Processing raw data directly in-situ Modern data science plays an important role in all the institutions of the ETH Domain. Carlo Albert is focusing on phytoplankton, which consists of algae and bacteria, at the Eawag, using statistical physics methodology. “Applying these techniques to living matter has become a new trend,” explained the physicist. At EPFL, Anastasia Ailamaki has developed a software which processes the raw data in-situ without the need to have previously prepared, transformed or loaded it into a system. “We access never-before-seen data only when needed. Our programmes harmonise diverse datasets and then generate customised computer code to answer the user’s questions,” explains the EPFL professor. “The new type of ‘data science’, with automation, standardi- sation and a generally intelligible view of the results, has completely changed our working practices,” explained Daniele Passerone, head of the “Atomistic Simulation” Group at Empa. Researchers at the Empa are using automated technology to develop new mate- 1 Between data science and personalized medicine: the rials for electronic components. internationally renowned There is exponential growth in the volume of data; this is also specialist in medicine and bioinformatics Gunnar Rätsch, the case at the PSI. “The data must be processed more quickly professor at ETH Zurich, also works closely with University and more effectively to keep pace with data collection,” explained Hospital Zurich. He develops the Gabriel Aeppli, head of the Synchrotron and Nanotechnology latest statistical methods for extracting medical information, Department at the PSI. such as from hospital archives. A new Swiss Data Science Center is intended to accelerate the 2 Anastasia Ailamaki, professor use of modern data science in Switzerland and help to bridge the of Data for Computer Sciences at EPFL, and her team have gap between the data scientists and the users. “This is a huge spent four years developing challenge,” said Olivier Verscheure, head of the Center. “However, “RAW” software which analyses data simply and efficiently training is also important,” stressed EPFL professor Edouard Bugnion. in-situ and provides answers. Therefore, EPFL and ETH Zurich are now offering Master's degree 2 She founded her own firm “RAW Labs” in 2015. courses in Data Science.

Annual Report 2016 on the ETH Domain 13 FASCINATION ETH DOMAIN | ETH Zurich | Cybathlon

Innovative research, happy pilots and enthusiastic spectators There were only winners at the world’s first Cybathlon organised by ETH Zurich. The event gave people with disabilities the chance to show how they are better equipped to cope with everyday challenges thanks to state-of-the-art assistive technologies. Around 4,600 spectators roared the teams on. This gave researchers new impetus in their development of even better aids.

Cutting a slice of bread or screwing in a lightbulb – the sell-out performed ballistically, as is the case with knee prostheses, which crowd were spellbound in the seats of the Swiss-Arena in Kloten use momentum to accelerate, not a motor.” as people with arm amputations mastered these everyday tasks Paralysed muscles can also be moved again through functional with the aid of high-tech prostheses. Each of the pilots was electrical stimulation. One of the bike races at the Cybathlon greeted by rapturous applause as they crossed the finishing line of brought together pilots with electrodes attached to their skin or the Cybathlon parcours circuit. “The joy of the pilots and specta- implanted. New types of electrodes and a new activation mecha- tors was overwhelming,” said Robert Riener, whose brainchild nism enable people with paralysis to step on the pedals, generat- the event is and who organised it in October 2016. ing force efficiently; this, in turn, builds up their muscles and 150 journalists from right around the world were accredited to improves their circulation. report on the competitions, which brought together 66 teams So, was the Cybathlon a success? Lino Guzzella, President of from 25 countries. As Riener, professor of Sensory-Motor Systems ETH Zurich, is in no doubt: “ETH professor Robert Riener’s visionary at ETH Zurich, stated, “it wasn't about going higher or further or idea has developed into an event which resonates globally. We faster, it was about coping with everyday life. As a researcher, are planning to continue it. ETH Zurich is all about developing you have to sit down with the users, the people with disabilities, solutions which will bring society on in the future.” right from the word go and seek new solutions together with them.” For many research groups, the Cybathlon was the trigger to You can find the full article at: put these discoveries into practice, to integrate them into their www.ethboard.ch/fascination research planning and to develop new projects together with the 1 Walking upright despite being pilots. paralysed: Philipp Wipfli advances step by step to task 5 in the exoskeleton race. The motorised At eye-level thanks to an exoskeleton “VariLeg” support apparatus was Students from ETH Zurich and from Zurich University of the Arts developed by a team of students and doctoral students from ETH built a motorised wheelchair that was able to climb stairs thanks Zurich. The prototype is controlled via the handles of the crutches. to its innovative caterpillar technology. A second ETH team (Photo: Nicola Pitaro/ETH Zurich) designed a robotic exoskeleton which enables people with para- 2 Successful premiere: Robert Riener, plegia to walk again. Being able to chat to someone at eye-level who came up with the idea of the is particularly important, explained the winner of the race, André Cybathlon (l.), addresses the media – in particular Swiss television van Rüschen, who uses an exoskeleton which is already on the broadcasting SRF and 3Sat, who streamed live coverage of the event market. “When I am standing up, I am part of the wider group,” on a theme day. said the 44-year old German who has been paralysed since being (Photo: Alessandro Della Bella/ ETH Zurich) in a car crash 14 years ago. However, the competition also showed how unwieldy the 3 The spectators in the Swiss-Arena are amazed at the commitment current support apparatus is; it requires a great deal of physical shown by the competitors. (Photo: Alessandro Della Bella/ effort by the pilot. “The technology is still not good enough to ETH Zurich) enable users to do everyday chores better than with a wheel- 4 59-year old Mark Muhn from chair,” said Robert Riener. He is working on the development of Team Cleveland completed the a soft exoskeleton and drew inspiration for new ideas at the circuit on his recumbent bike in under three minutes. Cybathlon: “Part of the running action in exoskeletons could be (Photo: Nicola Pitaro/ETH Zurich)

14 FASCINATION ETH DOMAIN

2 3 4

Annual Report 2016 on the ETH Domain 15 FASCINATION ETH DOMAIN | EPFL | Ageing and Nutrition

16 FASCINATION ETH DOMAIN

Staying young in old age Nutrition researcher Johan Auwerx uses modern molecular biological methods at the EPFL to study how metabolic processes affect health and ageing. “The aim is to die young, but as late as possible,” explained the EPFL professor who was awarded the Marcel Benoist Prize in 2016.

Johan Auwerx was surprised to be honoured with the Swiss sci- B3 and is contained in milk. However, the researchers experience prize: “It is good recognition of the research that I have been mented at much higher doses than those which occur naturally. doing in Switzerland for nine years,” the Belgian added. In the “You would have to drink 50,000 bottles of red wine to achieve an scientist's opinion, the most important difference between the effect,” Auwerx explained. modern world and life 150 years ago is not aviation, nuclear A second strategy is inspired by Nietzsche's quote “that which weapons or the Internet, “it is life span.” The average life expec- does not kill us, makes us stronger”. Mitochondria are organelles, tancy has risen from 40 to almost 80. “Whereas we used to have derived from endo-symbiotic proteobacteria, within the cells of one lifetime, now we have two.” And the illnesses set in with the the body. Mitochondria can be made more stress resistant through second one. the use of low doses of antibiotics, which kill bacteria. The EPFL Johan Auwerx's advice for enjoying a good quality of life after professor admits that “the concept appears counter-intuitive 50 is to “keep your mitochondria in good shape.” Mitochondria because we are actually using poison. However, it works with are the powerhouses of the body’s cells. Auwerx and his research worms and mice.” Preparations are under way for clinical trials. group are studying the signal networks which control the func- In addition to the production of more or stronger mitochondria, tioning of the mitochondria, thereby regulating the metabolism in the EPFL team has developed a third strategy for countering the good health, ageing and illness. They are pursuing various strate- effects of ageing: Recycling the damaged organelle. The process gies there for increasing the activity of mitochondria. One possi- can be supported by a compound, which occurs naturally in the bility is biogenesis. “That means producing more new mitochon- pomegranate. However, it does not occur in the red seeds, it is in dria,” explained the molecular biologist and medical scientist. the surrounding white skin or husk. In addition, there has to be a certain bacteria in our intestines in order to release the correct Wine, milk and pomegranates component. “That bacterium is only present in half of the popu- In studies, the researchers demonstrated that two naturally occur- lation,” explained Auwerx. He has not tested whether he is one of ring substances stimulate the formation of new mitochondria in those people. “I do not take any of those supplements,” revealed threadworms and mice. One named resveratrol is contained in red the 58-year-old. “I feel well, and a healthy diet is sufficient for me wine, while the other, nicotinamide riboside, equates to vitamin for the time being. Perhaps that will change when I am a bit older.”

You can find the full article at: 2 3 www.ethboard.ch/fascination

1 Johan Auwerx, Professor at EPFL, has been awarded this year’s Marcel Benoist Prize for his work on mitochondria and their role in the metabolism.

2 An examination of muscle stem cells. Whether these form new muscle as required depends essentially on the condition of their mitochondria.

3 With a specially designed microfluidic device and a microscope, Matteo Cornaglia examines threadworms as test animals.

Annual Report 2016 on the ETH Domain 17 FASCINATION ETH DOMAIN | PSI | Swiss Light Source

Brilliant X-ray light for leading-edge research The research facility on the site of the Paul Scherrer Institute looks like a giant UFO. The views inside the building are every bit as unique as the exterior of the building is exotic. With first-rate X-ray systems at their disposal, researchers from all around the world examine microstructures and develop new materials or medications.

Radar waves have a very long wavelength. One of the physicists, You can find the full article at: Oliver Bunk, explained that “this enables them to track the arrival www.ethboard.ch/fascination of a ship or aircraft. You need X-ray light with a very short wavelength to see crystals, molecules or atoms.” The Swiss Light Source, or SLS for short, produces precisely this at the Paul Scherrer Institute (PSI) in the town of Villigen in Aargau. Oliver Bunk is the Director of the Laboratory for Macromolecules and Bioimaging: “As our scientists were involved in the design and construction of the facility and are continually working to refine the methodology, the SLS ranks among the top facilities of its kind in the world.” At the heart of the SLS there is a particle accelerator in which electrons are brought almost to the speed of light. The electrons race around in a vacuum tube, closely bundled together, in the electron storage ring which has a circumference of almost 300

metres, until they are braked by magnets and radiate light. With 1 Oliver Bunk at the SLS: The experimentation this synchrotron light, researchers from home and abroad illumi- hall has a diameter of over 130 metres and is spanned by a wooden roof. Concrete plates nate minute structures on 16 beamlines and are developing new shield the particle accelerator. Many billions materials. of electrons rotate a million times a second. When they are braked by magnets, they radiate synchrotron light.

Energy-saving computer chips 2 A 3D microscope makes details visible on a If the semiconductors in the microchips could be replaced by a scale of a few nanometres, thanks to the synchrotron light. The sample is not damaged new superconducting material, for instance, this would save a lot in the process.

2 1

18 FASCINATION ETH DOMAIN

of energy. These materials currently have to be cooled to very low PSI researchers have developed a new 3D microscope which maps temperatures to enable them to actually conduct electricity loss- samples like a tomograph without causing any damage to them. free without any resistance. However, the flow of energy becomes The synchrotron light supports a resolution in the nanometre very sluggish under normal operating conditions. Through exper- range (a millionth of a millimetre). It can be used to examine iments at the SLS, the causes of this impeded flow of energy were tissue samples, for example, in order to study cell growth. explored by a team from the PSI, together with colleagues from “As things stand, we can keep pace internationally very well,” ETH Zurich and the RIKEN research institution in Japan. These find- explained Oliver Bunk. The PSI is planning an upgrade under the ings will help to alter similar materials specifically in such a way name SLS 2.0 in order to remain at the world's cutting edge in the that they also conduct energy loss-free at higher temperatures. future. “This does not mean that we are stopping everything Since its launch in 2001, the SLS has been particularly successful here,” the physicist said reassuringly. The intention is to replace in exploring the structure of proteins. These studies help, among the light source, i.e. the accelerator. The beamlines, which account other things, to foster the development of new drugs. Two beam- for a considerable portion of the research infrastructure and of the lines were then funded in part by pharmaceutical companies. The funding, will remain. 2

Annual Report 2016 on the ETH Domain 19 FASCINATION ETH DOMAIN | WSL | Research Programme Forests and Climate Change

Oak instead of spruce Rising temperatures and increasing dryness are placing trees under stress and changing the composition of our woodlands. The vegetation zones have moved up around 500 metres. This has been revealed by a research programme conducted by the WSL and the Federal Office for the Environ- ment, which is also aimed at recommendations on how woodland owners and forest rangers can adapt woodland to reflect climate change.

1 2

20 FASCINATION ETH DOMAIN

“Woodland like this will be barely imaginable in 100 years,” Since the dawn of industrialisation, temperatures in Switzerland explained Peter Brang, Leader of the Research Programme on For- have risen by almost two degrees already, which is twice the ests and Climate Change at the Swiss Federal Institute for Forest, global average. According to forecasts, they are set to rise by Snow and Landscape Research WSL in Birmensdorf. He points to an another two degrees or more. The WSL and the Federal Office for area of woodland, predominantly populated by spruce – a typical the Environment (FOEN) have been studying the implications of coniferous forest, the type frequently encountered on the Swiss climate change for woodland since 2009 in a comprehensive Plateau. “The spruce is greatly endangered by climate change,” research project which incorporates over 40 projects. The pro- explained Brang. Spruce struggles to withstand dry conditions gramme, which has also involved ETH Zurich and the Paul Scherrer and is susceptible to the “book printer”, a type of bark beetle, Institute (PSI), has cost around CHF 20m. which develops more quickly at higher temperatures. The people leading the research programme briefed the media in November Biodiversity lowers risk 2016 in nearby woodland to report on the results. The current woodland on the Swiss Plateau will shift to an altitude of 1,000 metres. At lower levels, deciduous trees which are more2 resistant to dry conditions, such as the durmast oak or the cherry tree will replace the spruce. Forest rangers and woodland owners should adapt their woodland management to reflect these future conditions at this stage so as to ensure that, in the future, the woodland is also protected against natural disasters, acts as a recreation space and produces timber yield. “Our general advice is to increase the diversity of trees,” explained Peter Brang, summing up. “This will lower the risk of an area of woodland suddenly being stripped bare due to drought or pests.” The experts are backing varieties of trees which already exist in Switzerland, such as oak and silver fir. Douglas fir originating in North America can also be mixed in. Implementation in practice is one of the central concerns of the research programme. The principles for the adaptation strategies are set out in a book which summarises the results of the programme. Specific recommendations about varieties of trees and woodland management are now being developed within the scope of forest tests, together with the cantonal agencies, as well as with woodland owners, the timber industry and environmental organisations. This will also involve the implementation of a legal provision which Parliament added to the existing Forest Act in April 2016 in order to guarantee that precautions are taken to counter climate change – an urgent undertaking. The research programme has concluded that the most costly approach would be to do nothing.

You can find the full article at: www.ethboard.ch/fascination

1 Peter Brang in typical deciduous woodland which is predominantly spruce and which will be barely imaginable in 100 years because spruce is greatly endangered by climate change.

2 Autumn leaves from a diverse foliage forest, which also contains drought-tolerant species such as cherry tree and oak.

Annual Report 2016 on the ETH Domain 21 FASCINATION ETH DOMAIN | Empa | Battery Research

22 FASCINATION ETH DOMAIN

Better, safer and even more cost-efficient batteries Researchers are developing new concepts for the next generation of batteries at the Empa. For the purposes of mobile applications, they are using a solid- state battery which does not contain any liquid electrolytes, which means that it cannot burn or even explode. In stationary energy stores, expensive lithium is to be replaced by more cost-efficient substances which are available in abundance.

The battery market is dominated by lithium-ion batteries. They He is developing a battery which is made from aluminium and can be inserted into a smartphone or computer, and can be used artificially produced carbon (graphite), chloride, as well as organic in electric cars and are already in use for the decentralised storage solutions. The researcher pointed out that while the energy den- of solar energy at the EPFL. “These batteries have been developed sity is only half that of a lithium battery, the materials used are primarily for wearable electronic devices, revolutionising the much cheaper; “they are among the 15 most common elements technology used there,” explained Corsin Battaglia, a researcher on the planet.” After three years working on its development, at the Empa. “We are now looking to develop the next generation Kovalenko filed a patent for his invention in 2016. of batteries which are better suited to new applications, such as in the area of mobility and for stationary energy storage, for Solid state instead of liquid electrolytes instance in buildings.” Corsin Battaglia is pursuing a different idea: “Current lithium-ion However, batteries that store solar or wind energy have to be batteries all have liquid electrolytes inside,” explained the Head cost-efficient. “And the material must be available in abundance,” of the “Materials for Energy Conversion” Department. These said Maksym Kovalenko, professor at ETH Zurich who also conducts batteries can leak and, worse still, the liquid may ignite and the research at the Empa and whose work has received several awards. battery may even explode. Thus, cell phone and laptop batteries must often be called back. “We replace the electrolyte with a non-flammable, solid substance,” said Battaglia, “which increa 1 Maksym Kovalenko, Professor of Functional Inorganic Materials (l.) and Dr Corsin Battaglia, Head of the ses safety, and we hope to be able to achieve greater capacity or “Materials for Energy Conversion” Department in the laboratory at the Empa. New battery systems are energy density.” developed here, and their functional suitability is tested. In the coming years, the researchers are hoping to develop 2 Inexpensive raw materials instead of lithium will make a solid-state battery of this nature that is marketable. “We can the storage of renewable energy cost-efficient. concentrate here on solid materials science, which is our forte,” Doctoral student Tanja Zünd presents the test results. indicated Pierangelo Gröning, Head of the “Modern Materials and Surfaces” Department and Head of the Empa Research Focus Area on “Nanostructured Materials”. To enable the ions to penetrate effectively through the solid-state electrolyte, it must be as thin as possible. With that in mind, the researchers are using thin- layer technology which the Empa has been using for years in the manufacture of solar cells. The end product is a flexible film with electrodes. This thin- film storage battery is particularly suitable for trendy wearable electronics because it is easy to incorporate and is not flammable. Initial specimen batteries have demonstrated that the theory works. The next step for researchers is to increase the power density and capacity. Pierangelo Gröning anticipates that they will have “very telling results” by as early as the end of 2017.

2 You can find the full article at: www.ethboard.ch/fascination

Annual Report 2016 on the ETH Domain 23 FASCINATION ETH DOMAIN | Eawag | NORMAN Network

1 The environmental chemists Dr Emma Schymanski, Prof. Juliane Hollender and laboratory assistant Birgit Beck (from left) take a water sample to test for micro-impurities such as pesticides or pharmaceutical residue.

2 Detective work in the laboratory: using high-tech analysis equipment, the Eawag researchers discover previously unknown target substances. 1

24 FASCINATION ETH DOMAIN

Detecting unknown harmful substances Thousands of chemical substances seep into the environment every day. Sharing experiences about newly discovered harmful substances is one of the objectives of NORMAN, a European network of reference laboratories, research centres and affiliated organisations. The Swiss Federal Institute of Aquatic Science and Technology, or Eawag, is a significant Swiss partner which is actively engaged in this.

The NORMAN network, with a good 70 members, celebrated its Public database for greater transparency tenth anniversary in Brussels at the end of October 2016. Juliane One of these databases was created by the NORMAN network Hollender was there. “Through the Eawag, Switzerland is a fully in 2012. Eawag researcher and former Marie Curie Fellow Emma involved and valued partner of this European institution,” Schymanski played a significant role in the set-up and operation explained the head of the Environmental Chemistry Department of this NORMAN MassBank: “We supplied a large volume of mass of the Eawag and professor at ETH Zurich. She specialises in dis- spectra for that and it can now be accessed right around the covering unknown harmful substances applying new analytical world,” said the scientist, who is aiming to find solutions for techniques. Within NORMAN, she also leads a working group on harmful substances in the environment through the NORMAN net- what are known as non-target screenings. work in the EU “Solutions” project. The undesired micro-impurities are residue traces of pharmaceuticals in rivers and lakes, for example. Diclofenac, which is Reducing the risk of pesticides the basis for many painkillers, made headlines right around The environmental chemists are not only searching for pharma- the world; it can be harmful to fish. The researchers use high- ceutical drugs in water; as Juliane Hollender pointed out, “pesti- resolution mass spectrometry to identify unknown substances. cides frequently pose an even greater risk to the environment. State-of-the-art devices can determine molecule masses with Three years ago, the Eawag researchers conducted searches in extreme precision. Software reads substance signals from the data rivers and lakes for all the pesticides that are licensed in Switzer- and calculates the chemical composition of the substance con- land. “We were surprised at how many we found,” explained the cerned. A comparison with databases can then reveal what sub- scientist. On average, each water sample contained 40 different stance it is. pesticides. In future, it is hoped that a “National Action Plan on Pesticides” will reduce the risk and ensure that pesticides are used more sustainably. According to the environmental chemists’ measurements, artificial sweeteners account for the highest concentrations of organic 2 micro-impurities in water. Between 50 and 100 kilograms of ace- sulfame pass through the Rhine monitoring station at Weil near Basel every day. “While we cannot rule out the possibility that this could be a problem for certain organisms,” said Juliane Hollender, “we should not over-dramatise this issue, even though there are sometimes very low concentrations of sweeteners in our drinking water as well.” Even though the analyses largely run automa tically, they still require a great deal of detective work. “They would not work without expertise,” explained the Eawag researcher. “The NORMAN network also acts as a springboard for us to find partners for EU projects.”

You can find the full article at: www.ethboard.ch/fascination

Annual Report 2016 on the ETH Domain 25 Governance

26 Governance

Structure and leadership 28

Organisation and management bodies 30

Members of the ETH Board 32

Monitoring and audit 34

Risk situation and risk management 35

New Members of the ETH Board 2017 36

Personnel matters 37

Annual Report 2016 on the ETH Domain 27 GOVERNANCE | Structure and leadership

Structure and leadership of the ETH Domain The mandate to operate the Swiss Federal Institutes of Technology (Art. 63a para. 1) is anchored in the Federal Constitution. The ETH Act as the law concerning the ETH Domain defines this mandate. It also forms the legal foundation for the operation of the four research institutes of the ETH Domain.

The ETH Domain: legal basis ——to foster junior scientific staff, The Federal Act on the Federal Institutes of Technology of 4 Octo- ——to provide scientific and technical services, ber 1991 (ETH Act) defines the status, structure and mission of ——to ensure a dialogue with the public, the ETH Domain. The ETH Domain is autonomous within the ——to make use of research findings. framework of the law, and it is affiliated to the responsible department pursuant to the ETH Act. This has been the Federal The institutions of the ETH Domain discharge their mission in accord- Department of Economic Affairs, Education and Research (EAER) ance with internationally recognised standards. They take account since the beginning of 2013. The ETH Act defines the autonomy of of Switzerland’s needs and promote international cooperation. the two Federal Institutes of Technology (ETH Zurich and EPFL) and the four research institutes. The ETH Board is the strategic govern- Strategic objectives and funding ing and supervisory body of the ETH Domain. The ETH Domain is managed according to an effect-oriented model. The political authorities specify performance standards to be met and Tasks and leadership key financial parameters, while the ETH Domain is responsible for According to Art. 2 of the ETH Act, the objectives of the two Federal implementing the specifications in its capacity as a service provider. Institutes of Technology and the four research institutes (institu- The political leadership rests with the Federal Council and tions of the ETH Domain) are the Federal Parliament. The central leadership tools are the ——to educate students and specialists in scientific and technical federal resolution on the four-year financial framework for the fields and to ensure continuing education and training, ETH Domain, which is passed by Parliament within the scope of ——to expand scientific knowledge through research, the Federal Council’s Dispatch on the Promotion of Education,

ETH Domain

11 members Staff: 50 employees* ETH Board

Federal Institutes of Technology

over 19,000 students and doctoral students over 10,000 students and doctoral students 11,157 employees* 5,870 employees* ETH Zurich EPFL

Research institutes

2,049 employees* 495 employees* 936 employees* 497 employees* PSI WSL Empa Eawag

* Employment contracts including doctoral students as of 31 December 2016.

28 GOVERNANCE

Research and Innovation; the corresponding “strategic objectives” the Federal Council informs Parliament within the scope of its (replacing the “performance mandate” as of 2017) set by the Federal modular reporting with a summary report and a detailed report. Council for the ETH Domain; and the annual credit allocation from In a self-evaluation report in each half of the performance Parliament. These political tools are supplemented by financial period, the ETH Board indicates the extent to which the strategic controlling, which provides information on accounting and mission objectives of the Federal Council have already been met. The fulfilment. The common principles for the management of compa- self-evaluation report of the ETH Board serves as the basis for the nies and entities with close links to the Swiss Federation are pre- evaluation of the ETH Domain by outside experts (peer review), sented in the corporate government reports of the Federal Council. which is to be carried out by the EAER. Along with the application The ETH Act has been revised within the scope of the Dispatch for funding for the next performance period, the EAER informs on the Promotion of Education, Research and Innovation 2017– Parliament on the status of the achievement of objectives in an 2020 (ERI Dispatch 2017–2020). The new provisions include, among interim report (Art. 34a ETH Act) produced halfway through the other things, that upon commencement of the 2017–2020 perfor- performance period. mance period, the Federal Council will finally pass the strategic The ETH Board is responsible for the strategic leadership of the objectives of the ETH Domain in place of the previous performance ETH Domain (see next section). The Executive Boards of both Fed- mandate. This does away with the parliamentary approval which eral Institutes and the Directorates of the four research institutes had been previously been provided in the ETH Act for the perfor- are responsible for the operational leadership of the individual mance mandate. It continues to examine the parliamentary institutions of the ETH Domain. In accordance with Art. 4(3) of the superintendence and can instruct the Federal Council to establish ETH Act, the institutions of the ETH Domain assume all responsi- or change strategic objectives. With this change, guiding princi- bilities which are not assigned to the ETH Board by the ETH Act. ples 16 and 17 of the Federal Council’s Corporate Governance Report of 13 September 2006 and of 25 March 2009 (Supplementary ETH Board: Mission and operating principles Report) will be implemented in the ETH Domain. In addition, it is The ETH Board defines the strategy of the ETH Domain within the geared towards the Federal Act of 17 December 2010 on the Partic- framework of the strategic objectives of the Federal Council, rep- ipation of the Federal Assembly in the Management of Autono- resents the ETH Domain to the policymakers and the government mous Units. authorities at federal level, issues directives about financial controlling, and carries out strategic controlling. It also approves Reporting the development plans of the institutions of the ETH Domain, The ETH Board reports on its activities in various ways: It reports to oversees their implementation and supervises the ETH Domain. It the Federal Council every year on the fulfilment of the strategic agrees targets with the institutions and allocates Federal funding objectives and illustrates how the ETH Domain has used the annual on the basis of the institutions’ budget requests. It submits federal financial contribution. Based on the ETH Board’s reporting, requests to the Federal Council for the election or re-election of

ETH Domain: wide anchorage in Switzerland

PSI ETH Zurich/ETH Board Villigen Zurich ETH Zurich Empa Basel EPFL St Gallen WSL Empa/Eawag Neuchâtel Birmensdorf Dübendorf ETH Board Bern EPFL/WSL EPFL Eawag Lausanne Fribourg Kastanienbaum WSL Empa Davos EPFL Thun Geneva WSL Cadenazzo EPFL / WSL Sion ETH Zurich Lugano

* Employment contracts including doctoral students as of 31 December 2016.

Annual Report 2016 on the ETH Domain 29 GOVERNANCE | Organisation and management bodies

Presidium and Members for Academic Affairs ——Prof. Dr Gabriel Aeppli, member of the ETH Board ——Prof. Dr Karl Aberer, Vice-President ——Dr Peter Allenspach, member ——Dr Fritz Schiesser 1, President for Information Systems ——Prof. Dr Leonid Rivkin, member ——Prof. Dr Paul L. Herrling 2, Vice-President ——Dr Adrienne Corboud Fumagalli, ——Prof. Dr Gebhard F. X. Schertler, ——Prof. Dr Lino Guzzella 1 Vice-President for Innovation and member ——Prof. Dr Patrick Aebischer 1 Technology Transfer ——Prof. Dr Joël Mesot 1 ——Dr André Schneider, Vice-President Directorate of the WSL ——Beatrice Fasana for Planning and Logistics ——Prof. Dr Konrad Steffen, Director ——Prof. Dr Dr h. c. Barbara Haering 2 (until 31 August 2016) ——Dr Christoph Hegg, Deputy Director ——Beth Krasna2 ——Dr Etienne Marclay, temporary ——Prof. Dr Rolf Holderegger, member ——Jasmin Staiblin Vice-President for Resources and ——Prof. Dr Andreas Rigling, member ——Dr Markus Stauffacher 1 Infrastructure (from 1 September to ——Dr Jürg Schweizer, member ——Olivier Steimer 31 December 2016) ——Prof. Dr Niklaus Zimmermann, member 1 Member of the Executive Committee 2 Member of the Audit Committee Executive Board from January 2017: ——Prof. Dr Martin Vetterli, President Directorate of Empa The following stepped down at the end —— Prof. Dr Pierre Vandergheynst, ——Prof. Dr Gian-Luca Bona, Director of 2016: Prof. Dr Patrick Aebischer, Jasmin Vice-President for Teaching ——Dr Peter Richner, Deputy Director Staiblin, Dr Markus Stauffacher and Olivier ——Prof. Dr Andreas Mortensen, ——Dr Brigitte Buchmann, Director Steimer. From January 2017, they will be Vice-President for Research ——Dr Alex Dommann, Director replaced by Dr Kristin Becker, Marc Bürki, ——Prof. Dr Marc Gruber, Vice-President ——Dr Pierangelo Gröning, Director Christiane Leister and Prof. Dr Martin for Innovation ——Dr Urs Leemann, Director Vetterli (see also p.36). ——Dr Etienne Marclay, Vice-President for Personnel and Operations, as Directorate of the Eawag Executive Board of ETH Zurich well as temporary Vice-President ——Prof. Dr Janet Hering, Director ——Prof. Dr Lino Guzzella, President for Finance (until 31 March 2017) ——Prof. Dr Rik Eggen, Deputy Director ——Prof. Dr Sarah Springman, Rector ——Caroline Kuyper, Vice-President ——Prof. Dr Jukka Jokela, member ——Prof. Dr Detlef Günther, Vice-President for Finance (from 1 April 2017) ——Dr Tove Larsen, member for Research and Corporate Relations ——Prof. Dr Edouard Bugnion, ——Prof. Dr Alfred Johny Wüest, member ——Dr Robert Perich, Vice-President for temporary Vice-President for ——Dr Christian Zurbrügg, member Finance and Controlling Information Systems Status as at 31 December 2016 (reference is ——Prof. Dr Ulrich Weidmann, Vice-President also made to changes agreed in 2016 which for Personnel and Resources Directorate of the PSI will become effective in 2017).

——Prof. Dr Joël Mesot, Director Executive Board of EPFL ——Dr Kurt N. Clausen, Deputy Director

——Prof. Dr Patrick Aebischer, President ——Prof. Dr Alexander Wokaun, ——Prof. Dr Philippe Gillet, Vice-President Deputy Director

the Presidents of both Federal Institutes of Technology and of the ing by the institutions on the status of mission fulfilment with Directors of the four research institutes. It also appoints the other regard to agreed targets, annual discussions (known as “dia- members of the Executive Boards of ETH Zurich and EPFL, and of the logues”) between the ETH Board and the institutions within the Directorates of the four research institutes. Finally, the ETH Board scope of strategic controlling, as well as reports by the institutions appoints professors at the request of the Presidents of both Fed- within the scope of their risk-management systems. Moreover, the eral Institutes of Technology. ETH Board’s “Internal Audit” staff evaluate the risk management The ETH Board performs its supervisory function through the use processes, internal control system and governance processes of the of the following tools: periodic reporting by the institutions on institutions and report on them to the ETH Board, in particular the resources (finances, human resources, real estate), annual report- ETH Board’s Audit Committee.

30 GOVERNANCE

The rules of procedure of the ETH Board are published in the Compilation of Federal Legislation. The ETH Board usually meets five times a year for two days at a time, and arranges additional Appeals authority meeting days for dialogues with the institutions of the ETH Domain. The President of the ETH Board is responsible for holding peri- ETH Internal Appeals Commission odic individual discussions with the Presidents of the two Federal The ETH Internal Appeals Commission decides on appeals against Institutes of Technology and the Directors of the research institutes. rulings made by bodies of the institutions of the ETH Domain. It is Discussions are held twice a year between the proprietor, rep- an independent judicial authority based in Bern, which reports resented by the EAER and the Federal Department of Finance (FDF), to the ETH Board. Appeals mainly relate to matters arising from and the ETH Board, represented by its President. legislation on human resources and higher education. Appeals against the rulings of the ETH Internal Appeals Commission can Audit and Executive Committees be made to the Federal Administrative Court. The Audit Committee assists the ETH Board in financial supervision and in the monitoring of risk management, of the internal control ——Prof. Dr Hansjörg Peter, President system and of financial auditing activities. It is generally com- ——Beatrice Susanne Vogt, Vice-President posed of three ETH Board members who are independent of the ——Consuelo Antille, member executive leadership, but may also involve additional people in a —— Jonas Philippe, member consultative capacity. The president of the ETH Board, the head of —— Dr Dieter Ramseier, member the Internal Audit department and the head of the Finance unit of —— Emeritus Prof. Rodolphe Schlaepfer, member the ETH Board’s staff attend the meetings in an advisory capacity. ——Yolanda Schärli, member The Executive Committee assists the ETH Board in preparing for and following up on meetings, in appointing the heads of the institutions of the ETH Domain, and in fulfilling its duties as an employer. It also liaises with the social partners. It is composed of the President of the ETH Board (chair), the Presidents of both ETH Board support Federal Institutes of Technology, the representative of the research institutes and the delegate of the University Assemblies. The Staff of the ETH Board Executive Director and, if necessary, other members of the ETH The ETH Board’s staff support it in fulfilling its legal mandate, Board’s staff attend the meetings. particularly regarding strategic leadership, supervision, promotion of cooperation in the ETH Domain and liaising Remuneration of the ETH Board with the Federal authorities. In 2016, the President of the ETH Board received a salary of CHF 280,046 (the employer also paid social insurance contribu- Executive Team tions amounting to CHF 82,370) for his 80% FTE position. In addi- ——Dr Michael Käppeli, Executive Director tion, he received an entertainment allowance of CHF 5,000. The ——Dr Kurt Baltensperger, Science President is insured by the Swiss Federal Pension Fund, the rules ——Alex Biscaro, Communication (up to April 2016) of which determine the employer’s contribution. The other six ——Gian-Andri Casutt, Communication (since November 2016) members of the ETH Board who are not employees of one of ——Dr Dieter Künzli, Finance and Human Resources the institutions of the ETH Domain each received a lump sum ——Dr Urs Müller, Legal Services of CHF 20,000 in 2016. Additionally they were paid a total of ——Michael Quetting, Real Estate CHF 43,000 for an extraordinary meeting, dialogue meetings and Audit Committee meetings (including a lump sum of CHF 6,000 Internal audit for chairing the Audit Committee and for the related audit of the The ETH Board employs Internal Audit staff, as per Art. 35a of annual financial statements). The expenses effectively incurred the ETH Act. It conducts internal audits for the institutions of the were refunded on the basis of the Ordinance of 11 April 2002 con- ETH Domain. cerning the reimbursement of expenses in the ETH Domain. Those ——Patrick Graber, Head members of the ETH Board who are employees of one of the institutions of the ETH Domain do not receive additional fees for their activities on the ETH Board. For the scope of a 60% FTE position, the ETH Board covers the wage and social costs incurred by ETH Zurich for the delegate of the University Assemblies of both Federal Institutes of Technology (including an expenses allowance), in order to guarantee this representative’s independence from any institution.

Annual Report 2016 on the ETH Domain 31 GOVERNANCE | Members of the ETH Board

Fritz Schiesser Paul L. Herrling Lino Guzzella * 1954, Swiss citizen, Dr iur. * 1946, Swiss citizen, Prof. Dr phil. * 1957, Swiss citizen, Prof. Dr sc. techn. President of the ETH Board (80%) Member of the ETH Board since 2004, Member of the ETH Board and of the and Chairman of the Executive Vice-President since 2008 and member Executive Committee since 2015. Committee since 2008. of the Audit Committee since 2012. President of ETH Zurich since 2015. Lawyer at RHS & Partner solicitors Chair Novartis Institute for Tropical Lino Guzzella obtained a doctorate in mechanical and notaries since 1998 (part-time) Diseases since 2012. engineering at ETH Zurich. After gaining industrial experience in research and develop- Fritz Schiesser gained a doctorate in law at the Paul L. Herrling obtained a doctorate in natural ment at Sulzer in Winterthur and Hilti in Schaan University of Zurich and has been a lawyer and sciences at the University of Zurich. From 1996 (Liechtenstein), in 1993 he was appointed notary in the Canton of Glarus since 1998. From to 2002 he headed the research of Novartis assistant professor at the Mechanical and Process 1990 to 2007, he was a member of the Swiss Pharma and from 2002 to 2010 the group Engineering Department of ETH Zurich. Since Council of States, where he served as President research at Novartis International. Then he led 1999 he has been a full professor of Thermo- from 2003 to 2004, and he was President of the Novartis Institutes for Developing World tronics. From 2003 to 2004 he was the Honda the Foundation Board of the Swiss National Medical Research until the end of 2011. At the Visiting Professor at Ohio State University in Science Foundation (SNSF) from 1999 to 2007. University of Basel, he has been professor of Columbus (USA). From mid-2012 until the end Today Fritz Schiesser is a member of the drug discovery science since 2001 and member of 2014, he served as Rector of the ETH Zurich Foundation Board/Board of Directors of the of the University Council since 2007. He is on with responsibility for all aspects of the teaching SNSF, and member of the board at the Sandoz the Board of Directors of Evotec AG, on Boards curriculum. Lino Guzzella is a member of the Family Foundation, and member of the of Trustees in the Novartis Group and in Board of Directors of Kistler Holding, Kistler Development Board of Glarus Süd, Proto various foundations. Instrumente AG as well as a shareholder of Chemicals, Schweizerische Mobiliar and Hefti the Robert Bosch Industrietreuhand KG (RBIK). AG. He is also member of the Foundation Board He is a Fellow of the IEEE and IFAC, a member of of the think tank Avenir Suisse, the Swiss the Swiss Academy of Engineering Sciences and Science Center Technorama in Winterthur, a member of the Foundation Board of the Swiss and the Swiss Innovation Park. Innovation Park.

Barbara Haering Beth Krasna Jasmin Staiblin * 1953, Swiss and Canadian citizen, * 1953, Swiss and US citizen, Dipl. Ing. * 1970, German citizen, Dipl. Ing. Prof. Dr sc. nat., Dr h.c. sc. pol. Member of the ETH Board since 2003 Member of the ETH Board since 2012. Member of the ETH Board and of and President of the Audit Committee CEO of Alpiq Holding Ltd since 2013. the Audit Committee since 2008. since 2008. Jasmin Staiblin studied Electrical Engineering President of the Board of Directors Independent board member. and Physics at the Karlsruhe Institute of Technology (Germany) and at the KTH Royal of econcept AG since 2015. Beth Krasna has a degree in chemical Institute of Technology in Stockholm (Sweden). engineering from ETH Zurich and a Master’s Barbara Haering studied natural sciences and After joining the ABB Corporate Research Center degree in management from the Massachusetts obtained a doctorate in spatial planning at in Dättwil as a research assistant in 1997, she Institute of Technology (Cambridge, USA). ETH Zurich in 1996. From 1979 to 1983, she was advanced through various positions at ABB. She is member of the Board of Directors of a member of the Cantonal Parliament of Zurich From 2006 until 2012 she was Country Manager Coop, and is also on the Boards of Raymond and she served on the Swiss National Council and President of the Executive Board at ABB Weil AG, Symbiotics SA and Alcosuisse. from 1990 to 2007. Barbara Haering is President Schweiz. Since 2013 she has been CEO of the Additionally, she is Vice-President of the of the Board of Directors of econcept AG and energy company Alpiq Holding Ltd. She is also Foundation Board of the Graduate Institute of member of the Board of Directors of Ernst member of the Board of Directors of Georg International and Development Studies, and Schweizer AG, Metallbau (metal construction). Fischer AG and Rolls-Royce plc., as well as being member of the Swiss Academy of Engineering She is the President of the Council of Foundation Vice-President of swisselectric, and she is on Sciences. of the Geneva International Centre for Humani- the Board of economiesuisse. tarian Demining. Moreover, she is member of the Foundation Board of the Swiss National Science Foundation (SNSF), the Board of Governors of Dresden University of Technology, and the Conseil d’orientation stratégique of the University of Geneva. In addition, she works as an adjunct professor at the University of Lausanne since August 2016. 32 GOVERNANCE

Patrick Aebischer Joël Mesot Beatrice Fasana * 1954, Swiss citizen, Prof. Dr med. * 1964, Swiss citizen, Prof. Dr sc. nat. * 1969, Swiss citizen, Dipl. Ing. Lm Member of the ETH Board since 2004 and Member of the ETH Board and of the Member of the ETH Board since 2012. of the Executive Committee since 2008. Executive Committee since 2010 (repre- Managing Director at Sandro Vanini SA President of the EPFL since 2000. sentative of the research institutes). since 2013. Patrick Aebischer studied medicine and Director of PSI since 2008, dual Professor Beatrice Fasana studied food sciences at neurosciences at the universities of Fribourg at ETH Zurich/EPFL since 2008. ETH Zurich. After a traineeship at the Nestlé and Geneva. He then worked as a professor at Research and Development Center in New Brown University (Rhode Island, USA). In 1999, Joël Mesot studied physics at ETH Zurich, Milford (Connecticut, USA), she worked in the Federal Council elected him President of obtaining a doctorate in solid-state physics in various leadership roles for several large food EPFL. Patrick Aebischer conducts research on the 1992. In 2002 he was awarded the Latsis Prize and beverage production companies in molecular mechanisms of neurodegenerative of ETH Zurich. After residing abroad, he came Switzerland, including Chocolat Frey and diseases. He is a member of the respective to the ETH Zurich and joined PSI, where he Coca-Cola. Until the end of 2012, she ran her Boards of Directors of the Lonza Group, Nestlé, became head of the Laboratory for Neutron own company BeFood Consulting SA. Since Logitech and Amazentis, a biotechnology Scattering in 2004. He was elected Director of 2013 she has held the position of Managing start-up company that he founded. He is the PSI in 2007. Joël Mesot is a senator of the Director at Sandro Vanini SA, a company of also a member of various scientific advisory Helmholtz Association of German Research the Haecky Group. bodies, such as the Advisory Board Novartis Centres and member of various non-European Venture Fund (as Chairman), and the Singapore expert committees. Additionally, he is second International Advisory Committee for Biomedical Vice-President of the Marcel-Benoist Sciences. Foundation Board, member of the Foundation Board of the grant-making foundation Technopark Aargau, and the Swiss Innovation Park, as well as member of the Board of Directors of PARK innovAARE AG.

Markus Stauffacher Olivier Steimer * 1952, Swiss citizen, Dr phil. * 1955, Swiss citizen, Master’s Member of the ETH Board since 2007 and degree in law. of the Executive Committee since 2008. Member of the ETH Board since 2012. Representative of the University Chairman of the Board of Directors of Assemblies of ETH Zurich and EPFL. Banque Cantonale Vaudoise since 2002. Senior Scientist at the ETH Zurich. Olivier Steimer studied jurisprudence at the University of Lausanne. He is Vice-Chairman of Markus Stauffacher studied natural sciences the Bank Council of the Swiss National Bank. at the University of Basel and he obtained a He is chairman of the Foundation Board of the doctorate in zoology at the University of Bern Swiss Finance Institute, and among the various in 1988. This recipient of prestigious research positions he holds, he is member of the Board prizes, and three-time winner of the Golden of Directors of Chubb Ltd in Zurich and of Owl teaching award, has been a Senior Scientist Allreal Holding AG in Baar. He also is Vice- at ETH Zurich since 1994. From 1996 to 2011 President of the Foundation Board of the he was also responsible for specialist areas at think tank Avenir Suisse, and a member of the University of Zurich’s Vetsuisse Faculty. the Executive Committee at economiesuisse. He has been an animal protection expert on the Council of Europe since 1997, and was the ETH Zurich Executive Board’s animal welfare delegate from 2010–2014.

Annual Report 2016 on the ETH Domain 33 GOVERNANCE | Monitoring and audit

Monitoring and audit

Internal control system conducted interim audits. The SFAO conducts the audit of the The institutions of the ETH Domain have an internal control sys- research institutes in cooperation with the company Pricewater- tem, which was introduced in line with Federal regulations. The houseCoopers (PwC). The reporting by the SFAO on the revision of Swiss Federal Audit Office (SFAO) can thus audit the accounting the consolidated financial statements of the ETH Domain com- system and finance-related business processes using the same prises an audit report and a comprehensive report. These reports methods as for other Federal institutions or private sector enter- are discussed with representatives of the SFAO in the Audit Com- prises of comparable size. mittee every year. In 2016, the SFAO issued invoices to the ETH Board totalling CHF 538,779 (CHF 306,519 of which for the 2015 final Internal audit audits and CHF 232,260 for the 2016 interim audit of the annual The Internal Audit department conducts internal audits for the financial statements). institutions of the ETH Domain (Art. 35a bis para. 1 of the ETH Act and Art. 11 of the Federal Audit Office Act). This department reports Information policy directly to the President of the ETH Board and its activities are Its statutory role makes the ETH Board an interface between science, supervised by the Audit Committee. The Internal Audit department politics and society. Within its rules of procedure, the ETH Board provides independent, objective auditing services and supports undertakes to ensure honest, appropriate and transparent com- the ETH Domain in achieving its objectives. It is also responsible for munication for the benefit of society and aims to explain its deci- coordinating and supporting the external audits of the ETH Domain. sions and reinforce the role and reputation of the ETH Domain. Responsibility for this rests with the President. The key communi- Auditors cation tools are the ETH Board’s annual report to the Federal Gov- The SFAO performs external auditing duties for the ETH Domain ernment, the website www.ethboard.ch, targeted media relations (Art. 35a bis para. 3 of the ETH Act). In 2016, it audited the financial work and the case-by-case illumination of relevant facts and statements of the two Federal Institutes of Technology, as well as positions, particularly regarding policies on education, research the consolidated financial statements of the ETH Domain, and and innovation.

Partial revision of the ETH Act within the scope of ERI Dispatch 2017–2020

The Federal Assembly resolved to carry out a partial revision of the authorised to decide upon restrictions on admission for all stu- ETH Act within the scope of ERI Dispatch 2017–2020. The changes in dents in that discipline. legislation specifically affect the following areas: Tuition fees: The tuition fees payable by foreign students may Corporate Governance: The legal principles are established for now not exceed three times the fees payable by domestic students. the management of the ETH Domain through strategic objectives Research integrity: New regulations will oblige the institu- set by the Federal Council (also refer to strategic objectives and tions of the ETH Domain to apply rules on research integrity and on budgetary framework, p.38 ff and p.72). In addition, the duties good scientific practice, as well as a process to follow if miscon- of care and of good faith owed by the members of the ETH Board duct is suspected in research. In addition, the preconditions for and their obligations to disclose interests, as well as the right of the external disclosure and collection of information about the the Federal Council to remove members of the ETH Board from conduct of people in connection with investigations into research office, are enshrined legally. misconduct will be standardised. Restrictions on admission: The ETH Board’s existing option to Personal data in research projects: Explicit statutory princi- issue restrictions on admission will be extended to the first ples must be established for recording and editing personal data semester of Bachelor’s degree courses. In connection with the and personality profiles. It is expected that the changes in law Bachelor’s degree course in Medicine, which is due to be intro- will come into effect from 1 February 2017 (approval regulations) duced at ETH Zurich in autumn 2017, the ETH Board will also be and from 1 May 2017 (the remaining changes).

34 Risk situation and risk management GOVERNANCE

The risk situation and risk management The six institutions of the ETH Domain are responsible for their risk management, within the framework of the directives issued by the ETH Board, while exercising the autonomy that is anchored in the ETH Act. Therefore the presidents of the two universities, and the directors of the research institutes, bear the utmost responsibility for risk management in their institutions.

The two Federal Institutes of Technology and the four research resented two of the most important core risks for the ETH Domain institutes each have a procedure for risk management, based on in 2016. The risk of a lack of oversight of long-term financial obli- the regulations of the ETH Board, which covers the identification gations and their consequences, as well as of the loss of manage- and evaluation of the individual risks as well as strategies for their ment and control options through the creation of external sites for control and an appropriate supervision. Each institution has a risk the institutions represent further core risks; similarly, potential manager and/or risk committee to coordinate the risk manage- infringements of business secrets (data loss and publication of ment activities and to direct the process. confidential data), possible infringements of scientific integrity and Each institution keeps its own risk catalogue in which the risks good scientific practice (fraudulent or forged research, manipula- identified are described in detail along with their potential dam- tion of measurement results and data, and plagiarism), as well as age, and they are assessed from two perspectives: probability of violence and/or threatening behaviour towards people. occurrence and financial consequences (possible level of loss). Despite careful risk management, it cannot be ruled out that Additionally, consideration is given to the possible effect a risk an institution may be affected by a damaging event which endan- could have on the reputation of the institution. The risk cata- gers the fulfilment of its duties anchored in the law. In this case, logues are updated at least once a year, taking into account new the ETH Board would submit a request to the competent govern- developments and changes in risk situations. ment department, for the attention of the Federal Council, to As part of their annual reporting to the ETH Board as the mana modify the performance mandate or increase the federal financial ging and supervisory body of the ETH Domain, the institutions pro- contribution, in accordance with Art. 30(2) of the Financial and vide information about their core risks, in particular their status, Accounting Regulation of the ETH Domain of 5 December 2014. scope and possible consequences. Core risks are those risks that When assessing this risk, which is subsidiary for the Federal Govern could lead to significant financial consequences and that have an ment, as a contingent liability under Art. 19(1) of the Government above-average probability of occurring. They directly endanger Liability Act, the insurance policies taken out by the institutions of the fulfilment of the legal duties of the respective institution. The the ETH Domain play an important role. reports on the core risks are then submitted to the Federal Depart- The principles of risk management require that the two Federal ment of Economic Affairs, Education and Research (EAER), which is Institutes of Technology and the four research institutes take out responsible for the ETH Domain. Moreover, the ETH Board must be insurance against possible losses, subsidiary to other measures, informed directly and promptly by the institutions about any where such insurance is feasible and the funding is sufficient for extraordinary changes in risk or extraordinary damage events. it. Each institution is responsible for taking out insurance cover The individual profile of each institution is reflected in their and administering its own insurance portfolio. When doing this, risk catalogues. Thus, the two universities have different core risks they have to take into account their specific risk situation, strive to the four research institutes. The particular orientation and size for an appropriate cost/benefit ratio and ensure compliance with of the institution also have an effect on the risks. The assessment the federal regulations governing public sector procurement. of the same risk may therefore vary from one university to the These insurance policies must meet the standard which is usual next, and from one research institute to another. for the Swiss insurance market. They must be concluded with an The uncertainty in relation to the development of financing insurance institution that is licensed in Switzerland. Therefore, (federal financing and third-party funding) and the impact of an the institutions have taken out property and employers’ liability inhibiting political and legal environment (persisting uncertainty insurance policies as well as smaller insurance policies for specific in relation to Switzerland's association to EU research framework risks. The properties owned by the Federal Government are not programmes, difficulties recruiting top-level personnel and diffi- insured because it follows a strategy of self-insurance. culties in the implementation of the performance mandate) rep-

Annual Report 2016 on the ETH Domain 35 GOVERNANCE | New Members of the ETH Board

New Members of the ETH Board from 1 January 2017

Martin Vetterli Kristin Becker van Slooten * 1957, Swiss citizen, Prof. Dr, Dipl. El.-Ing. * 1962, German/Swiss citizen, Dr President of the National Research Advisor to the President and General Council of the Swiss National Science Secretary of EPFL until the end of 2016. Foundation until the end of 2016. Project manager for equal opportunities President of EPFL from 2017. at EPFL from 2017. Maître d’Enseignement Martin Vetterli received his degree in Electrical et de Recherche (MER). Engineering from ETH Zurich, before then The environmental scientist Kristin Becker van becoming a Master of Science at Stanford Slooten studied Biology at the University of University and finally obtaining his doctorate at Geneva and obtained her doctorate in EPFL. Following professorships at Columbia Environmental Chemistry and Ecotoxicology at University and at the University of California, EPFL. From 1995 to 2002, she was employed as a Berkeley, he returned to Switzerland in 1995 as scientist at the Laboratory for Environmental full professor of Communication Systems at EPFL. Chemistry and Ecotoxicology, where she headed From 2000 to 2003 he was a member of the Swiss up the Experimental Ecotoxicology research group Knowledge and Technology Transfer Board (SWTR, from 2002, obtaining the title of MER in 2005. currently SWIR). From 2004 to 2011, he was She was an advisor to the President and General Vice-President of EPFL and from 2011 to 2012 Dean Secretary of EPFL until the end of 2006. From 2017, of the Faculty of Computer and Communication Kristin Becker will once again represent the Sciences. 2013 he additionally took over the chair university assemblies of ETH Zurich and of EPFL, of the National Research Council of the Swiss as she did from 2004 to 2006, as a delegate on National Science Foundation (SNSF). Martin Vetterli the ETH Board. She gave up her position as advi- is resigning his post at the Swiss National Science sor at the end of 2016 and from 2017 acts as the Foundation at the end of 2016 to take up his posi- project manager for equal opportunities at EPFL. tion as President of EPFL. (Photo: Nik Hunger/EPFL)

Marc Bürki Christiane Leister * 1961, Swiss citizen, Dipl. El.-Ing. * 1955, German/Swiss citizen, diploma CEO of Swissquote Holding Ltd and degree in Economics of Swissquote Bank Ltd since 1999 Owner and President of the Board of and 2002 resp. Directors of the Leister Group since 1993. Marc Bürki obtained a degree in Electrical After graduating from Christian Albrecht University Engineering from EPFL. After gaining his initial of Kiel with a degree in Economics, Christiane professional experience with the European Leister started her career at Jungheinrich Space Agency in the Netherlands, he formed (floor-level conveyors and warehousing systems). Marvel Communications S.A. in Gland in 1990, She then headed the controlling and finance a company that specialised in the develop- departments of Vereinigte Papierwerke AG and ment of financial information software. Milupa AG. She took over strategic and operational Swissquote Group Holding Ltd, which duties within the Leister family business in 1989. specialises in online trading, was formed in She has been the owner of the Leister companies 1999, and it was floated on the stock market since 1993, where she also acted as operations in 2000. Swissquote Bank Ltd started manager until 2014. During that time she diversi- operations in 2001. Marc Bürki is the CEO fied the companies with new technologies and of both companies. (Photo: Swissquote) expanded them internationally to create the Leister Group. (Photo: Leister AG)

36 Personnel matters GOVERNANCE

Personnel matters of the Federal Council Andreas Mortensen has been a full professor at the Department of Materials Science at EPFL since 1997, where he headed the Laboratory On 24 February 2016, the Federal Council appointed Prof. Dr Martin for Mechanical Metallurgy until today. Vetterli as the new President of EPFL on the recommendation of the Prof. Dr Marc Gruber has been appointed Vice-President for Inno- ETH Board. He will be succeeding Prof. Dr Patrick Aebischer, who vation. He has a PhD in Management from the University of St Gallen. successfully led EPFL for 16 years. Martin Vetterli is a full professor at He joined the Chair of Entrepreneurship and Technology Transfer of EPFL and was President of the National Research Council of the SNSF EPFL as an Assistant Professor in 2005. He was promoted to full pro- until the end of 2016. He took up his new post on 1 January 2017. fessor in 2010. Furthermore, the Federal Council re-elected the entire ETH Board Dr Etienne Marclay was appointed Vice-President for Personnel to serve from 2017–2020. It has appointed three new members and and Operations. He obtained a PhD in Physics from EPFL. Until the confirmed the tenures of those who had put themselves forward end of 2016 he was temporary Vice-President for Resources and for re-election. Infrastructures. Marclay also temporarily held the newly created post Fritz Schiesser was re-elected President of the ETH Board. He of Vice-President for Finance from 1 January to 31 March 2017. has held this office since 2008. Beatrice Fasana, Prof. Dr Barbara Caroline Kuyper was appointed Vice-President for Finance. She Haering and Beth Krasna were confirmed as retaining their posts, holds a Master in Economics and Business Administration from the as was Prof. Dr Joël Mesot as the representative of the research University of Lausanne. She was most recently Deputy Director of the institutions. Vice-President Prof. Dr Paul Herrling was re-elected Federal Statistical Office and headed Resources and International for a year. This is due to the age restriction that applies to mem- Affairs. Kuyper entered office on 1 February 2017. bers of the ETH Board. The Presidents of ETH Zurich, Lino Guzzella, Prof. Dr Edouard Bugnion was appointed temporary Vice- and EPFL, Martin Vetterli, officially sit on the ETH Board. President for Information Systems. Edouard Bugnion has a PhD The following people were not available for re-election to the from the University of Stanford, USA. He was appointed to the ETH Board: Jasmin Staiblin, CEO of Alpiq Holding Ltd, Dr Markus teaching staff of the Faculty of Computer and Communication Stauffacher, current delegate for the university assemblies of both Sciences at EPFL in 2012. ETH, as well as Olivier Steimer, Chairman of the Board of Directors of Banque Cantonale Vaudoise. Patrick Aebischer stepped down Resignations from the Senior Management of EPFL from the ETH Board when he retired as President of EPFL at the Dr Adrienne Corboud Fumagalli, Vice-President for Innovation and end of 2016. Technology Transfer, handed over her duties to Prof. Dr Marc At the request of the EAER, the Federal Council elected the Gruber. She is now devoting her energies particularly to the Social qualified economist Christiane Leister and Marc Bürki, who Media Lab, which was set up by her, and to managing the tech- obtained a degree in Electrical Engineering from EPFL, as new nology spin-off Horizon. members of the ETH Board. The environmental scientist Dr Kristin Prof. Dr Karl Aberer, Vice-President for Information Systems, Becker van Slooten has been proposed by the university assem- stepped down from this post at the end of 2016 to fully devote him- blies of ETH Zurich and of EPFL to be their delegate on the ETH Board self once again to teaching and research in his laboratory at the and has been duly appointed (see left). Faculty of Computer and Communication Sciences. His particular focus is on data sciences. Prof. Dr Philippe Gillet, Vice-President for Academic Affairs, gave Personnel matters of the ETH Board up his duties at EPFL at the end of 2016 to take up the position of Chief Innovation Officer with SICPA, a global company involved in Appointment of new members of the Senior Management security solutions for banknotes. of EPFL Dr André Schneider, Vice-President of EPFL for Resources and The ETH Board has appointed six new members to the Senior Man- Infrastructure (VPRI), who has served as VPRI at EPFL since June 2013, agement of EPFL as proposed by Martin Vetterli and in consulta- resigned from the Executive Board on 31 August 2016 in order to take up tion with Patrick Aebischer, who was the incumbent President of the position of General Director of Geneva Airport on 1 September 2016. EPFL until the end of 2016. It also took note of the resignation of four current Executive Board members effective at the end of 2016. Re-election of the directors of PSI and WSL The new Executive Board of EPFL began work on 1 January 2017. At the request of the ETH Board, the Federal Council selected the Prof. Dr Pierre Vandergheynst was appointed Vice-President for Director of the PSI, Prof. Dr Joël Mesot, and the Director of the WSL, Teaching. He has a PhD in Mathematical Physics. At the beginning of Prof. Dr Konrad Steffen, for a further four years back on 20 January 2001 he was appointed assistant professor to EPFL. Since 2014 he has 2016. Joël Mesot began his third term of office on 1 August 2016, been a full professor of Electrical Engineering and Electronics. He and Konrad Steffen his second term of office on 1 July 2016. was also appointed Vice-Provost for Teaching in 2015. Prof. Dr Andreas Mortensen was appointed Vice-President for Professorial matters Research. He is a construction engineer and acquired a PhD in Mate- Refer to the section on Personnel key figures, p.84, for information rials Science at MIT. This was followed by a 10-year career at MIT. about the appointment of professors.

Annual Report 2016 on the ETH Domain 37 Performance mandate The performance mandate sets out the Swiss Federal Council’s targets and sub-targets for the ETH Domain for the period from 2013 to 2016. As well as stating strategic goals, it includes financial, infrastructural and personnel-related objectives. 1Strategic goals 2 3 4 Teaching Research Knowledge Research “The ETH Domain offers “The ETH Domain is further and techno- infrastructures students an attractive strengthening its leading education that is first rate position in international logy transfer and large- by any international research.” → p.44 standards.” → p.40 “In order to reinforce scale research Switzerland’s innovative strength and competitive- projects ness, the ETH Domain will promote the transfer “The ETH Domain operates existing of its insights and research infrastructure of competencies to society national importance, runs projects and the economy.” under the ‘Swiss Road map for → p.48 Research Infrastructure’ and, if its bid is successful, will participate in European Flagship projects.” → p.52

38 Performance Strategic goals mandate 5 6 7 International National Role in society positioning and cooperation and national tasks cooperation “The ETH Domain will ensure “The ETH Domain maintains greater cooperation within a dialogue with society “The ETH Domain will continue both the Domain and the Swiss and performs tasks in to expand its cooperation and higher education landscape.” the national interest.” → p.66 networking in teaching and → p.60 research with the best institutions National tasks → p.70 in the world and strengthen its Centres of competence and international profile.” → p.56 strategic initiatives → p.64

Financial and infrastructural objectives Staff objectives 8 9 1 0 Sources of Real estate Working condi- financing and management tions, equal allocation of “The ETH Domain will coordinate the opportunities management of properties and real funds estate and ensure that both value and young and functionality are maintained.” “The ETH Domain will enhance → p.76 scientific talent its financing basis and efficiently deploy the available funds.” “The ETH Domain creates attractive → p.72 and family-friendly working conditions, supports equal opportunities and trains young scientists.” → p.80

Annual Report 2016 on the ETH Domain 39 PERFORMANCE MANDATE | Objective 1 | Teaching

“The ETH Domain offers students an attractive education that 1 is first rate by any international standards.” Ceremony for the presentation of the KITE Award 2016 from the Lecturers’ Conference by ETH Zurich rector Sarah Springmann (r.) to Prof. Mirko Meboldt. (Photo: Oliver Bartenschlager/ETH Zurich)

ETH Zurich

The ETH Board’s perspective 3,769 young people (+5%) were newly admitted to a Bachelor’s programme at ETH Zurich in autumn 2016. Foreign students Both Federal Institutes of Technology, supported by the four rese- accounted for 11.7% of the newly admitted Bachelor’s students arch institutes, offer first-class research-based education. The (excluding visiting and exchange students). The percentage of women courses on offer are extremely attractive, with both Federal Ins- rose slightly compared to 2015 at 33.7%. The number of students titutes of Technology showing an increase in numbers of students and doctoral students reached a new record level of 19,815 (+3%). and doctoral students in 2016. The total number rose by 3.4%, In view of the ever-rising numbers of students, among others, exceeding 30,000 for the first time. The number of new admissi- ETH Zurich pays the utmost attention to the quality of its educa- ons to the Bachelor’s degree course rose by 4.6%, achieving a tion. It conferred the “KITE Award” (Key Innovation in Teaching record value of over 5,500. at ETH) in promotion of the development of outstanding teaching Particular attention is given to the quality of teaching, espe- concepts for the first time in 2016. The recipients were Prof. Mirko cially in view of the rising number of students. New forms of Meboldt and his team with their “Innovation project” and the teaching and learning have been introduced, as have incentives associated course in coaching and team management. for innovations in teaching. The courses on offer are continuously A central element of education is monitoring performance, adapted in line with scientific, social and economic develop- such as written examinations which reflect the learning behaviour ments and requirements. Special mention should be made of the of the students to a large extent. Therefore, all written examina- courses planned at ETH Zurich and at EPFL within the scope of the tions were evaluated at ETH Zurich for the first time in the 2015/2016 Federal Government’s special programme on Human Medicine, as academic year. In addition, four departments have enabled their well as new further training offers. New courses and professors- students to take their first-year exams in two blocks since autumn hips will be implemented in connection with the strategic focus 2016. The first block can now be taken after the first semester, area on “data science”. Further interdisciplinary options will which will provide an earlier indication about how well the stu- promote the interaction between natural sciences and enginee- dents are progressing with their studies. In addition, the students ring in a social context. will work through the curriculum for the first term early in a sui- The research institutes supplement the courses offered and table manner. make a significant contribution towards supervising Bachelor’s, In 2016, Manu Kapur was also appointed as Professor of Lear- Master’s and PhD theses. The cooperation between the research ning Science specialising in university teaching. He is tasked with institutes and the two Federal Institutes of Technology has been promoting research in the field of higher STEM education and of consolidated further with new jointly financed professorships. improving teaching in exchange with the lecturers and against the The ETH Board has been backing a programme to support the background of current scientific findings. exchange of students between the institutions of the ETH With its Critical Thinking Initiative, ETH Zurich is seeking to Domain. In 2016, a total of 89 students availed of the oppor- motivate its students and employees to work independently to a tunity to spend a semester in another language region. In addi- greater extent and to analyse their work critically. An important tion, 175 students attended joint summer schools. block is the course of study in “Science in Context” from the Department of Humanities, Social and Political Sciences (D-GESS) at ETH Zurich. In the process, the D-GESS has thoroughly revised its existing range of courses in order to give students of natural sciences and engineering a more selective understanding than before of the overarching, normative, historical and cultural aspects of their specialism. A further element is the “ETH Week”, which was held for the second time in early September 2016. More than 180 students from 20 countries and all 16 departments were divided into 18 interdisciplinary groups where they learned how

40 PERFORMANCE MANDATE

Thanks to the exercise and learning laboratories, the students can take a closer look at the world of research at an early stage in the syllabus. (Photo: Alain Herzog/EPFL)

to define problems, present complex facts and develop proposed technologies. Confirmation of attendance at these freely acces- solutions on the theme of Challenging Water. The prototype of the sible courses, the “Certificate of Open Studies”, is at the introduc- Student Project House was opened on the Hönggerberg Campus in tory phase. autumn 2016. Students can work on their own ideas and projects Together with the Universities of Lausanne (UNIL) and Geneva, in this creative workshop, preparing themselves for a future wit- EPFL is involved in setting up an interface with the degree in hin a working environment where they are required to display Medicine. As preparation for the candidates, Life Sciences is set initiative and to work in interdisciplinary teams. to introduce a specific orientation course in October 2017 at Bache- ETH Zurich clearly enhances continuous training and approved lor’s level (see p.9). a comprehensive catalogue of measures with the “Roadmap for The Collège des Humanités has enhanced its offering with five Continuous Training”. The courses on offer have been broadened new courses at the interface between human and social sciences to include three new Masters of Advanced Studies (MAS) and seven and engineering. Three of the 80 courses have been opened up to Certificates of Advanced Studies (CAS), four of which are in the area students from UNIL in order to promote interdisciplinarity bet- of “Mobility of the Future”. The continuous training courses from ween the students. the newly established “Swiss School of Public Governance” (SSPG) There is a steady rise in the number of teaching staff requesting are primarily geared towards employees in the public sector. personal support by the Centre d’appui à l’enseignement (CAPE) in In autumn 2017, ETH Zurich will also be introducing a Bachelor’s order to improve their skills and standards of quality. Over 300 degree in Human Medicine, corresponding to the Swiss catalogue teachers made use of the offer last year. The options available for of learning objectives in Human Medicine and encompassing more doctoral students has been extended: more than 200 took part in in-depth ETH-specific study of the principles of natural sciences training workshops which will count as courses and which are and engineering (see p.9). recognised by the EPFL doctoral school. With access to almost 150 partner institutions, EPFL can offer EPFL its students numerous exchange opportunities. 447 students from EPFL availed of this opportunity during the 2015/2016 academic EPFL had 10,536 students and doctoral students at the start of the year. In addition, EPFL is a preferred destination for many interna- 2016 semester. 1,781 students embarked upon their Bachelor’s tional students on account of its international profile. 600 stu- degree courses at EPFL (up 4% on 2015). The sections which sho- dents chose EPFL for their exchange, among them 428 students wed the highest rates of growth were Physics (+51 students, up from the EU. There is also continued support for mobility in Swit- 40%) and Communications Systems (+21 students, up 25%). Once zerland. again, Mechanical Engineering and Microtechnology reported the The new Mechanical Engineering building which was officially highest numbers of students commencing the first years of their opened in May 2016 is one of the most important facilities for the degrees for the second year in a row, with 230 and 224 respecti- reorganisation of teaching. It houses laboratories for practical vely. 266 new students from other universities enrolled for the interdisciplinary exercises (Discovery Learning Laboratories), with first year of a Master’s course, which is in line with previous years. the objective of promoting experimentation and learning through The sharpest rises in new arrivals were observed in Mechanical discovery right from the start of the course. The laboratories at the Engineering, Architecture and Technology Management. Informa- interface between Bioengineering, Electronics and Optics enable tion Technology reported the highest number of new Master’s experiments to be performed and prototypes to be developed in students (49). specially equipped rooms. They are at the disposal of all the The expansion of MOOCs continues apace. There is a growing faculties of EPFL and are intended to inspire an interdisciplinary trend to combine a number of modules in the form of an online approach to solving complex problems. block course on a particular topic. Companies are particularly keen on these further training courses. The “Extension School” began with the development of packages of courses on digital world

Annual Report 2016 on the ETH Domain 41 PERFORMANCE MANDATE | Objective 1 | Teaching

PSI engineer Wilhelm Bissels (l.) and Julien Dupond, graduate of Daniel Farinotti is researching glacier the course in Nuclear Engineering, installing a test element. development and its significance for (Photo: Horst-Michael Prasser/ETH Zurich) water resources at WSL and ETH Zurich. (Photo: Julia Schmale)

PSI WSL

The PSI supports teaching at the two Federal Institutes of Techno- In 2016, WSL staff taught a total of 3,213 hours at both Federal logy, as well as at other universities and further education colleges Institutes of Technology, at cantonal universities, at Swiss univer- at home and abroad with complementary and practice-oriented sities of applied sciences and at further education colleges outside courses. Scientists from the PSI delivered over 5,980 teaching hours Switzerland. This is slightly up on the previous year, although in 2016. Over 310 doctoral and 170 post-doc students from the PSI it lies within the scope of annual fluctuations. The division are closely involved in lectures and practicals and can benefit between the different universities is similar to previous years: from this experience for their future careers. the largest share – about half – took place in the ETH Domain Joint professorships make an important contribution towards (1,602 ETH Zurich, 322 EPFL). The lectures and courses at WSL close networking between the Federal Institutes of Technology complement the courses offered by the universities with topics on and the PSI. In 2016, for instance, the management of two newly which WSL has specific technical expertise. Thus, most of the courses created laboratories at the PSI (Femtochemistry, Nanophotonics) are offered at Master’s level or higher. were linked to the creation of professorships at EPFL, and they were WSL supervises Bachelor’s, Master’s and doctoral theses. In advertised together with EPFL. At the same time, reinforcement of 2016, this amounted to a total of 251 (26/96/129). The high quality the institutional cooperation with ETH Zurich was initiated by of the supervision is borne out by the fact that graduates have approving a professorship (position to be advertised in early 2017) repeatedly been awarded internationally recognised prizes. For for the future management of the PSI laboratory for “Multiscale instance, Pierre Cothereau received the Esri Young Scholar Award Materials Modelling”. The PSI pays particular attention to intensive for his Master’s thesis in 2016. The Environmental Systems Research cooperation with universities of applied sciences in Switzerland in Institute Esri is an international developer of GIS software, Web- the area of application-oriented research. Closer ties were forged GIS and geodatabase management. The Esri Young Scholar Award with the Institute for Thermo and Fluid Engineering of FHNW is given to university students from anywhere in the world who (University of Applied Sciences and Arts Northwestern Switzerland) excel in geodata science. in 2016. Thus, the PSI is making its experimental facilities for In the reporting year, Andreas Rigling, Member of the Directo- combustion research available to FHNW. The close links with the rate of WSL and Director of the Research Unit on Forest Dynamics, activities at the PSI will produce synergy effects for this key area of was appointed adjunct professor at ETH Zurich. This was not only research at both institutions and make a direct contribution towards in recognition of Rigling’s ground-breaking research and commit- student training. ted lecturing, it also bolstered the central WSL theme of “Forests” In addition to the courses at universities, the PSI regularly in the range of courses at ETH Zurich. organises specific research-linked activities for young researchers Daniel Farinotti, previously a senior scientist at WSL, made his from Switzerland and abroad. Among other things, there was a mark in the recruitment process and was appointed assistant pro- winter school on “Protons” in January and a two-week course fessor (tenure track) for Glaciology at ETH Zurich. This second on “Radiopharmacy” in February, attracting participants from joint professorship between WSL and ETH Zurich also means the abroad. The PSI summer school on subjects related to Particle creation of a new joint group for Glaciology, which is headed by Physics was held for the fourth time in Zuoz in August 2016. The Farinotti. This further reinforces the international leading position Master of Science in Nuclear Engineering course is run jointly by of the two institutions in this area. the two Federal Institutes of Technology and the PSI. The students attend lessons for one semester each at EPFL and ETH Zurich; the PSI then hosts the practical semester and block courses.

42 PERFORMANCE MANDATE

Doctoral student Alexandre Gouskov (r.) fishing for chub at the power station in Dietikon (ZH). Eawag colleague Marta Reyes assists him in electric fishing. (Photo: Peter Penicka/Eawag)

Empa Eawag

Apart from research and technology transfer, lecturing performed Teaching provided by researchers from Eawag extends beyond by researchers is one of Empa’s key tasks. In 2016, the Empa staff the ETH Domain and is based on findings from the institute’s own once again spent over 3,500 hours teaching at universities in current research, covering Eawag’s special subject areas and Switzerland and abroad. The majority of these hours, some 2,400, addressing, in particular, the various different uses of water took place at the two Federal Institutes of Technology, where 14 and how they affect the ecosystem. Researchers from Eawag con- Empa researchers also hold professorships. tributed significantly to training in environmental systems and Another important contribution to teaching is made in the environmental engineering science. They taught a total of over form of supervising 146 Master’s and Bachelor’s students and 168 3,600 hours at both Federal Institutes of Technology. They also doctoral students. The doctoral programme at Empa possesses a undertook a further 1,300 hours of teaching at other higher pronounced interdisciplinary focus: soft skills are taught in vari- education institutions, mainly at cantonal universities. Eawag ous courses such as the creation of scientific posters, drafting researchers supervised more than 140 doctoral students, around project proposals, intercultural communication, language courses, 100 of whom were employed at Eawag, as well as over 130 Bache- to name only a few. Empa is also an active provider of non-uni- lor’s and Master’s theses. In addition to professorships with versity specialist training and continuing education. In 2016, more ETH Zurich and EPFL, Eawag maintains partnerships with cantonal than 5,700 people took part in around 100 courses and events universities. They are associated with professorships at universi- organised by the Empa Academy. ties in Bern (aquatic ecology and social sciences), Neuchatel (hydrogeology) and Zurich (biodiversity and environmental psy- chology). In 2016, Eawag, in association with EPFL, launched a fourth freely accessible Massive Open Online Course (MOOC) in “Municipal Solid Waste Management in Developing Countries”. A further mainstay of Eawag’s teaching activities is its inter nationally oriented summer schools. A course in “Environmental Systems Analysis” was held for the eighth time in Dübendorf in 2016. Eawag researchers supervise students in their research work. This is a particularly important part of the teaching role at Eawag. A PhD thesis by an ecologist from ETH Zurich supervised at Eawag up to 2016 demonstrates the extent to which fish passes promote genetic exchange. Alexandre Gouskov, whose thesis was co-funded by the Federal Office for the Environment (FOEN), was able to verify that the fish passes actually improve genetic exchange. The results show that it makes sense to continue to forge on with the revitalisation measures which were commenced in recent years.

Annual Report 2016 on the ETH Domain 43 PERFORMANCE MANDATE | Objective 2 | Research

“The ETH Domain is further strengthening 2 its leading position in international research.”

3 December 2015: The LISA Pathfinder Vega launcher on its way into space. (Photo: Stéphane Corvaja/ESA)

ETH Zurich

The ETH Board’s perspective The social importance of the fundamental research carried out at the ETH was demonstrated impressively in 2016 by the opening of In order to cope with current scientific and social challenges, the the Gotthard Base Tunnel. Many specialists were involved in the ETH Domain launched its new Strategic Focus Areas in 2016 for the construction of the world’s longest railway tunnel, many of whom period from 2017−2020: “Data Science”, “Personalized Health and are alumni of ETH Zurich. Besides, countless researchers from a Related Technologies” and “Advanced Manufacturing”. The ins- variety of disciplines at ETH Zurich supplied the scientific basis for titutions of the ETH Domain drew up detailed master plans for the successful completion of this project of the century. these initiatives, which were approved by the ETH Board in Sep- Immense precision was also called for in space as part of the tember 2016. They also began to recruit leading researchers, and LISA Pathfinder Mission undertaken by the European Space Agency the two Federal Institutes of Technology launched the setup of (ESA). The LISA Pathfinder satellite will be testing measuring tech- the Swiss Data Science Center (SDSC). The strategic focus area of nologies which researchers will use in future to verify gravitational energy research had already been introduced during the period waves. Domenico Gardini, Professor of Seismology and Geodyna- from 2013–2016 within the scope of the action plan on “Coordi- mics, along with his group, developed the measuring instruments nated Energy Research Switzerland”. The initial results of the for LISA Pathfinder and the control electronics that will keep the Energy Change Impact 2016 programme were achieved in this satellite on a steady orbit. Thanks to this clever measuring system, regard. the extremely slight deviations in the positions of the test masses As with any year, the research groups of the ETH Domain on board the satellite can be determined precisely to one picome- made numerous important contributions towards fundamental tre (10–12 m). Consequently, the measuring system is well in excess research and towards application-oriented research, among of requirements. The technology tested with LISA Pathfinder will other things in the areas of climate change, mobility, security, now serve the much larger space observatory “LISA: Laser Inter- biodiversity, as well as with innovation in process technology. ferometer Space Antenna”, which will probably be brought into The majority of this research was done jointly between institu- space in 2034. ETH Zurich was also involved in the ESA’s Rosetta tions from the ETH Domain or with external partners. The rese- Mission. The transistor technology developed by the group led by archers from the ETH Domain enjoy an outstanding international Prof. Colombo Bolognesi made it possible for the first time to send reputation, as evidenced among other things by the numerous large volumes of data back to earth from the space probe. awards and research grants, including those from the European In light of its increasing importance, ETH Zurich has been Research Council (ERC grants). expanding its already extensive expertise in health sciences and medicine. In 2016, three researchers took up newly created professorships in this field, among them Gunnar Rätsch, who has been a professor of Biomedical Information Technology since 1 May 2016 (see p.14). Gunnar Rätsch works at the interface between two of ETH Zurich’s strategic key points, Medicine and Data Science. ETH Zurich embarked upon establishing the Swiss Data Science Center in 2016 in cooperation with EPFL (see p.53). In addition, ETH Zurich launched the “ETH Media Technology Initiative” in 2016 together with leading Swiss media companies. A new professor ship and a centre for media technology are to be created within this scope. The “Zurich Information Security & Privacy Centre” (ZISC) has managed to recruit three new partners for long-term cooperation in research, training and continuing education in the area of information security in the form of SIX, Open Systems AG and Swiss Post.

44 PERFORMANCE MANDATE

Exceptionally efficient. One square metre of this membrane could poten tially supply energy to several tens of thousands of low-energy light bulbs. (Illustration: EPFL)

Despite future uncertainty about Switzerland’s association Grants, seven Advanced Grants, seven Consolidator Grants and with Horizon 2020, researchers from ETH Zurich have actively and eight Proof of Concept grants. EPFL also notched up successes with successfully applied for EU grants: four researchers from ETH Zurich the Marie Skłodowska Curie Actions (MSCA) in the form of the have been awarded an ERC Advanced Grant, three researchers an record of 19 individual fellowships and the coordination of three ERC Consolidator Grant, three researchers an ERC Proof of Concept new Innovative Training Networks. Grant, and six have received an ERC Starting Grant, thereof two The interdisciplinary teams in the field of Neuroprosthetics women. moved into their accommodation on the Biotech Campus in Finally, the work of research staff from ETH Zurich was recogni- Geneva. Promising neurotechnological projects have been initia- sed once again in 2016 by the award of prestigious prizes: Nicolai ted with the Wyss Center, with the involvement of the University Meinshausen from the Department of Mathematics picked up the of Geneva and Hopitâux Universitaires de Genève (HUG). Thanks to COPSS President’s Award. This is only the second time there has the establishment of a modern genomic centre, developments are been a European recipient since the inaugural award in 1981. The also taking shape in the area of personalized health. The research Heinz Gumin Prize, Germany’s most award-winning prize, went activities of EPFL Valais Wallis are mainly focused on the areas of to Wendelin Werner. Prof. Helma Wennemers, Department of Che- energy, health and the environment and already enjoy a great mistry and Applied Biosciences, received the 2016 Pedler Award, reputation, especially through the provision of multiple Horizon only the second woman to receive this prize which dates back to 2020 projects (2015/2016), including two ERCs. In addition, EPFL is 1929. The last time the award went to Switzerland, the recipient involved in the Mobility Lab: a first project involving autonomous was Leopold Ruzicka in 1932. vehicles came into being in summer 2016 in cooperation with Swiss Post, the Valais cantonal authority, Sion city council and EPFL HES-SO Valais Wallis. In Fribourg, the new center of competence Smart Living Lab is exploring natural habitats in collaboration In Lausanne, Prof. Johan Auwerx received the prestigious Marcel with the College of Technology and Architecture (HEIA-FR) and the Benoist Prize in recognition of work on mitochondria and their University of Fribourg (UNIFR). The activities of the Microcity role in the metabolic process (see p.16). A 900-MHz nuclear spin Campus in Neuchatel continue to enjoy an excellent reputation, resonance spectroscope was also officially started up in Lausanne particularly in the area of photovoltaics: Prof. Christophe Ballif which is linked to dynamic nuclear polarisation. This world first was awarded the Becquerel Prize by the European Commission will enable sensitivity to be boosted significantly during analyses. in 2016. Furthermore, EPFL has set up a new interdisciplinary centre with Following in the wake of solar, wind and hydro energy, the the LACUS (Lausanne centre for ultrafast science), bringing together focus is now shifting to another form of clean energy, salinity gra- researchers in the field of ultrafast analysis with laser, X-ray or dient power. It uses the difference in salinity between seawater electron beam radiation. and fresh water to recover energy through a membrane. EPFL re Working closely with ETH Zurich, Empa and the PSI, EPFL played searchers are using osmosis to produce electricity with a previously an active role in the introduction of the three new Strategic Focus unknown level of efficiency, which was the subject of a publica- Areas of the ETH Board for 2017–2020. In addition, it cooperates tion in the journal nature. The innovation consists of the ultrafine closely at national level by housing three National Centres of Com- membrane into which a small hole (nanopore) has been drilled, petence (NCCR) of the Swiss National Science Foundation (SNSF). On and the two liquids separate from one another with different salt the subject of the SNSF, it should also be mentioned that two concentrations. If seawater comes into contact with fresh water, Energy Grant assistant professors have been appointed at EPFL to salt ions move through the membrane in the direction of the fresh conduct research on the storage of solar energy and on the water. The movements are used to harvest electricity. The thinner development of efficient power converters. the membrane, the greater the electrical current. As co-author Despite the loss of full association in 2014, EPFL remained well Alexandra Radenovic explained, “a two-dimensional material is positioned in 2016 in the competition for ERCs with five Starting to be used for this type of application for the first time.”

Annual Report 2016 on the ETH Domain 45 PERFORMANCE MANDATE | Objective 2 | Research

Jihwey Park, Ekaterina Pomjakushina and Nan Xu (from left) of the research Facts discovered during a multi-year experiment headed by the team at the PSI which explored possible ways of using Weyl fermions in WSL are changing our understanding of a fundamental biological electronic components at the SLS. (Photo: Mahir Dzambegovic/PSI) process. (Photo: Jörg Luster/WSL)

PSI WSL

The PSI operates the Swiss Light Source (SLS), the SINQ Neutron The WSL conducts research into forests, landscape, biodiversity Source and the SµS Muon Source, large-scale research facilities and natural hazards, as well as snow and ice. Even if the focus of which are complex and are the only ones of their kind in Switzer- attention is on application-oriented questions, the researchers land, placing them at the disposal of the national and internati- from the WSL repeatedly make contributions of fundamental onal research community, as well as industry. In 2016, these faci- importance. For instance, evidence of a hitherto unknown “Late lities were used by more than 2,400 external scientists for their Antique Little Ice Age” was discovered in the annual rings of old research work. In 2017, initial pilot experiments can be conducted trees by the research team, which also included historians, in on the PSI’s latest large-scale research installation, the Swiss connection with social upheaval such as population migrations. X-ray Free Electron laser (SwissFEL). This will also permit new They have also been able to explain how the once harmful fungus insights into fundamental and application-oriented research car- Cenococcum geophilum has become a helpful symbiont of wood- ried out internally at the PSI, which was not possible with the land trees. However, findings from basic research are also often methods available at the PSI up to now. of practical importance. WSL researchers found that during periods In the project tender processes which took place in 2016 and of drought, forests regulate their carbon budget in a different way those which are expected in 2017, the areas of competence and to how it had previously been assumed. This is important for cor- research activity themes of the PSI are closely woven into the rectly assessing their role as carbon sinks or sources. In beech, it is Strategic Focus Areas of the ETH Domain: Data Science, Personalized primarily the roots and not the leaves that determine when the

Health and Related Technologies and Advanced Manufacturing. plant absorbs CO2 for photosynthesis, and how much. Parallel to that, the PSI defined the future key aspects of strate The goal of the Energy Change Impact research programme – gically relevant Energy Research because the conversion of the operated jointly with Eawag and funded with CHF 1.5m under the energy system is expected to create great challenges. Coordinated Energy Research Switzerland action plan 2014–2016 By bringing together all the PSI activities in the area of environ- – was to estimate the impact of the energy turnaround on the mental research, changing the name of the “General Energy Rese- environment and society. Its continued existence beyond this arch” area into “Energy and Environment” and establishing the period is ensured with funds from the WSL’s basic contribution. An Environmental Chemistry laboratory, environmental research at edition of the WSL magazine DIAGONAL1 contained an insight into the PSI has been consolidated, and a standardised approach has the initial results of the programme. been adopted to embed it within the organisation. Contributions The WSL is a co-founder of the Swiss Polar Institute (SPI) (see p.4). by PSI researchers to investigating different factors which affect Given its expertise on snow in high mountain ranges, there has also the formation of clouds and, thus, climate development (CLOUD been an increase in the number of projects in the Arctic and Antarctic. experiment) attracted a great deal of attention within the scien “Scientific integrity” is of central importance for the credibility tific community and in the press in 2016. of a research institution. The WSL trialled a new format in 2016 to Aldo Antognini, a scientist in the Laboratory for Particle Physics encourage research to explore the topic. Almost 100 researchers of the PSI and of the Institute for Particle Physics at ETH Zurich, was took park in a multi-site World Café, rigorously discussing data awarded one of the prestigious ERC Consolidator Grants in 2016. management, authorship and precisely what integrity means in Massless Weyl fermion particles which were hypothesised by applied research. the mathematician Hermann Weyl back in the 1920s, but which were only proven in 2015, practically move without any resistance in materials. In 2016, PSI researchers demonstrated a way in which 1 WSL magazine DIAGONAL No. 2, 2016. this particle could be used in electronic components in the future.

46 PERFORMANCE MANDATE

“Tandem solar cell”: The half-transparent perovskite solar cell The genetically identical cells within a population integrate absorbs UV-light and visible blue light, the CIGS cell below elementary nitrogen into the cell mass in varying quantities (colouring). converts the rest into electricity. (Photo: Empa) (Photo: Frank Schreiber/Eawag)

Empa Eawag

Empa researchers have developed an innovative, transparent 36 experimental ponds went operation in 2016 (see p.99), which (and cost-effective) perovskite tandem solar cell with a high among other things are used by Eawag to research the impact that degree of efficiency using a simply trick, i.e. by laying two solar declining biodiversity has on the functioning of ecosystems. This cells on top of one another. As a result, a larger proportion of the knowledge leaves scientists better placed to estimate the damage sunlight is converted into energy. A new production process allows caused by the reduction in biodiversity, and revitalisation and these types of solar cells to be manufactured in cost-effective protective measures can be developed. Only organisms which oc- roll-to-roll production at only 50 degrees Celsius. At the first cur in the catchment area of Glatt are used. Plankton, mussels, attempt, an initial prototype achieved a degree of efficiency of algae and higher aquatic plants are being used in the first re 20.5% in the conversion of light into energy. This lies within the search project in the new facility on the impact of foodstuffs in range of the top-performing flexible solar cells produced in the bodies of water. This starting project will also help in gathering world up to now. The realistic objective is an efficiency of 25%. experience for subsequent pond projects. However, sunlight can also be used in photoelectrochemical Together with partners from the PSI and the University of cells to produce hydrogen. These cells, which are based on photo- Applied Sciences in Windisch, Eawag continued the Autarky pro- synthesis in plants, split water directly into water and oxygen ject on the treatment of water with a connection to the mains in through sunlight. Researchers from Empa are collaborating with 2016; this also involved the further development of the Blue counterparts from the University of Zurich, University of Basel and Diversion Toilet system for countries in the Third World. This pri- EPFL on improving this process. For example, they have developed marily entails the separate processing of urine, waste water and electrode materials which increase the overall efficiency of the faeces. process significantly. The newly developed multiple-layer process In addition, Eawag is involved in the NEST modular experimen- is even relatively easy to scale up, bringing broad-based appli tal building with its Water Hub, exploring new opportunities for cation into consideration. water supply and sanitation systems. The requisite facilities were There has been a drawback with self-compacting high-perfor- created for this in 2016 and went into operation at the end of the mance concrete (SCHPC) up to now; it frequently spalls in the event year. of a fire, which has an adverse effect on its load-bearing capacity. Within the scope of a study which has attracted much interna- Empa researchers have developed a new method of manufactu- tional attention, researchers from Eawag, ETH Zurich, EPFL and the ring fire-resistant SCHPC which maintains its stability and integrity Max Planck Institute for Marine Microbiology in Bremen demons- much longer, even in the event of fires. They have applied to have trated that the number of individualists in a bacterial population this patented. They add super-absorbing polymers (SAP), special goes up sharply when food sources are restricted. Even if all the synthetic materials which are capable of absorbing many times individuals in a bacteria group are genetically identical and are their own weight in water, into the concrete. These create an exposed to the same environmental conditions, the individual interconnected network of tiny capillaries in the concrete through cells vary. These discoveries were only possible through the close which steam, which forms in the concrete under the effects of cooperation, wide-ranging expertise and technical facilities of the heat, can escape, preventing any further spalling in the concrete. research groups involved. Minute cracks on road surfaces could practically repair “themselves” in future thanks to nano-particles containing iron. A new process developed at Empa uses a magnetic field to heat the iron oxide nano-particles in the bitumen, the pitch black, viscous component of asphalt. This makes the bitumen liquid again, and the micro-cracks in the asphalt close up. Initial laboratory tests were promising; an application has also been filed to patent this.

Annual Report 2016 on the ETH Domain 47 PERFORMANCE MANDATE | Objective 3 | Knowledge and technology transfer

“In order to reinforce Switzerland’s innovative strength and competitiveness, the ETH Domain will promote the 3 transfer of its insights and competencies to society and the economy.”

ETH Zurich

The ETH Board’s perspective ETH Zurich is aiming to be a central pillar of Switzerland’s innovation ecosystem. Therefore, it is maintaining a partnership-based The institutions of the ETH Domain also cooperated very intensi- exchange with industry, business and society, as well as with vely with SMEs, industry and public sector agencies in 2016. They policymakers and associations. This is reflected in the large concluded a number of new research framework agreements number of research contracts that ETH Zurich was again able to with significant partners, as well as a large number of new pro- conclude with third parties in 2016 (674, including 211 with Swiss ject agreements. In the course of cooperation projects, the insti- companies). Framework agreements for in-depth cooperation were tutions of the ETH Domain acquired considerable funding from signed with major partners such as Hilti, Philips and Huawei. Over the Commission for Technology and Innovation (CTI) and from 500 guests attended the ETH Industry Day, a new record atten- industry. The targeted promotion of the entrepreneurial mode dance. It was held on the Hönggerberg Campus for the first time. of thinking and acting of students and staff with bursaries and Researchers from ETH Zurich presented insights into themes such incubators, coupled with coaching, once again proved to be very as “Energy & Resources”, “Materials & Processes”, “Entrepreneurship” productive. An impressive number of patents, licences and spin- and “Food & Nutrition”. off companies was achieved by the ETH Domain in 2016 as well. The promotion of the entrepreneurial mode of thinking and Spin-offs managed to acquire extensive venture capital and, acting of students and staff, an objective that has been pursued compared with all start-ups nationwide, enjoyed above-average for many years, is bearing fruit. Lorenz Meier, a doctoral student success. studying at ETH Zurich, began to develop software during his The knowledge and technology transfer (KTT) was also advan- Master’s which is now used to control the flight of many drones. ced by service contracts, practice-oriented continuous training Qualcomm Technologies, one of the biggest electronics manufac- courses, sharing of knowledge with government authorities and turers in the world, made this software PX4 the standard in 2016. implementing offices, technology briefings, as well as interac- A total of 215 inventions and software were registered in 2016, tive Internet platforms that can be personalized, special web resulting in 109 patent applications. The commercialisation of applications and the use of social media. In this way, the ETH software is becoming increasingly important: the number of soft- Domain is contributing to the high quality of public assets such ware registrations increased by 33% in 2016. Added to these were as water, landscapes and forests, and protection against natural the 117 new licence and technology transfer agreements which hazards. The participation by the institutions of the ETH Domain were concluded. in the various networking sites of the Swiss Innovation Park and Once again, ETH Zurich enjoyed great success in the formation their efforts to recruit partners in industry are already bearing of spin-off companies: a total of 25 spin-offs emerged from the initial fruit. Various companies have already been brought on ranks of the university in 2016. They included Wingtra and ANYbotics, board. the first two spin-offs from the Wyss Translational Center Zurich (WTZ). A further 10 were founded by Pioneer Fellows. Since 2010, ETH Zurich has awarded 68 (2016: 9) Pioneer Fellowship bursaries, 37 of which have already resulted in company formations. The Pioneer Fellows work in one of the two “Innovation and Entrepreneurship Labs” (ieLabs), where they have access to offices and laboratories, individual coaching, networks and training courses. The ieLabs were evaluated by an international commission of experts in 2016, and the management was strengthened.

48 PERFORMANCE MANDATE

The software PX4 is already in use on many platforms, such as the Airdog drone. Pedro Bados, co-founder and CEO of Nexthink, completed his Master’s (Photo: press image of www.airdog.com) as an Erasmus student at EPFL. (Photo: EPFL)

The concept of the Pioneer Fellowship has attracted great inte- A total of 58 new licensing agreements were concluded and rest both nationally and internationally. Part of the new “Bridge” 100 new patents were applied for. The financing of research pro- initiative from SNSF and CTI is based on it, and the Austrian gover- jects by companies ran to CHF 40.3m (+42% compared to 2015). In nment has also passed the creation of foundation fellowships terms of distinguished research results, the market launch of a for academic spin-offs “following the ETH Zurich model”. watch with the hardest gold alloy in the world (Magic Gold) merits The first Investor Summit took place on the evening before a mention. This material was discovered at EPFL and realised with the WEF in January 2016. There, Switzerland was presented to Hublot. international investors as a country that promoted start-ups. The The cooperation projects between EPFL and SMEs are largely event was supported by ETH Zurich, Google, UBS, NZZ, SEF and financed by the CTI. Their volume rose in 2016 thanks to special DigitalZurich2025. Seven start-ups, including four ETH spin-offs, measures taken to counteract the strong franc. A good 35 CTI pro- were given the chance to present themselves to international jects were awarded with a contract value of almost CHF 14m. EPFL’s investors, managing directors and people attending the WEF. Alliance programme contributed towards this within the scope of In the course of the construction of the Switzerland Innovation the innovation system for western Switzerland. Park Zurich, which is set to open its doors in the first half of 2017, In 2016, the EPFL Innovation Park welcomed three new, large ETH Zurich headed a consortium of over 50 partners from industry companies and signed extensive framework agreements: Swiss- and research which successfully bid for the contract for the ESA Busi- com (CHF 7m over 7 years), Sonceboz (CHF 2.5m over 5 years) and ness Incubation Center Switzerland (ESA BIC Switzerland). This pro- Parrot, which bought out the two EPFL spin-offs Pix4D and sense- gramme will be able to support up to 10 start-ups a year, which will Fly. The total capacity usage amounted to 96% at the end of 2016. implement aerospace technologies in innovation on earth. The first Liaising closely with the Swiss Innovation Park Foundation, the three start-ups were selected for the programme in November 2016. SIP Network West EPFL has taken further measures to define control and operational processes. The corresponding contractual EPFL documents were signed at the end of 2016. Nexthink, a start-up that emerged from Prof. Boi Faltings’ Thanks to the support of and distinction for research activities, Laboratory for Artificial Intelligence, managed to obtain signifi- EPFL motivates its researchers and students to interact with the cant capital of USD 40m in 2016, increasing the total amount Swiss and international economy – whether it be with start-ups, received since it was founded in 2004 to USD 70m. The application SMEs or large corporations. developed by Nexthink enables behaviour to be monitored at 20 new spin-offs were founded in 2016 with total seed capital several thousand workstations, as well as interaction between in excess of CHF 261m. This is attributable to some large financing end users and information systems. As the application learns provided by third parties (e.g. for G-therapeutics, Kandou Bus automatically, it can save solutions for problems which have and MindMaze), as well as to the fact that a total of 21 start-ups already occurred and propose them again. received financing of at least CHF 1m. There are additional funds of Pedro Bados, who completed his Master’s at EPFL under the CHF 76m in connection with the EPFL Innovation Park (not inclu- Erasmus programme, is the co-founder and CEO of the company. ding the NASDAQ IPO of AC Immune for CHF 60m). Five EPFL spin- The 36-year-old entrepreneur is relocating to Boston in order to offs, which made the top ten of Switzerland’s top 100 start-ups, gain access to the American market because he intends to float are testament to the quality of EPFL companies, and eight bursa- the company in three to five years, employing a workforce of 600 ries granted in the Innogrants programme confirm that EPFL con- to 700, 350 of them in Lausanne (currently 200). Nexthink recor- sistently produces creative entrepreneurs. ded annual record growth of over 50% in 2015.

Annual Report 2016 on the ETH Domain 49 PERFORMANCE MANDATE | Objective 3 | Knowledge and technology transfer

Juliette Billaud (l.), co-lead author of the new study, and Claire Villevieille, Researchers study how the waves of the explosion are propagated above Head of the Research Group for Battery Materials. (Photo: Markus Fischer/PSI) and in the snow in order to make recommendations on triggering avalanches artificially. (Photo: Martin Hiller/WSL-SLF)

PSI WSL

Successful and sustainable knowledge and technology transfer is Forests, landscapes, biodiversity, natural hazards, as well as snow based upon close cooperation between economic partners and and ice are mainly public assets. With that in mind, the WSL experts from the PSI, successful processing of joint research pro- mainly transfers its knowledge to federal agencies, as well as to jects or service contracts, patent applications and licensing, as cantonal and local authorities. There are particularly close well as the formation of spin-off companies. In addition to these connections with the FOEN; of all the Federal Government agen- tasks, the PSI chiefly provided support in 2016 to the implemen- cies, this office overlaps most with the areas covered by the WSL. tation of the strategy of the Swiss Innovation Park and to the The FOEN profits significantly from research findings or from resul- expansion of the PARK INNOVAARE networking site. In this capacity, ting recommendations that lie within the sphere of competence the PSI supported the close incorporation of the Energy System of the WSL, whose research projects and programmes benefit Integration Platform (ESI) into PARK INNOVAARE. repeatedly from financial support, in turn. Examples of this are Five companies have already set up base in PARK INNOVAARE, the multi-year joint research programme on “Forests and Climate including InterAx Biotech (which develops biosensors for the Change” (see p.20), which was completed in 2016, or in the pro- pharmaceuticals industry), a spin-off of the PSI, which received a ject on the “Comparison in the Artificial Triggering of Avalanches”. number of awards in 2016: it won the Technology category of the The WSL Institute for Snow and Avalanche Research SLF researched SWISS UPSTART CHALLENGE and was a finalist in the Swiss Technology different methods of triggering avalanches by artificial means. Awards in the Inventors category. In addition, CEO Martin Ostermaier Explosions were triggered on flat test terrain using a mobile gas was awarded the PSI Impulse Award for applied research projects ignition pipe and explosives, and the results were compared. for his doctoral thesis and for his performance in setting up Interns and users supported in the project. Recommendations will InterAx Biotech in March 2016. A further PSI spin-off, theMOFcom- be published shortly on improved planning and procedures for pany (materials for new energy technologies), was one of three triggering avalanches by artificial means based on the results of nominated companies to make the final of the Swiss Technology this research project. Award. In addition to courses and conferences, printed and electronic In 2016, another successful example of how fundamental rese- public publications are central to knowledge transfer from the arch can be proven to contribute towards innovation and to the WSL. They may be in traditional formats such as the “Code of strengthening of the Swiss economy celebrated its 10th birthday. Practice” or various books, such as “Naturschutzgenetik – ein DECTRIS, which was founded in Baden in 2006 as a spin-off of the Handbuch für die Praxis” (Conservation genetics – A practical PSI, currently with approximately 80 employees, has grown into a manual), as well as interactive Internet platforms that can be per- leader in the global market for X-ray detectors and still works sonalized, such as www.waldwissen.net, which is geared towards closely with the PSI. Detectors of the type originally developed to forestry professionals, as well as target group-specific social media prove the presence of particles at CERN are nowadays deployed in channels, which is increasingly the case. Examples of this are the large research facilities right around the world, such as to charac- Facebook page WhiteRisk, which is geared towards the avalanche terise protein structures as a precondition for the development of community, or the Twitter account @Energy_WSL, which issues new drugs. tweets from the Head of the Energy Change research programme. Materials researchers from the PSI, working together with col- The WSL’s knowledge transfer toolkit is rounded off with web leagues from ETH Zurich in 2016, developed a very simple and applications and software like the RAMMS simulation programme cost-effective method of increasing the power output of conven- for avalanches, mud flows and rock falls. RAMMS, which has been tional lithium ion batteries significantly. From an industrial per- developed so far within the scope of a time-limited research pro- spective, the great advantage of improving existing components is gramme, is set to be rolled out to a permanent structure in 2017. that implementation entails considerably less development work.

50 PERFORMANCE MANDATE

A masterpiece of ceramic research: the Omega Speedmaster “Moonphase”. The flower fertiliser “Aurin” from Eawag is on sale in 500 ml bottles The bezel, moon phase indicator and lens fitting are made from red Empa at Eawag and in the Umwelt Arena Spreitenbach. ceramic. (Photo: Jakob Kübler/Empa) (Photo: Peter Penicka/Eawag)

Empa Eawag

Empa was once again able to demonstrate its intensive coopera- Eawag cultivates dialogue with specialists through its continuous tion with industry and business in 2017 with 177 new agreements, training courses. The annual Info Day in 2016 focused on lake including 23 new CTI projects. In addition, a particularly outstan- research, tying in with the 100th anniversary of the hydrobiological ding project received the “Empa Innovation Award 2016”. The laboratory in Kastanienbaum (see p.2). The two PEAK courses chemist Sabyasachi Gaan and his team received the prize in recog (practice-oriented Eawag courses) on “Protection and promotion nition of the development of a new, non-toxic and environmen- of native river crabs” and “Genetics and fisheries management” tally friendly flame retardant, such as for the production of flame- attracted particularly keen interest. In the second course, the resistant polyurethane foams. They are used in mattresses, furni- researchers demonstrated how genetic studies can be incorporated ture upholstery and insulation modules for the facades of buil- into the daily work of fisheries managers. During a three-day dings, among others. The research project began in June 2013 and continuous training course run with the Swiss Water Association was financed with EU funding and with funds from the CTI. The (VSA) on “Microimpurities and implementation of the revised new flame retardant named EDA-DOPO is currently already being Water Protection Ordinance”, the latest findings from the projects produced on a 100-kg scale. of the VSA platforms were presented (see p.69). The findings and In another CTI-funded project with the Swatch Group, materials conclusions from the major project on the “Regional Water Supply researchers from Empa made significant advancements in ceramic to Basel-Country 21” were unveiled at a further PEAK conference research; a deep-red ceramic which no one has been able to led by experts from the canton of Basel-Country. manufacture up to now. A red ceramic bezel has adorned two of A new recycling process developed at Eawag is used to recover the Omega Speedmaster models in the “Moonphase Co-Axial valuable nutrients from urine, which can be sold as fertiliser. This Master Chronometer” series since autumn. preserves natural resources, eases the burden on sewage-treat- Empa’s patent portfolio currently comprises 104 patents. In ment plants and makes sanitation systems in developing coun- 2016, it registered 14 new patents, either alone or in partnership tries a more viable prospect financially. The process will be pre- with industry, and 13 new licensing and exploitation contracts sented in a separate exhibit at the “Umwelt Arena Spreitenbach”. were signed. The spin-offs supported by Empa also enjoyed There are already four installations in operation: a completely new success this year. Flisom transferred the research results of the one in the NEST experimental building used by Empa and Eawag, world-leading Empa laboratory for films and photovoltaics over one at Eawag in Dübendorf and two in the South African city of to industrial production. The ground-breaking and resource- Durban. “Aurin”, a liquid fertiliser for flowers, approved by the efficient roll-to-roll production process enables the production of Federal Office for Agriculture (FOAG), is already available at the lightweight, thin and flexible solar modules, which can be integ- Eawag Forum Chriesbach and at the Umwelt Arena Spreitenbach. rated with excellent results. The Empa and ETH Zurich spin-off Aurin will be marketed by VUNA in future, a spin-off of Eawag IRsweep uses optical measuring techniques developed by Empa that was founded in 2016. VUNA stands for “Valorisation of Urine and is developing a spectrometer for analysing complex biological Nutrients in Africa” and means “harvest” in the isiZulu language. and chemical processes in milliseconds. The meter will be used for VUNA GmbH develops, plans, operates and distributes ground- the analysis of disease processes, for example. In total, there was breaking sanitation technologies. one new company formed in the Empa sphere in 2016, and a total of 69 start-ups (with over 500 employments) have been super vised in its business incubators to date. Empa is also closely associated with the “Startfeld” innovation centre, which was opened as a new innovation campus next to the Empa site in St Gallen.

Annual Report 2016 on the ETH Domain 51 PERFORMANCE MANDATE | Objective 4 | Research infrastructures and large-scale research projects

“The ETH Domain operates existing research infrastructure of national importance, runs projects under the ‘Swiss Road 4 map for Research Infrastructure’ and, if its bid is successful, will participate in European Flagship projects.”

ETH Zurich

The ETH Board’s perspective A more high-performance “Piz Daint” to mark the 25th anniversary The setup, expansion and operation of the research infrastruc- As the Swiss National Supercomputing Centre (CSCS) celebrates 25 ture of the ETH Domain proved to be a great success in 2016. The years in existence, the flagship supercomputer of the CSCS, “Piz Swiss X-ray Free Electron laser SwissFEL was officially opened at Daint”, has become three times more powerful. The CSCS thus the PSI. Thanks to outstanding cooperation between the science, safeguards computer-aided research in Switzerland and its inter- industry and politics communities, the large-scale research faci- national competitiveness. lity was able to be built on schedule and on budget. It gives The Swiss National Supercomputing Centre (CSCS) at ETH Zurich researchers new insights into structures and processes at atomic celebrated its 25th anniversary in October 2016. “Piz Daint”, the level and play an important part in Switzerland’s competitive- flagship supercomputer, was given an upgrade at the same time. ness internationally. Empa and Eawag commenced the operation Piz Daint has been the most high-performance supercomputer of the NEST research and innovation building. NEST promotes the in Europe for three years, with a peak performance of over seven innovation process in the construction and energy sector by petaflops. It will also remain so for the time being thanks enabling researchers, industry and the public sector to come to new hardware that has now been adapted to the system. together to develop sustainable technologies, materials and sys- Piz Daint has operated at a rate of over 20 petaflops since Decem- tems, and to test them under real conditions. The Swiss National ber 2016. The increased performance is central both to high-reso- Supercomputing Centre (CSCS) at ETH Zurich celebrated its 25th lution simulations and to the field of data science in which there anniversary. The performance of the “Piz Daint” supercomputer are enormous volumes of data to be analysed and which has been increased significantly through new hardware compo- ETH Zurich wishes to make a key aspect of its research. Nowadays, nents. This has enabled it to remain the most powerful super- materials science, geophysics, life sciences or climate science all computer in Europe and to offer researchers the best opportuni- work with computing and data-intensive simulations. The new ties for computing and data-intensive simulations. The FET hardware enables researchers to carry this out under more realis flagship Human Brain Project, which is headed by EPFL, success- tic conditions and with greater efficiency. However, Piz Daint will fully completed the preparatory phase. Six ICT platforms com- also provide data analysis support in future for existing major menced operations, and a new governance structure was intro- scientific experiments, such as the Large Hadron Collider at CERN. duced. The expansion of the Swiss Plasma Center at EPFL extends ETH Zurich invested some CHF 40m in the upgrade. By upgra- experimental opportunities in the field of fusion research. The ding Piz Daint from a Cray XC30 to a Cray XC50, the CSCS will ensure center is a main pillar of the European network of research inf- that the infrastructure continues to meet the rising requirements rastructures in the international ITER project. in High-Performance Computing (HPC) by the end of the decade. This has involved replacing the two different types of computer nodes in the hybrid system. In addition to the new processors, the new DataWarp technology from Cray is used. Burst Buffer mode in DataWarp quadruples the effective bandwidth for long-term storage; i.e. the input and output of data from the memory is considerably quicker. This enables millions of small, unstructured files to be analysed. In future, Piz Daint will be able to transfer initial results of the analysis to a specialised area of the supercomputer while calculations are ongoing. Thanks to the new memory technology, the bandwidth in the centrally important areas has been enlarged decisively. Piz Daint also now remains an energy-efficient and balanced system on which simulations or data analyses can be scaled to a few or to thousands of nodes.

52 PERFORMANCE MANDATE

The Swiss National Supercomputing Centre in Lugano. The variable configuration tokamak (TCV) is unique in its ability to generate (Photo: Marco Carocari/CSCS) plasma in various forms. (Photo: Alain Herzog/EPFL)

EPFL

EPFL is investing in the future with research infrastructure 2016 also saw Swiss research in the field of future energies being Following the formation of the Swiss Plasma Center in 2015, EPFL stepped up with the development of the Swiss Plasma Center set two further key areas of research infrastructure in 2016 by (previously the Research Centre for Plasma Physics). The name transferring the Human Brain Project (HBP) to the productive change at the end of 2015 involved an expansion of activities and phase and by creating the Swiss Data Science Center (SDSC) together an upgrading of the research infrastructure. The objective of this with ETH Zurich. At the same time, the establishment of the SDSC funding is the modernisation of certain laboratory facilities. New also represented an important step in cooperation between the trials can now be carried out on the variable configuration toka- two Federal Institutes of Technology. mak (TCV) in the Swiss Plasma Center. This is a device which can The objective in science, which is increasingly geared towards enclose plasma and heat it to fusion temperatures which are the analysis of enormous volumes of data, is to keep pace in the much hotter than the interior of the sun. Thanks to these impro- global race. There is a growing need for infrastructure and for vements, numerous Swiss and European researchers from Lausanne areas of competence in ever more fields of science – from funda- will come to conduct new trials there. The EUROfusion consortium mental physics to environmental science and on to medicine. has selected the Lausanne research plant as one of the three main The ETH Board announced the establishment of the SDSC in research facilities to be commissioned to take part under the EU 2016. It will be led jointly by EPFL and ETH Zurich and will consist roadmap for nuclear fusion within the framework of the interna- of an interdisciplinary team spread across a variety of sites. The tional ITER project. team will be made up of data science specialists, experts in per- The Human Brain Project, the Swiss Plasma Center and the sonalized health and medicine, geo and environmental sciences, Swiss Data Science Center are turning the region around Lake social sciences and digital humanities, as well as industry. The Geneva and Switzerland as a whole into an indispensable loca- aim of the SDSC is to extract knowledge from a variety of data tion for research in three core fields: in brain research – one of the sources, as well as to bring together data suppliers, data science biggest social and medical challenges there is –, in the field of and information technology experts, as well as other specialists future energies and the industrial use of plasma, as well as in the via a state-of-the-art analysis platform. area of data science and its effect on the academic sphere and A further milestone was set in 2016 with the commencement of the private sector. the operational phase of the HBP. The project, which is coordinated from EPFL’s Biotech Campus in Geneva, is an ambitious project involving research into the brain. It concerns one of the two FET flagships of the European Commission, which are financed within the scope of the Horizon 2020 programme. The project which is estimated to run to a billion euros brings together leading Euro- pean facilities and researchers. Following the “start-up phase”, the project has been divided into six research platforms. They are designed to support the scientific community in accelerating innovations in the areas of neurosciences, medicine and information technology. The HBP brings together over 100 scientific partners, mainly from Europe, but also from the US and Japan. The new governance of the HBP meets the efficiency and transparency requirements of a project of this nature, following the example of the major international scientific consortiums. It was organised in such a way that the continued existence of the consortium can also be guaranteed following the completion of the project in 2023.

Annual Report 2016 on the ETH Domain 53 PERFORMANCE MANDATE | Objective 4 | Research infrastructures and large-scale research projects

PSI director Joël Mesot, SwissFEL project managers Rafael Abela and Hans Braun, as well as Federal President Johann N. Schneider-Ammann (from left). (Photo: Markus Fischer/PSI)

PSI

Celebrations to mark the opening of the SwissFEL The PSI officially opened its new SwissFEL large-scale research progressed inside the facility. Further milestones were the gene- facility on 5 December. 400 guests from the worlds of politics, ration of the first electrons, as well as the conclusion of the ins- industry and research were in attendance when the Federal Pre- tallation of the accelerator structures of the SwissFEL in late sum- sident Johann N. Schneider-Ammann and the PSI director Joël mer. Following installation of the last undulator (specific magnet Mesot pressed the red button. structures) in the beam tunnel and the issue of the operating Consequently, the PSI has reached an important milestone on permit, it became possible to transport initial electrons through the road to the commissioning of the new large-scale research the entire linear accelerator, and to increase the energy of the facility. As one of only five comparable X-ray free electron lasers electrons gradually as commissioning progressed. which are in operation or being set up in the world, the SwissFEL The installation work has also been successfully started in the will permit researchers to study dynamic processes such as chemi- areas and experimentation stations adjacent to the undulators. cal reactions, the atomic structure of different materials or the The components of the beam lines, which will conduct the X-ray structures of complex proteins in the highest-possible time reso- pulses to the experiments, are already fully installed. lution. The injector delivers the requisite electrons, accelerates them to virtually the speed of light in a matter of a few centime- tres and ensures that they fly onwards to the linear accelerator as a close bundle. There, they are then accelerated further to the final energy required to generate the X-ray light. The SwissFEL is a national facility which has been implemented in close cooperation with foreign research partners and Swiss industrial companies. The latter benefit, in particular, from the development of innovative leading-edge technology because it opens up new markets to them, in turn enhancing the competitiveness of the Swiss economy. The SwissFEL is an ideal addition to the large-scale research facilities that the PSI already has in operation, i.e. the SLS, SINQ and SµS. The ARAMIS beam line will be up and running in 2017 following the completion of the phase of commissioning for initial pilot experiments. 2016 was largely characterised by the conclusion of the installation phase of the SwissFEL machine components and the commencement of the commissioning of the linear accelerator. A visible sign was achieved in April with the completion of the impressive main entrance, while the construction of the accelerator structures and the gradual connection to the power supply

54 PERFORMANCE MANDATE

The southwest view of the NEST modular research and innovation building on the Empa campus. (Photo: Roman Keller/Empa)

Empa

Opening of the NEST research and innovation building The next units are also taking shape: a unit will be created in On 23 May 2016, the NEST modular research and innovation buil- 2017 under the name of “Urban Mining” which will explore the ding celebrated its official opening, attended by the Federal Pre- potential of using waste as a material resource. “SolAce” is a living sident Johann N. Schneider-Ammann. NEST’s declared objective is and working environment for two people, the construction of to promote the innovation process in the construction and energy which is also due to get under way in 2017. The unit is focused on sector by enabling researchers, industry and the public sector to the theme of utilising the energy from light, coupled with increa- come together to develop sustainable technologies, materials and sed comfort. Two further units are likely to be created in 2018 systems, and to test them under real conditions. in the form of “Digital Fabrication” and “HiLo”; they will be used NEST (Next Evolution in Sustainable Building Technologies) firstly for in-situ production with robots – which received the consists, firstly, of a central building core with three open plat- Swiss Technology Award in November 2016 – and which, secondly, forms and, secondly, of modules – so-called research and inno- place the focus of attention on lightweight construction and vation units – which are installed on these platforms. The units adaptive facades. are implemented by consortiums from research and industry which use those units to develop their ideas further into marketable solutions. Eawag researches promising solutions to reduce water consumption and to utilise various substances in waste water at the “Water Hub” in the core of the NEST building. NEST has steadily attracted many people since it opened. Over 6,000 visitors enjoyed guided tours of NEST and events there in the second half of the year. The NEST network now consists of almost 100 partners from research, industry and the public sector. The first workstations in the “Meet2Create” unit are occupied. In the office environment, which was designed by the Lucerne School of Engineering & Architecture, the researchers explore topics such as flexible furnishing, personalized climate capability in the workplace or passive building technology in the conference rooms. The second unit, “Vision Wood”, which has shared accommodation for students, is ready to welcome two residents at the start of 2017. This will enable the wood innovations developed by Empa and ETH Zurich to undergo practical testing. The construction phase for the third unit, a fitness and wellness facility, got under way in early 2017 with the objective of guaranteeing that the entire operation will run completely without energy from fossil fuels.

Annual Report 2016 on the ETH Domain 55 PERFORMANCE MANDATE | Objective 5 | International positioning and cooperation

“The ETH Domain will continue to expand its cooperation and networking in teaching and 5research with the best institutions in the world and strengthen its international profile.”

ETH Zurich

The ETH Board’s perspective As a leading member of the international academic community, ETH Zurich makes its mark through its innovative and original International networking and cooperation are of central impor research, as well as through excellence in teaching. This is reflec- tance for the institution of the ETH Domain in order to continue to ted, among other things, in the three most important rankings for hold their own successfully in global competition. The outstan- universities, which rate ETH Zurich as the top university outside the ding international standing of the institutions of the ETH Domain Anglo-Saxon region (see p.94 ff). ETH Zurich’s activities around the is reflected in various academic rankings, as well as in further globe reinforce Switzerland’s reputation worldwide as a centre of comparisons which are conducted during evaluations, in particular. education, research and innovation. Researchers, students, spin-off International research collaborations were also a key focus in companies and centres of competence at ETH Zurich showcased 2016. These types of cooperation result in products which can be their work at numerous events, contributing greatly to the global exploited commercially, such as the printable LED light modules visibility of the country in general and the university in particular. from Empa, the development of new experimental methods or Switzerland was a partner country at CeBIT in Hanover in March the creation of solutions to social challenges, such as to restric- 2016. In the “SWISS Pavilion”, ETH Zurich demonstrated projects ting urban sprawl in East-Central Europe. Eawag did selective from the fields of robotics, digital manufacturing and gaming work on the issue of water shortage and hygiene with countries technology, giving visitors an insight into its research and how it with low per capita income levels. The Swiss Polar Institute (SPI) at is applied. German Chancellor Angela Merkel also paid a visit to EPFL, which was founded in 2016 with involvement by ETH Zurich the ETH Zurich stand on her traditional tour around the CeBIT. In and WSL as well, is substantially committed to the international April, researchers, students, alumni and company founders from Antarctic Circumnavigation Expedition (ACE). Furthermore, research ETH Zurich met up with their Californian counterparts at various ers from the ETH Domain were also actively involved in work on public events in San Francisco and the surrounding region. Dele- international committees and networks. The PSI has been pled- gates from ETH Zurich presented their research on the “Internet of ged co-financing for a Marie Skłodowska Curie Fellowship pro- the Future” during the “Zürich Meets London” event at Google UK gramme for 60 post-docs. ETH Zurich’s Singapore ETH Centre (SEC) in May 2016. At the “Annual Meeting of the New Champions 2016” launched the Swiss Technology Impact Platform (STIP) to promote of the WEF in China, ETH researchers organised an IdeasLab as an contacts with businesses in the Asiatic region. With its MOOCs interface between biology, physics and engineering. Afrique programme, EPFL is particularly supporting training and The Singapore ETH Centre (SEC) launched the Swiss Technology continuing education in African partner countries. Impact Platform (STIP) in 2016. It offers Swiss companies the The institutions of the ETH Domain also increased their inter- opportunity to develop their network of contacts in Asia during national standing and visibility through numerous activities in their stay at the SEC and to collaborate with Asian SMEs in areas of Switzerland. This includes visiting academics, welcoming dele- sustainable urban development. gations from scientific, business and political backgrounds from ETH Studio New York, which is devoted to the area of informa- all over the world or holding international conferences. tion security, opened its doors in summer 2016. Through this pilot project, ETH Zurich is seeking to nurture links with a similar high potential for innovation in the area of digitisation and to use these partnerships for research projects and, in particular, for the training of their students. Furthermore, ETH studios serve as support points in strategically important regions in which ETH Zurich is aiming to increase its visibility. At the direction of the State Secretariat for Education, Research and Innovation (SERI), ETH Zurich is coordinating the cooperation between Switzerland and China, Japan, South Korea and other countries in the Asian-South Pacific regions in research. Financing

56 PERFORMANCE MANDATE

“ETH Meets California” in order to boost ETH Zurich’s visibility in this strate- The SPI’s first project: Some 50 researchers are spending three months travel- gically important region and to step up relations with academic institutions ling around the Antarctic on board the Akademik Treshnikov during the ACE. and industry. (Photo: Barak Shrama/ETH Zurich) (Photo: AARI, Arctic and Antarctic Research Institute)

was provided for a total of 25 pilot projects with research insti continental Europe, and was in fourth place behind three English tutions in Indonesia, Malaysia, the Philippines, Thailand and universities respectively. Vietnam in 2016. The ETH Domain took part in nine of those To enable EPFL to continue its diversification and growth in the projects. The basic principles for cooperation in the 2017–2020 coming years, it launched several international initiatives in 2016, ERI period were drawn up in two workshops with people from including forming the Swiss Polar Institute and organising the university administrations, national research institutions and international ACE (Antarctic Circumnavigation Expedition) mission. regional development programmes for those countries. Within Consequently, it is continuing to pursue its activities in environ- the scope of a cooperation programme with Japan, 13 Japanese ments with extreme conditions (space, aviation, solar-powered doctoral students (four of them hosted by ETH Zurich) and eight drones, limnology) and stepping up its efforts to involve the from Switzerland (three of whom study at ETH Zurich) were given world’s top institutions in international cooperation networks. the opportunity to pursue research in the partner country. In These networks include, for example, Eurotech, RESCIF (Réseau addition, two workshops were held on theme of Energy at d’excellence des sciences de l’ingénieur de la Francophonie), IRGC Empa and in Tokyo. In October 2016, an exchange programme (International Risk Governance Council), Human Brain Project, for young researchers was launched with Korea. The Sino-Swiss Venice Time Machine, Swiss Space Center, and Swiss Plasma Center. Science and Technology Cooperation (SSSTC) enabled nine Chi- The “digitisation” of EPFL is also gaining momentum: it opened nese scientists to do placements in Switzerland; two of them the ArtLab for digital humanities in November 2016. The Exten opted for ETH Zurich. sion School, which will be offering continuous training courses in Finally, ETH Zurich also attracts many high-level delegations Digital Skills from 2017, supplements the 61 MOOCs which are avail from science, business and politics, coming here from all over the able online and have been completed by around 1.5 million students world. In 2016, the university hosted around 100 delegations, from 186 countries around the world. The Swiss Media Initiative including the Singapore Minister of Education, Ong Ye Kung, as with Swiss broadcasting company Radio Télévision Suisse (RTS) well as the Slovakian President, Andrej Kiska. Additionally, many and other partners from Switzerland and from abroad was launched international conferences were once again held at ETH Zurich. ahead of RTS’s relocation to the EPFL campus, which is planned for 2021. EPFL The MOOCs Afrique programme at EPFL contributes towards consolidating third-level and continuous education in Africa. It is According to the THE World Ranking, EPFL is once again ranked top supported by the Swiss Agency for Development and Cooperation among universities which are less than 50 years old, and is the (SDC) and the Edmond de Rothschild foundations. MOOCs for Africa third most innovative university in Europe – behind KU Leuven is based on the RESCIF member institutions and contributed in 2016 and Imperial College London. This can also be gauged from the to the creation of the first MOOC “Made in Africa” at the polytechnic risk capital that EPFL start-ups have managed to secure, exceeding university of applied sciences in Yamoussoukro (Ivory Coast). CHF 261m. One of these companies is MindMaze, which was foun- The large ACE expedition set out from Cape Town in South Africa ded by Tej Tadi, an Indian electrical engineer who graduated at on 20 December 2016. Around 50 researchers from all over the EPFL. MindMaze is the first Swiss “unicorn” (start-up with an esti- world are sailing once around the world on board the Akademik mated valuation of over CHF 1bn, see p.2). In 2016, EPFL once again Treshnikov, a Russian research vessel. appeared in the top 100 of the ARWU World Ranking, as well as in This first project by the EPFL-based Swiss Polar Institute (SPI) 11th place in the ARWU Engineering Ranking. Commenting upon will measure and quantify the effects of climate change and of this performance, THE stated: “Six prestigious universities around environmental pollution on the Southern Ocean. 22 projects by the world – Berkeley, MIT, Stanford, ETH Zurich, EPFL and Tsinghua Swiss, UK, French and Australian teams were selected and are to University – appear in the top 20 for at least six of the seven sub- be performed during the trip. They are concerned with various jects [engineering].” In addition, EPFL attracted more bursaries themes such as glaciology, climatology, biology and oceanography from the European Research Council than any other university in (spi-ace-expedition.ch).

Annual Report 2016 on the ETH Domain 57 PERFORMANCE MANDATE | Objective 5 | International positioning and cooperation

Wojciech Hajdas with transparent scintillation rods, which are also installed Work meeting by IPBES Europe and the Central Asia Team in the in the POLAR detector and which are to be used to measure the polarisation Croatian city of Zadar. The delegates from WSL were Niklaus Zimmermann, of gamma ray bursts in space. (Photo: Markus Fischer/PSI) Roland Olschewski and Christian Rixen. (Photo: Ulf Molau)

PSI WSL

The PSI is much in demand for the development of large-scale Within the scope of the IPBES – the Intergovernmental Science- international installations, and was once again very active in 2016 Policy Platform on Biodiversity and Ecosystem Services – thous- in significantly contributing to the development of the European ands of scientists from all over the world record and assess the X-ray Free Electron laser XFEL in Hamburg and the European status of biodiversity and biodiversity-based ecosystem services Spallation Neutron Source (ESS) in Lund. It is not only activities to for the benefit of 125 governments and under the auspices of UNEP, develop specific infrastructures that are coordinated between UNESCO, FAO and UNDP. WSL has important input in this global partners from different countries, many scientific questions are network with one coordinating lead author (Niklaus Zimmermann also addressed within the scope of international collaborations. for the chapter on “Direct and indirect drivers of change and their For example, a PSI-led international team used the free electron effects on biodiversity and ecosystem services”), two lead authors X-ray laser LCLS at Stanford University in California to demonstrate and a contributing author. how ultrafast processes on proteins can also be performed with Forestry research institutions from Switzerland, Germany and considerably lower quantities and much smaller protein crystals France have collaborated since 2006 in NFZ.forestnet; NFZ stands than had normally been the case until now. These results are also for Nancy-Fribourg-Zurich, the cities where the participating of the utmost importance for later experiments at SwissFEL institutions are located. Celebrations were held in 2016 to mark because the methodology developed will also be put to use at the the renewal of the collaboration. The international Summer PSI in future. School run by the network has long since become a firm fixture The PSI was particularly delighted to learn in February 2016 that and is very popular. Its theme in 2016 was “Bioeconomy” in the the European Commission had decided to co-finance a Fellowship Black Forest. Joint research is also becoming increasingly esta Programme for a total of 60 post-docs at the PSI within the scope blished now. Thanks to contributions from the FOEN, which WSL of its Marie Skłodowska Curie actions (“PSI-Fellow-II-3i”)1. In the has managed to secure, the theme of “Integration of biodiversity call under the Horizon 2020 COFUND programme, financial support support in forestry management” is being studied within the net- was only available for 15 applications for post-doc programmes; work; this topic is right at the top of the forestry research agenda. two of the projects supported are at Swiss institutions. The pro- The European Environment Agency (EEA) required information gramme, which is supported for five years, makes an important about the development of urban sprawl in the landscape in contribution towards the international mobility of outstanding connection with large infrastructure and development projects in up-and-coming scientists, underpins the research activities of East-Central Europe. Felix Kienast from WSL was assigned this task. the PSI and contributes in the long term to closer networking Together with his international colleagues from 32 European within the European research community. countries, he applied methods and standards which WSL had Together with scientists from the University of Geneva and from originally developed for Switzerland. His study not only showed the Institute of High-Energy Physics of the Chinese Academy of the degree of urban sprawl, it also highlighted the risks that this Sciences, PSI researchers have developed the POLAR detector which poses to the environment and society and how urban sprawl can measures the degree of polarisation of light from gamma ray be restricted. Not least of all, the success of measures which are bursts. In September 2016, it was launched into the Earth’s orbit designed to limit urban sprawl can be tested in future by applying on board the Tiangong 2, where it now collects measurement data. the methodology developed.

1 www.psi.ch/psi-fellow/psi-fellow

58 PERFORMANCE MANDATE

The 4×2 nanometer small molecular car drives over a copper surface on The Eawag researchers Christoph Ort (l.) and Ann-Kathrin McCall study drug its electrically driven wheels. (Illustration: Empa) residue and take samples for this from the drains. (Photo: Guido Pasquino)

Empa Eawag

The EU project on “TREASORES”, which was coordinated by Empa Collaboration within international networks is of pivotal impor researcher Frank Nüesch, was successfully completed in 2016. In tance to Eawag to ensure that its research projects bear fruit and the three-year project, the team of European researchers succee- to intensify their effect. Both the international dimension and ded in bringing the next generation of lighting technology to a cross-disciplinary partnerships produce valuable synergy effects. marketable stage. They developed bending lighting modules, Eawag researchers are actively involved in more than 70 interna- which are produced roll-to-roll – in much the same way as news- tional committees and networks spanning the globe. If one inclu- papers are printed. This technology lays the cornerstone for cost- des visiting academics, women and men from over 50 countries effective solar cells and LED lighting panels. The project brought carried out research at Eawag in 2016. Through their involvement together the expertise of six research institutions and nine com- in the European “NORMAN Network” for instance (see p.24), the panies from five European countries. The team has developed Eawag researchers can share information on environmental pol manufacturing processes for various transparent electrodes and lutants, and can achieve much more through these international barrier materials for optoelectronic applications and upscaled networks than with purely Swiss partnerships. Synergies were them for industrial production; three products have already been created through involvement in the European SOLUTIONS project produced commercially. for the cross-disciplinary Eawag research on the effects of In collaboration with German, Spanish, Japanese and Swiss micro-impurities on natural aquatic ecosystems. The entire Rhine researchers, physicists from Empa managed to manufacture gra- Basin in Switzerland, Germany and the Netherlands is being phene nanoribbons with an atomically perfect zigzag edge from tested for micro-pollutants in this regard. precursor molecules. The atoms of the edges have electrons with Furthermore, Eawag is working very intensively with countries a different (and coupled) spin. This could make graphene nano with low per capita income because water shortages and hygiene ribbons the material of choice for the electronics of the future, cause problems there that have increasingly global consequences. so-called spintronics. It uses both the charge and the spin of the In order to aid understanding in discourse, the name of the Eawag electrons for the transmission of information. This combination department Sandec was changed to “Sanitation, Water and Solid offers the promise of completely new components, such as Waste for Development” in 2016. addressable magnetic data memories. The information which is Sewage contains lots of information, including possibilities for fed in is also retained after the power is switched off. Further- drawing conclusions about consumption habits. It is a consider- more, the researchers tested the friction behaviour of graphene ably quicker way of obtaining data about drug use than conven- on the nanometer scale. As graphene offers “superlubricity”, i.e. tional monitoring programmes, and the results are increasingly the friction forces that are generated are extremely low, ultra- comparable. Researchers from Eawag are sharing findings in a thin coatings of graphene can not only reduce energy loss from network of over 30 research groups in 27 countries and publi machines drastically, it can also make them more long lasting. In shing the results jointly. Institutions such as the Federal Office of addition, Empa is involved in the FET (Future and Emerging Public Health (FOPH) or the German Federal Ministry of Health Technologies) flagship programme on “Graphene” conducted by (Bundesministerium für Gesundheit, BMG) are interested in making the EU. these types of studies usable for healthcare. A system of European When the Dutchman Bernard Feringa won the Nobel Prize for monitoring is being set up. Chemistry in 2016 together with two scientists from France and the US, two researchers from Empa also had reason to be pleased. Karl Heinz Ernst and Manfred Parschau had significant roles in a research work by Feringa in 2011; they drove a model car built by Feringa’s team from a single molecule in a scanning tunnel microscope over a copper surface – presumably the world’s smal- lest 4×4 electric car. The researchers’ aim was to design molecular transport systems that perform certain tasks on a nano scale.

Annual Report 2016 on the ETH Domain 59 PERFORMANCE MANDATE | Objective 6 | National cooperation

“The ETH Domain will ensure greater cooperation within both the Domain and the Swiss higher education 6 A multidisciplinary team from the landscape.” WTZ developed a unique technology for creating a perfectly formed, biologically neutral human tissue matrix named LifeMatrix. (Photo: Wyss Zurich Press Kit)

ETH Zurich

The ETH Board’s perspective As a university with an international reputation, ETH Zurich is playing a significant part in shaping the Swiss university land The institutions of the ETH Board once again strengthened their scape. The cooperation with the academic institutions is particu- collaborative efforts in different fields of research and at all loca- larly strong in the Zurich university area, as well as at its facilities tions, both within the ETH Domain and with external national in Basel and Ticino. partners. For instance, EPFL has created several new professors- The focus of attention in 2016 was on intensifying cooperation hips at its sites in the cantons of Valais and Fribourg, launched in research, teaching and translation in the field of medicine. numerous cooperation projects with local partner institutions “SKINTEGRITY”, the new large-scale interdisciplinary project, and forged ahead with the development of the Geneva site with was launched in the “University Medicine Zurich” network in 2016. the Biotech Campus at the heart of this. Stepping up the collabo- The university city of Zurich is seeking to become a world-leading ration with national universities was a factor in the success of the centre in skin research with this initiative. At the beginning of 2015, new course in Human Medicine at ETH Zurich, which it will be ETH Zurich and the UZH opened the joint “Wyss Translational running from autumn 2017 onwards with its partner universities Center Zurich” (WTZ). In 2016, the Center created the first joint in Zurich, Basel and Ticino. spin-off, launched four new projects and ended the year success- Thanks to the competence centres in the ETH Domain and new fully with the first project for ZurichEye. The WTZ is made possible research platforms such as the SCCERs, the ESI platform or NEST, by an donation from Hansjörg Wyss amounting to USD 120m. cooperation in the ETH Domain and with research institutions The new Bachelor’s degree course in Human Medicine at and industrial partners has increased. Existing locations have ETH Zurich, launching in autumn 2017, will be run in close collabo- been bolstered by cooperation with local institutions, such as ration with its partner universities in Zurich, Basel and Ticino. The WSL’s Bellinzona site with the relocation by Agroscope to the University of Zurich (UZH) is accorded particular importance as a new Cadenazzo research campus. It is also important that part- provider of courses in selected areas such as anatomy. Collaborative nerships with universities of applied sciences have been expan- arrangements with various clinics and medical practices will ensure ded. New transdisciplinary research approaches were imple- the clinical part of the training. All graduates of the Bachelor’s mented through the cooperation with cantonal agencies and degree course are guaranteed a place on the Master’s degree in stakeholders, such as in the project on “Regional Water Supply Human Medicine at one of the partner universities. Alternatively, Basel-Country 21” at Eawag or the Mobility Lab of EPFL in Sion. A they can also start a Master’s course at ETH Zurich. new institutional partnership has been established with the Back in autumn 2016, UZH introduced a specialism in “Medi- Zurich University of the Arts at ETH Zurich-backed Collegium Hel- cine & Technology” in its course in Human Medicine. The enginee- veticum, which is also committed to transdisciplinary research. ring courses are taught by lecturers from ETH Zurich. This specialism will be available at ETH Zurich from autumn 2017 as part of the Master’s degree courses in Health Sciences & Technology, as well as Biomedical Technology. The medical courses will be given by lecturers from UZH. In Basel, the incentive investments by the cantonal authorities of Basel-City and Basel-Country to broaden the cooperation be tween the Department of Biosystems of ETH Zurich (D-BSSE) and the University of Basel have been successfully launched with three projects in the field of Personalized Medicine. Finally, three double-professors at ETH Zurich and the University of Basel took up office in 2016. These assistant professorships with tenure track were newly created within the scope of the National Centre of Competence (NCCR) in “MSE – Engineering of molecular systems”.

60 PERFORMANCE MANDATE

World-acclaimed expert in neuro-rehabilitation: Prof. Friedhelm Hummel (r.) conducting research at EPFL in Valais. (Photo: Alain Herzog/EPFL)

In Ticino, the Swiss National Supercomputing Centre (CSCS) at to design and build a symbolic building to house the research ETH Zurich celebrated its 25th anniversary. In addition, the perfor- activities, the “smart living building”. mance of Piz Daint, the flagship supercomputer of the CSCS, was The smart living lab collaborates closely with Empa, in parti increased from 7 to over 20 petaflops (see p.52). cular on the SolAce project, a research unit at NEST which is con- 30 students from ETH Zurich and from Lucerne University of cerned with the use of light in facades. In addition, Fribourg is the Applied Sciences and Arts worked together to build the “Formula location of the pavilion that EPFL students and the academic Student” electric racing car “grimsel”, which broke the accelera- partners (HEIA-FR, HEAD, UNIFR) will be entering in the interna tion world record for electric cars in 2016. The vehicle accelerated tional competition entitled “Solar Decathlon 2017” being run by from 0 to 100 km/h in 1.513 seconds and in less than 30 metres. the US Department of Energy in Denver (Colorado) in October. “grimsel” is the fifth electric car created by the Academic Motors EPFL was the driving force behind setting up the Biotech Sports Club Zurich (AMZ), and it raised the bar in terms of light- Campus in Geneva, which has hoisted the region around Lake weight construction and in its electric drive. Geneva up to the top flight in international research in the fields Candidates from UZH and from Zurich University of the Arts of neurosciences, as well as digital and global health. It brings (ZHdK) took part for the first time in 2016 in the “Falling Walls Lab”, together almost 800 people from science and industry across which was organised by ETH Zurich. The three winners represen 40,000 m2. In addition to the EPFL teams, this also includes re ted the three universities at the international contest in Berlin in searchers from the University of Geneva, HUG, Wyss Center for Bio November 2016. and Neuroengineering, Human Brain Project (HBP), Swiss Institute The Collegium Helveticum, the Laboratory for Transdisciplina- for Bioinformatics (SIB) and the University for Landscape Design, rity, is supported by ETH Zurich and UZH, and ZHdK also came on Engineering and Architecture. board in 2016. It has been led by Prof. Thomas Hengartner from At the Microcity site in Neuchatel, EPFL is expanding its coope- UZH since January 2016. The Collegium will be focusing on the ration with the CSEM, the University of Applied Sciences Arc (HE-Arc) theme of “Digital Societies” from 2016–2020. and the Neode incubator. Within this scope of the federal strategy concluded in 2016, EPFL EPFL is committed strongly to the expansion of degree course capacities in Human Medicine in association with the Universities of Lausanne EPFL Valais Wallis now employs 180 people who are primarily and Geneva (see p.9). involved in energy research. Nine laboratories are operated by EPFL Valais Wallis expanded its focus on research in health three EPFL faculties at the location in Sion. Working in 7,000 m2 of further in 2016. In August, the Friedhelm Hummel professorship, space, the teams of researchers are able to develop cooperation named after an expert of worldwide renown in rehabilitation after projects in chemistry labs, computer rooms and shared facilities strokes, was established. Capacities for experimental research are with their most important partners in Valais. The major aspects of to be expanded in Sion, where world-acclaimed experts are the cooperation are in connection with the industrial demonstra- already involved in neuro-rehabilitation at the Clinique romande tion plant in Martigny (production, storage and distribution of de réadaptation operated by SUVA. hydrogen). The “Centre de Recherche Énergétique et Municipale” Every year, 16,000 Swiss people suffer a stroke, and over 12 mil- in Martigny, HES-SO Valais and a number of partners from industry lion worldwide; this is one of the most frequent causes of disa are involved in this. The Mobility Lab Sion-Valais nurtures close bility in adults. To enable these people to recover their indepen- ties between EPFL and multiple engineering research institutes at dence as much as possible, new approaches are being developed HES-SO. such as non-invasive electrical and magnetic stimulation of the In 2016, the School of Architecture, Civil and Environmental brain, an area in which Friedhelm Hummel does pioneering work. Engineering (ENAC) at EPFL in Fribourg welcomed two new profes- The new professorship will be supported by the defitech Founda- sors. EPFL is developing the “smart living lab” there, a research cen- tion and the Canton of Valais. tre for future living. HEIA-FR, UNIFR and EPFL are working together

Annual Report 2016 on the ETH Domain 61 PERFORMANCE MANDATE | Objective 6 | National cooperation

Dmitry Veprintsev, co-author of the new study, is project manager in the La- Valais state councillor Jacques Melly and Christoph Hegg, deputy director of boratory for Biomolecular Research at the PSI. (Photo: Mahir Dzambegovic/PSI) WSL, after the signing of the cooperation agreement. (Photo: WSL)

PSI WSL

51 scientists from the PSI were closely linked to ETH Zurich, EPFL WSL is involved in in three of the national Competence Centers as well as to Swiss universities and institutes of applied sciences for Energy Research (SCCERs), namely “BIOSWEET” (project, advisory in 2016 through professorships. 13 other researchers taught as board), “Supply of Electricity” (three projects) and “CREST” (asso- private lecturers at third-level education colleges. These close ciated project), as well as in NRPs 70 and 71 on energy research. institutional links between all third-level education colleges and In this way, energy research at WSL is closely interwoven with that research institutes is a basic precondition and success factor for of the universities and research institutes. The SCCERs programmes good cooperation nationwide. Some 50% of all the academic were extended by four years during the reporting year. users of the large-scale research facilities at the PSI came from the The cantonal authorities play a decisive role in the implemen- ETH Domain and from Swiss universities. The close cooperation tation of WSL knowledge. This is why WSL has centres in all the between users and the PSI scientists who are responsible for (language) regions of Switzerland. In 2016, the southern Alpine the beam lines generates a wealth of cooperation in research at site relocated from a former schoolhouse in Bellinzona to the new national level. “Cadenazzo Research Campus”, which was built by the Federal Furthermore, the SCCERs permit and require broad coordination Office for Buildings and Logistics (Bundesamt für Bauten und of activities and cooperation within the ETH Domain, as well as Logistik, BBL). Forest fires, chestnuts and other questions that with all the other universities, institutes of applied sciences and are typical to the southern Alps are explored there under one roof research institutions that are involved in energy research. with a number of agricultural organisations, namely with Agros- The Energy System Integration platform (ESI) at the PSI is a suc- cope. The geographical proximity will help to intensify the exis- cessful example of the close collaboration between Swiss re ting cooperation in projects, such as in the area of biodiversity in search partners and industry: it was implemented in coordination vineyards. with Empa with participation by ETH Zurich and is used to test The 20-year cooperation agreement was renewed with the integral storage concepts for renewable energy. The PSI-led SCCERs canton of Valais, and the scope was extended from natural hazards dealing with biomass (BIOSWEET) and storage (Heat and Electricity such as avalanches and mud flows to encompass other WSL topics Storage) will test their newly developed technologies on the ESI such as forests, biodiversity and landscapes. For many years Valais platform. At the same time, it is also at the disposal of the part- has been an important research centre and partner as far as the ners of the other SCCERs, as well as of interested companies via consequences of climate change, such as drought or forest fires, PARK INNOVAARE. The ESI platform went into operation in autumn are concerned. Pierre Huguenin took over as the new director of 2016. It was unveiled back in September 2016 to representatives the Sion site following the retirement of the previous incumbent. from politics, industry and science as part of the conference on The report entitled “Focus on Climate Switzerland” (Brennpunkt “Networked Energy Research in Switzerland”. Klima Schweiz) can be named as an example of the widescale Taking the beta-1-adrenoreceptor as an example, researchers networking of WSL researchers with other institutions from the from the PSI, collaborating with colleagues from the Bio-Centre ETH Domain and Swiss academic and research environments. It of the University of Basel, clarified in detail how signal transmis- was published by ProClim, the forum for climate and environmen- sion to the interior of cells works. Their results are transferable to tal change at the Academy of Sciences Switzerland. Seven experts a whole class of similar cell receptors and help to provide a much from WSL were involved as authors or consultants, and WSL direc- better understanding of the mechanisms by which many drugs tor Konrad Steffen was one of the main speakers at the presenta- work. Consequently, the methodology could contribute towards tion of the report. improvements in medication in the future.

62 PERFORMANCE MANDATE

Employees in the clean room of the CCC on the precision printing machine, The inclusion of pesticides in farming poses risks to bodies of water. A deci- which can print several functional layers one on top of another with a degree sion-making analysis is intended to identify solutions to conflicts of usage. of precision of less than 10 µm. (Photo: Empa) (Photo: Eawag)

Empa Eawag

In order to ensure that the Swiss mechanical, electrical enginee- The need to consider national concerns plays a significant role in ring and coating industries, which are still world-leading sectors, Eawag’s research. This included work on the pesticide action plan, have the edge over their international competitors in terms of pilot projects in the treatment of waste water and projects on innovation, Empa opened the “Coating Competence Center” (CCC) bodies of surface water in 2016. Looking ahead to the Energy in Dübendorf in early April 2016 in close association with nume- Change in Switzerland, Eawag concerned itself in 2016 with colla- rous partners from industry and research. The Coating Competence borating with partners from the Swiss Competence Centers for Center is intended to smooth the way from research labs to Energy Research (SCCERs), in particular on themes relating to the marketable industrial applications for tailor-made surface tech- use of hydropower. The researchers from Eawag primarily explored nologies. It houses various coating facilities for hard material the ecological aspects. In addition, they considered the uncertain- layers, flexible photovoltaics and organic electronics, as well as 3D ties surrounding the benefits and costs of expanding hydro printers for metallic materials and biocomposites. The facilities power and their significance for the Swiss public. In the project are industry-oriented as far as the process technology is con- on “Regional Water Supply Basel-Country 21”, which was comple- cerned, although they are modified to enable researchers to ted in 2016, Eawag worked with the competent cantonal agencies perform detailed process analyses. This is intended to facilitate as well as the University of Basel and other partners. The integra- upscaling for Swiss industry. The centre will be expanded further tive part of the project was also particularly concerned with the in the coming months and years and will be equipped with addi- transfer of knowledge to local authorities and engineering offices. tional facilities. Eawag is in the process of strengthening collaboration with the Parallel to that, efforts are already under way to expand the universities of applied sciences in selected places on specific issues. coating centre into a nationwide “Center for Advanced Manufac- For example, it was agreed that a researcher from the Environ turing” in which the cooperation between research and industry mental Microbiology department at Eawag would be seconded to is extended to other areas of production and manufacturing tech- the Lucerne School of Engineering and Architecture. nologies. It would ideally be funded as a public-private partner Together with the Federal Office for Agriculture (FOAG) and the ship and be set up with multiple locations across Switzerland with Agroscope Research Institute, Eawag has been exploring future-safe dedicated focal points in which research institutions and Swiss agricultural production methods in Switzerland that pose no harm industry are equal partners. to rivers and lakes. The project entitled “Agricultural Production In addition, Empa along with ETH Zurich and the University of and Water”, which lasted until 2016, involved competing claims to Zurich, as well as other Swiss institutions, is involved in the Swiss usage and protection. Using decision-making analysis based on Business Incubator Center BIC of the European Space Agency ESA multiple criteria, the systems scientist Anne Dietzel and the other (ESA BIC Switzerland), which has been up and running since people involved identified potential areas for improvement in September. It added the first three start-ups to its development agricultural production and in the protection of rivers and lakes. programme in mid-November, including the Empa spin-off Together they created fundamental principles for future coopera- TwingTec, a company which is developing a high-altitude wind tion between the agricultural authorities and water researchers. power in order to produce cost-efficient electricity. The programme has been set up for an initial period of five years and will support up to 10 start-ups every year; later on, they can set up offices in the hub of the Switzerland Innovation Park in Dübendorf, immediately adjacent to Empa.

Annual Report 2016 on the ETH Domain 63 PERFORMANCE MANDATE | Objective 6 | National cooperation

Centres of competence and strategic Centres of Competence initiatives CCEM – Energy and mobility The Competence Centres of the ETH Domain were created by an Ten years of CCEM – the anniversary events in September with con- initiative of the ETH Board in 2006, and were allocated initial tributions from science, industry and policymaking also demons- financing for about 10 years, which allows them to cooperate trated impressively that convergent energy technologies can be across the disciplines, and also in setting up joint infrastructure, developed very efficiently in a transdisciplinary environment. Nine research and teaching platforms. In 2015, the final projects that projects were successfully completed in 2016, and the remaining are set to run until 2017 were started. The Competence Centres eleven will be completed in 2017. Research in the CCEM has deli- have laid the path for many new collaborations in the ETH Domain: vered a relevant contribution towards the SCCER and to the 2050 in interdisciplinary research and teaching in environmental stu- Energy Strategy. Many of the results serve as a basis for new pro- dies, the setting-up and managing of the Swiss Competence jects and will help to further reinforce cross-disciplinary under- Centres for Energy Research (SCCER) by the institutions of the standing and cooperation within the ETH Domain. There is a focus ETH Domain, the professorships and platforms in industry-relevant on energy and mobility aspects in connection with energy systems research areas in materials science, and the many doctoral theses and site networks. across the institutions. The Competence Centres have stimulated The “novatlantis – sustainability in the ETH Domain” programme the cooperation in the ETH Domain and in many cases advanced it continued to perform its outreach function in the area of energy and organised it on a long-term basis. research and enjoyed a successful 2016. novatlantis promoted the exchange of knowledge through public events, as well as though implementation projects in the pilot region of Basel and in the region of the future Novatlantis Argovia. www.ccem.ch, www.novatlantis.ch

CCES – Environment and sustainability Seven of the eight CCES research projects of the second phase were successfully completed in 2016. The most important results from these were presented at a final symposium at ETH Zurich that was attended by over 300 people from scientific and practical back grounds. During a podium discussion, which included two members of the National Council, options were discussed for improving the dialogue between science and policymakers. In the field of education, the CCES Winter School "Science Meets Practice" was held with great success for the sixth time. In collaboration with ETH Zurich’s STEM Training Centre, CCES@School developed further teaching materials for secondary schools, exploring the topic of geothermal energy on this occasion. Finally, measures were also taken to forge ahead with the setting up of the “EnviDat” environmental database. The training and outreach activities will also be continued following the end of CCES. www.cces.ethz.ch

64 PERFORMANCE MANDATE

Strategic initiatives

CCMX – Competence Centre for Materials Science and Technology SystemsX.ch The Competence Centre for Materials Science and Technology The Swiss initiative for the promotion of systems biology received (CCMX) serves as a driver for long-term research partnerships its last tranche of state funding in 2016. 249 projects were approved between the ETH Domain and Swiss industry. In line with its in total between 2008 and 2015. 123 of them were active in 2016, 2012–2016 strategy, all four new professorships have been filled including 30 major projects, bringing together up to 10 research with co-funding by the CCMX, two at EPFL and two at ETH Zurich. groups from different disciplines and institutions. Switzerland is Five Materials Challenges (research platforms co-financed by involved in over half of the research products undertaken under industry for researching scientific issues that are of significance the EU’s ERASysAPP network and also leads some of them. to Swiss economy) are all now active. In addition to a total of four With the interdisciplinary doctoral projects (87 in total, 44 of projects aimed at long-lasting improvements in analytical facilities which were active in the reporting year) and the Transition Post- available in the ETH Domain, nine courses and events targeting doc Fellowships (32 in total, 27 of which were active in the repor- academic and industrial researchers have also been successfully ting year), SystemsX.ch is encouraging the next generation of organised. CCMX has created new opportunities to link together researchers who wish to train in other disciplines in addition to the research capacity of Switzerland’s academic institutions and their main discipline. Furthermore, SystemsX.ch offers the young to build strong industrial partnerships, which will endure beyond researchers the chance to network at various events. Over 200 2016. researchers attended the “All SystemsX.ch Day 2016” at the Paul www.ccmx.ch Klee Centre in Bern. Following the third “International SystemsX.ch Conference” in NCCBI – National Competence Center for Biomedical Imaging Techniques September 2017, the activities of the initiative will be scaled back, The National Competence Center for Biomedical Imaging Tech and all the approved projects will be completed by December 2018 niques (NCCBI) seeks to promote research in the field of biomedical at the latest. imaging techniques in Switzerland and within the ETH Domain www.systemsx.ch over and beyond the institute’s own investments and activities. 33 dissertations have been funded since the programme Nano-Tera.ch started, especially concerning Alzheimer’s, respiratory disorders, Nano-Tera.ch, the strategic initiative of the Federal Government osteoporosis and cancer. 24 dissertations have been successfully for research work to develop complex systems in the fields of health, completed, and 68 laboratories in 13 Swiss institutes and 100 energy and the environment, celebrated its ninth year in 2016. other external staff are affiliated to the programme. These joint In addition to the continuation of 25 projects in the area of projects have produced 174 abstracts presented at national and research, technology and development, the Gateway programme international congresses, as well as 94 articles published in pres- from Nano-Tera for transferring the results of financed research tigious scientific journals. projects to the Swiss economic sector was expanded further in www.nccbi.ch 2016. In addition to the four current Gateway projects involving laboratories, specialist institutions (Empa, CSEM) and industrial partners, four new projects were selected following a special call to submit proposals. The goal of these projects is to convert the demonstration objects developed in the laboratories into industrial prototypes with high economic potential. Within the scope of the support for doctoral students, a competition was held in 2016 entitled “My Thesis in 180 seconds”, where candidates were given three minutes to present their doctoral thesis clearly and precisely.

Annual Report 2016 on the ETH Domain 65 PERFORMANCE MANDATE | Objective 7 | Role in society and national tasks

“The ETH Domain maintains a dialogue with society 7 and performs tasks in the national interest.” The Pavilion of Reflections at Manifesta 11: Swimming pool, meeting point and place of reflection. (Photo: Peter Rüegg/ETH Zurich)

ETH Zurich

The ETH Board’s perspective In many diverse ways, ETH Zurich allows the wider public to gain a closer view of the latest research findings. One highlight was the When the institutions of the ETH Domain perform tasks of natio- Pavilion of Reflections at Manifesta 11, the European art biennial, nal importance, the Swiss public may benefit directly from its which was held in Zurich in 2016. This floating, multifunctional scientific expertise in sensitive areas, such as the plant protec wooden platform with a giant LED screen, viewers’ stand, swim- tion laboratory at WSL. It is vital for researching and tackling ming pool and bar was created by 30 architecture students from pathogens in plants which are highly dangerous or new in Studio Tom Emerson at ETH Zurich in the course of 10 months of Switzerland, and was in great demand in only its first year in intensive work, together with external experts. During the first operation. The contributions by Empa towards the measurement week the pavilion was under construction on the edge of the of air quality and towards its improvement are an illustration of Mythenquai in Zurich-Wollishofen, apprentices from the Wetzikon how scientific expertise can be used to benefit the general public. School of Vocational Training also lent a hand. Consequently, the institutions of the ETH Domain make a substan ETH Zurich also attended the architecture biennial in Venice in tial contribution, among other things, to delivering the scientific 2016. Accompanied by Federal Councillor Alain Berset, the Presi- basis for solutions and regulatory measures for the sustainable dent of ETH Zurich, Lino Guzzella, opened the Swiss Pavilion which development of society, economy and the environment. had been designed by Christian Kerez, Professor for Architecture The institutions of the ETH Domain maintain a lively discus- and Design at ETH Zurich. Furthermore, with ETH involvement, sion with the public in order to make them familiar with new several project groups showcased their contributions in the main scientific methods and findings, as well as to enter into dialogue exhibition, performed in national pavilions and were involved in to explain to them its benefits for society. The great demand for the framework programme. these services is borne out by the keen interest from the public Researchers from ETH Zurich represented the institution in 2016 reported by the institutions in their newly expanded offers, as with TED Talks both at the annual TED2016 as well as at TEDxZurich. well as through the high level of media attention given to the TED is a well-known international platform for the exchange of institutions. Among other things, the first Cybathlon at ETH Zurich ideas in the areas of technology, entertainment and design. In enjoyed wide coverage. The open day at EPFL was also well February 2016, professor Raffaello D’Andrea and his team gave an attended overall, as were numerous other public events at all six 11-minute presentation where they demonstrated innovative and institutions. With their intermediary activities, the institutions inspiring flying machines of the future. This has since been vie- are also seeking to reach out to children and teenagers, which wed over 1.96 million times on the Internet. ETH Zurich was an chimes fully with the requirement to promote STEM subjects in academic partner at TEDxZurich with two presentations and a Switzerland. separate stand on the theme of Augmented Creativity. The events at the “Science City Meeting Place” once again attracted the public in large numbers. The spring edition entitled “The imperfect human” explored the topic of health and medicine. Among other things, it gave the general public a first-ever experience of the disciplines facing competitors in the Cybathlon – from mind-controlled computer games to wheelchair-course circuits (see p.14). The autumn edition, which ran under the banner of “Life in World 4.0” examined the question of how the digital revolution is changing our daily lives. All in all, ETH Zurich welcomed around 20,000 visitors at the Hönggerberg Campus. For the first time all lectures and discussions were recorded and made available online. They have been viewed more than 9,000 times.

66 PERFORMANCE MANDATE

EPFL welcomed more than 35,000 people to the campus for the Open Day in early November 2016. (Photo: Alain Herzog/EPFL)

The “Polyterrasse” in front of the main ETH building was the Furthermore, EPFL organised 670 internal events, 112 events meeting point for foodies in May 2016. In the pop-up TASTELAB within the scope of student associations and 75 external events in restaurant, ETH graduates demonstrated what happens when 2016. In addition to that, there were important events such as the science meets food. The project was a complete success, and the award of the Marcel Benoist Prize and the Erna Hamburger Prize, spaces were snapped up quickly. the “science and pedagogy days” for EPFL teaching staff, the offi- Again in 2016, there were various information events where cial opening of the ArtLab building and ME, as well as Balélec, the many secondary school pupils were given a view of the range of Alumni Evening and the Open Day. courses on offer at ETH Zurich. Around 6,200 pupils from all over In 2016, EPFL issued 60 press releases and published 210 news Switzerland and the local areas across the border took part in the items online, which were regularly picked up by the Swiss and course information days in September 2016. During the “ETH on tour” international press. EPFL received 5,054 mentions in printed programme, ETH Zurich visited seven secondary schools throug- media, as well as on radio and TV in Switzerland (source: ARGUS hout the country. from Presse AG). Its mention count stood at 18,300 at international Zurich hosted Information Technology Open Days for the first level (including online, source: Meltwater). Communication with time in 2016. Around 70 companies, research facilities and institu- the media enables EPFL to keep the general public and, thus, tions in the commercial region of Zurich opened their doors and Swiss taxpayers informed, similarly political and industrial policy- gave visitors a glimpse of the world of information technology. makers, both locally and globally. Over those days, ETH Zurich’s Department of Information Techno- On 5 and 6 November 2016, EPFL opened its doors to the gene- logy offers around 600 visitors an exciting and varied itinerary ral public as part of the official opening of the ArtLab building, ranging from programming for and with children, exciting pre- which is to be a platform for research at the interface between sentations, to special events for infants, schoolchildren, students human science and technology. and teachers. Over 35,000 people flowed through the campus to attend the numerous presentations, conferences and activities organised for EPFL that event. In a familiar, easy-going atmosphere, the public were given the chance to look behind the scenes and to find out more The programme on “Les sciences, ça m’intéresse!”, which is designed about life at EPFL. It nurtured an interest in science among our to nurture interest among young people in science and techno- youngest visitors who flocked in great numbers to the workshops logy, put on numerous workshops, courses and competitions for at the Scientastic Festival. girls and boys aged 7 to 16 in 2016. Over 9,000 young people and several hundred teachers took part. For the first time, the EPFL sites in Sion and Fribourg hosted robotics courses for boys and girls aged 11 to 13. A series of courses on “Internet & Code pour les filles” was offered in Geneva in collaboration with the HES-SO, and the "Swiss Computer Science Education Week", which was run in conjunction with FHNW (University of Applied Sciences Northwestern Switzerland), was rolled out throughout the French-speaking part of the country. “Scientastic”, the festival of science, the competition “My thesis in 180 seconds” and involvement in the Long Night of Science in Geneva, as well as the official opening of the “Strate J” campus in Delsberg are just some examples of the efforts EPFL made to encourage more people to learn about science and technology.

Annual Report 2016 on the ETH Domain 67 PERFORMANCE MANDATE | Objective 7 | Role in society and national tasks

WSL director Konrad Steffen opening the “Forum WSL Suisse Romande” on wood fuel and forest biodiversity. (Photo: C. Signarbieux)

PSI WSL

With a varied range of events, guided tours for visitor groups and During the 2016 year in operation, the plant protection laboratory exhibits in the visitors’ centre “psi forum”, the PSI promotes at WSL operated consistently at the highest level of safety (3) with dialogue with society and brings scientific findings and current its unique, secure greenhouses and laboratories. This enabled research themes closer to the general public. Specific activities are researchers at WSL to study pathogens from serious tree diseases, available for young people through the operation of the School such as ash dieback. This fungal disease caused the death of most Lab iLab, making an active contribution towards encouraging ash trees that were infected. Ash is a valuable type of tree both young people to engage in STEM subjects. A special opportunity commercially and ecologically. In addition, examples of the Asian arose in July 2016 for exchange with talented young people: some longhorned beetle were held and examined in the plant protec- 400 schoolchildren from over 80 countries came along to the tion laboratory. This dreaded pest has already been carried into University of Zurich for the International Physics Olympiad, visiting Switzerland on a number of occasions. As planned, the laboratory the PSI and its large-scale research facilities as part of the fringe was also used by external partners. For instance, the University of programme. Hohenheim, the German Federal Ministry of Food and Agriculture, The careers fairs for students (“Lehrberufe à la carte”) once as well as Agroscope performed contamination trials on salad again attracted a great deal of interest across the region back in plants affected by EHEC. These highly pathogenic strains of the June: young people were given the opportunity to find out about intestinal bacterium Escherichia coli repeatedly cause life threate the wide range of careers on offer at the PSI, to see people at work ning illness in people. This is why they may only be tested under and to talk to apprentice trainers and some 100 apprentices. strictly secure conditions. As expected, the official opening of the new SwissFEL large- For over 20 years, WSL has organised the annual “Forum für scale research facility in December 2016, attended by the Federal Wissen” (forum for knowledge), where scientists from WSL discuss President Johann N. Schneider-Ammann, attracted a lot of media a current research theme of social importance with users and attention. interns. The French-language equivalent was resurrected in Lau- The PSI has been performing an important national service sanne in 2016 under the title of “Forum WSL Suisse Romande”. It since 1984 by running the Center for Proton Therapy for the was devoted to the theme of “Wood fuel and forest biodiversity treatment of patients with ocular melanomas and deep-seated – Identifying synergies and reducing conflicts” and attracted tumours. much interest from forestry and nature professionals in western The PSI also fulfils other specific public administration duties at Switzerland. Around 150 people took part. They discussed how to the behest of the Federal Government. These include, for example, make increasing use of wood for the recovery of heat, electricity or the annual collection campaign for radioactive waste from the fuel and, at the same time, protect biodiversity in forests. WSL will medicine, industry and research (MIR) sectors, organised by the now be offering these events again on a regular basis in western FOPH and the PSI. This MIR waste is put into a form suitable for Switzerland. final disposal and stored in the federal interim storage facility. The The WSL and SLF web pages, aimed at children and teenagers, PSI acts in the service of the Federal Government and its regula- used to be integrated in the official web presence, but still tory authorities based on its proven competence as an important achieved high visitor figures. They are now summarised on their point of contact for handling this waste, for research questions in own website – www.wsl-junior.ch. WSL sees this as a contribu- the area of nuclear technology applications, as well as for safety tion towards promoting STEM, while creating access to scientific and security considerations on existing installations. content with a positive spin. WSL’s media presence was higher than ever before, with 1,821 recorded clippings, most notably 228 radio and TV pieces covering the entire range of WSL topics from forest fires to the consequences of climate change and urban sprawl, and on to invasive plants and fungi. In February, the Swiss broadcasting company SRF produced an episode of the science programme “Einstein” on the theme of avalanches at and with the SLF.

68 PERFORMANCE MANDATE

The 217-metre high Blosenberg Tower at the former Beromünster Infiltration ditches in Hardwald near Muttenz (Basel-Country): regional transmitter has had heritage status since 2008. Groundwater enrichment which is very important for the Basel It is now used as an air measuring station. (Photo: Empa) drinking water supply. (Photo: Christian Grund/ETH Board)

Empa Eawag

Since the end of October, the Beromünster regional transmitter In 2016 Eawag again made a significant contribution to the trai- has been home to the latest air hygiene station on the national ning and networking of specialists from the water sector in measuring network NABEL (National Air Pollution Monitoring Switzerland and neighbouring countries. Former members took up Network), which contributes towards monitoring Swiss air purity positions regulating the implementation, and as decision-makers compliance measures. The new station, the first since 1990, is at home and abroad. For instance, Klement Tockner, a former operated by Empa and the FOEN, recording air pollution on the researcher at Eawag, was appointed President of the Austrian rural Central Plateau at an altitude of around 800 metres. The Science Fund (FWF) in 2016. In the Swiss Water Association (VSA), listed tower, which stands at a height of 217 metres, also enables an engineer who is an alumnus of Eawag is tasked with leading air samples to be taken at different heights. For example, additi- the newly created competence centre for “waste water purification”. onal analyses of air quality and of the transportation of pollutants A new branch of social science research at Eawag is studying are possible. institutional structures. It is looking at the degree to which these

The CO2 regulations for new vehicles are to be tightened within promote or impede the use and acceptance of more sustainable the scope of the pending revision of the law, along the lines of solutions. This applies, for example, to solutions and approaches corresponding EU legislation. Experts at Empa, the PSI and Bern which have been developed in the WaterHub of the NEST experi- University of Applied Sciences wrote a policy document in mid- mental building since autumn 2016. 2016, proposing an additional measure for coupling vehicles with The two VSA platforms “Process Technology for Micro Impuri- renewable energy efficiently and counting the resulting reduction ties” and “Water Quality” are areas of cooperation between the in CO2 emissions for the corresponding vehicles. A motion debated Swiss Water Association, the Federal Office for the Environment in the 2016 summer session of the Swiss National Council takes a (FOEN) and Eawag. They are organisationally affiliated to the Swiss similar approach. Shortly afterwards, Empa put Switzerland’s very Water Association and are integrated into the research depart- first hydrogen filling station for cars with a filling pressure of 700 ments at Eawag. They possess databases with background infor- bar into operation on its campus in Dübendorf. This enables fuel mation and advise cantonal authorities, such as in 2016 on plan- cell vehicles to fill up in two or three minutes. The filling station is ning controls for reviewing measures to reduce pesticides in rivers part of the mobility demonstrator “move” and is to be used for and lakes. Empa project vehicles and for privately owned hydrogen fuel cell Professor Karin Ingold (Eawag and University of Bern), along vehicles. with her Social Sciences team and a team from ETH Zurich, studied In February 2016, Empa researchers teamed up with SR Technics strengths and weaknesses in current water supply structures and the Federal Office of Civil Aviation (FOCA) to develop a new based on the example of the canton of Basel-Country. They mana- methodology for measuring fine particles of dust emitted from ged to demonstrate that the parties in regional networks which aircraft engines, thereby setting standards internationally. Thanks connect parties which are otherwise alone are especially import- to this work, the Environmental Committee of the International ant. In water supply structures they are the water treatment Civil Aviation Organisation (ICAO) adopted initial regulations on engineer and the water supplier. The research project is part of the the emission of fine particles of dust from aircraft engines; all “Regional Water Supply Basel-Country 21” project. engine types in production from 1 January 2020 intended for use in passenger aircraft must be certified in accordance with the new regulations. Up to now, there have not been any regulations governing the emission of ultra-fine particles by aircraft engines because there are no measuring methods available for determining the presence of these microscopically small particles in jet exhausts reliably and on a standardised basis.

Annual Report 2016 on the ETH Domain 69 PERFORMANCE MANDATE | Objective 7 | Role in society and national tasks

The ETH Library. (Photo: Alessandro Della Bella/ETH Zurich)

National tasks ETH Zurich Selected national tasks ETH Library Serving the economy, society and the environment, the ETH Domain The ETH Zurich Library and Information Technology Services are fulfils numerous national tasks in the interests of the entire very actively involved in the national project on “Research Data nation. In many cases, these tasks are explicitly rooted in the law, Life-Cycle Management” (DLCM). The project develops blocks for are activities of the institutions that have evolved over time or are future-proof infrastructure for the administration, publication tasks of the Federal Government that have been integrated in the and long-term preservation of research data in Switzerland and is ETH Domain. Apart from the national tasks listed below, some supported by swissuniversities. In addition to ETH Zurich and EPFL, other examples deserve to be mentioned: the Swiss Economic Ins- there are also several cantonal universities involved in the pro titute (KOF), the Swiss National Forest Inventory (NFI), the plant ject. In addition to technical specifications and developments, protection laboratory, avalanche warning system and large-scale joint guidelines and recommendations are being developed. For research infrastructures of national importance such as the Swiss instance, the libraries at ETH and EPFL published a data manage- Light Source (SLS). ment checklist in 2016. www.library.ethz.ch ETH Zurich Atlas of Switzerland The “Atlas of Switzerland” has been available online since June 2016. The online version contains a number of cartographical views which are three-dimensional. It was a challenge to implement intuitive visualisations which work for the users both in 2D and in 3D. The “Atlas of Switzerland – online” was developed at the Ins- titute of Cartography and Geoinformation of ETH Zurich, in close collaboration with the Federal Offices of Topography, Statistics and Environment, as well as with around 70 other institutions. www.atlasofswitzerland.ch

70 PERFORMANCE MANDATE

The Gantry 2 in the Center for Proton Therapy (CPT) at the PSI. (Photo: Elisabeth Real/ETH Board)

PSI Eawag Center for Proton Therapy: 20 years of battling cancer Quality of Swiss waters with high precision On behalf of the Department of Radiation Protection at the Federal In November 1996, the PSI notched up a world first when a cancer Office of Public Health (FOPH), Eawag uses its gamma-ray labora- patient was treated with a new radiation technique: the spot- tory to continuously monitor radioactivity in aquatic systems. scanning technique for proton radiation. In this technique, a thin Together with the WSL and the FOEN, it is involved in the National proton beam scans tumours inside the body precisely, destroying River Monitoring and Survey Programme (NADUF). NADUF tracks the the tumour cells while protecting the surrounding tissue at the concentrations of substances occurring in selected Swiss water- same time. Back then, the methodology developed by PSI resear- courses. chers represented a breakthrough in radiation therapy and quickly became a successful product. Nowadays, spot-scanning is the Eawag standard technique used worldwide in proton therapy. Over the Centre for Applied Ecotoxicology past 20 years, over 1,200 cancer patients have been treated rou In 2016, the Eawag/EPFL Ecotox Centre demonstrated the efficiency tinely and very successfully with it at the Center for Proton Therapy of ozonisation and of different post-treatment methods for the of the PSI. removal of micro-impurities from waste water through numerous biotests at the ARANeugut facility. A ring test performed in asso WSL ciation with the cantonal authorities for the processing of a stan- Forest reserves dardised protocol for sampling sediment will soon be completed. One of the activities that the WSL has performed for many years Furthermore, the Ecotox Centre made a considerable contribution became a national task with the amendment to the Forest Ordi- towards a revision of the guidelines on deriving environmental nance on 1 January 2017: Forest reserve research, or more precisely quality criteria. the long-term development processes in natural forest reserves, www.ecotoxcentre.ch has now become a statutory obligation which will be delivered jointly by the WSL and the FOEN. The Federal Government wishes to use it to review its reserve policy. It has supported the creation of natural forest reserves since 1991 within the scope of its strategy on “Forest biodiversity”. Natural forest reserves are still unique outdoor laboratories in which questions about forest development and biodiversity can be explored. www.wsl.ch/waldreservate

Annual Report 2016 on the ETH Domain 71 PERFORMANCE MANDATE | Objective 8 | Sources of financing and allocation of funds

“The ETH Domain will enhance its financing basis and efficiently deploy 8 the available funds.”

Academic systems need reliable funding Due to their long-term commitments in teaching and research, The ETH Board’s perspective and for the provision and maintenance of cost-intensive research infrastructures, universities and research institutes cannot react The international competitiveness of universities and research quickly to major changes in the financial environment. Building institutes depends above all on the excellence of their staff. In the expansion and conversion measures must be planned well in increasingly tough competition to attract the best minds, stable advance and carefully coordinated with the teaching and research basic funding by the Federal Government plays a significant role. stakeholders. Students and doctoral students should be able to Despite the successful procurement of competitive research fun- complete their studies without the quality or freedom of choice of ding, growing numbers of contracts with the business sector and their education being compromised. The significant need for with public sector organisations, as well as increasing forms of highly qualified specialists for the Swiss economy must also be support from private sources, the total federal contribution provi- taken into account, as well as the employment of competent staff ded by the Federal Government remains by far the most important at all levels. source of financing in the ETH Domain. The revenue from third-party funding has increased in recent Total federal contribution years, and stayed at the same high level in 2016. The share of By far the most important part of the ETH Domain’s financing is such funding rose from 25.9% (2013) to 27.7% (2016). Various mea- the total federal contribution, or funds made available by the sures to increase efficiency resulted in the growth of expendi- Federal Government. With the ERI Dispatch 2013–2016, the Federal ture, at 1.9%, being below the growth in student numbers (3.4%) Council applied to Parliament at the beginning of 2012 for a compared to 2015. In addition, in 2016 the ETH Board revised key budgetary framework of CHF 9,480.9m for the ETH Domain. The rules on investments held and expanded its reporting system Dispatch originally provided for an annual increase in growth of with the introduction of IPSAS. 2.4–5.0% (Ø 3.9%) from 2013–2016. As a result, the budgetary framework was increased by a total of CHF 177.0m (CHF 103.0m equalisation increase; CHF 60.0m ‘Coordinated Energy Research Switzerland’ action plan; CHF 14.0m streamlining of property portfolio). Due to various savings measures implemented in 2015 and 2016, the budgetary framework was reduced by CHF 146.6m, meaning that in the ERI period 2013–2016 a total of CHF 9,521.3m was ultimately available to the ETH Domain. This corresponded to an average annual growth of 3.1% (see fig. 3).

Increasing the share of third-party funding Other important sources of funding are the funds of the SNSF, the CTI, the special federal funding of applied research, and the EU Framework Programs for Research and Innovation (FP), up to now referred to as second-party resources1. Their share in revenue increased by 8.1% compared to the previous year, from CHF 508m

1 Second-party resources and third-party funding are the categories used prior to the conversion to IPSAS (International Public Sector Accounting Standards). Since 2015, these have been part of the category “Research contributions, mandates and scientific services”. The former third-party funding includes business-oriented research (private sector), the remaining project-oriented third-party resources (including cantons, municipalities, international organisations), donations and bequests, and other revenue (see fig. 4).

72 PERFORMANCE MANDATE

Fig. 2: Budgetary framework for the ETH Domain in the ERI period 2013–2016 (December 2016)

CHF millions 2012 2013 2014 2015 2016 2013–2016 ERI Dispatch of 22 February 2012 (12.033) 2,174.5 2,227.4 2,303.2 2,414.6 2,535.7 9,480.9 Federal Decree of 25 September 2012 “equalisation increase” 32.0 45.0 26.0 – 103.0 Increase in funds, “Coordinated Energy Research Switzerland” action plan (12.079) 12.0 16.0 16.0 16.0 60.0 Increase in funds, streamlining of property portfolio – FD I Budget 2014 14.0 14.0 Budgetary framework of the ETH Domain 2013–2016 2,174.5 2,271.4 2,378.2 2,456.6 2,551.7 9,657.9

The total federal contribution consists of two credits: credit A2310.0542 Federal financial contribution covers the financial requirements for current outgoings, and credit A4100.0125 Investment credit for ETH Domain constructions covers the investments in movables (see fig. 3).

Fig. 3: Credits taking into account the budgetary framework of the ETH Domain (December 2016)

CHF millions FS 2012 FS 2013 FS 2014 FS 2015 FS 2016 2013–2016 A2310.0542 Federal financial contribution 2,040.7 2,073.9 2,195.0 2,233.5 2,288.7 8,791.0 A4100.0125 Investment credit for ETH Domain constructions 134.7 197.5 183.2 184.4 165.1 730.3 Total credits, taking into account the budgetary framework 2,175.4 2,271.4 2,378.2 2,417.9 2,453.8 9,521.3 Nominal growth 4.4% 4.7% 1.7% 1.5% 3.1% Utilisation of budgetary framework 98.6%

to CHF 549m, which exceeded the budget expectations by CHF 68m. 2017 with all transitional regulations) or Lib4RI (amalgamating the The contributions from the SNSF and the FP developed positively. libraries of the four research institutes) reduce the costs in the Due to the partial association to ‘Horizon 2020’, a slight decline to medium and long term. CHF 125m was forecast in the 2016 budget. At CHF 142m, both the In 2016, in a joint project and in cooperation with the Federal previous year’s figure and the budget were clearly exceeded. Office of Information Technology, Systems and Telecommunication In the year under review (2016), the share of third-party fun- (BIT), the research institutes of the ETH Domain introduced elec- ding (or all revenues outside the total federal contribution exclu- tronic billing outward (“e-billing out”). ding tuition fees and other utilisation fees) increased slightly, relative to the operating revenue, from 26.9% (FS 2015) to 27.7% Synergy gains through joint research platforms (FS 2016), and also in absolute terms total third-party funding was Contributions to improving efficiency within the ETH Domain also higher in 2016 than in the preceding year (see fig. 4). encompass a number of new joint research platforms or programmes supported by several institutions of the ETH Domain to allow Efficient deployment of funds: increase in operational full networking and use of complementary research expertise, the efficiency setting-up of which was started in 2016. Among these are the Joint initiatives such as KoBe-ETH+ (Coordinated Procurement in Swiss Data Science Center of EPFL and ETH Zurich, which has been the ETH Domain + Partners), SAP4Four (joint solution of research established within the framework of the strategic focus area of institutes for the management of business processes and repor- data science (see p.7), and the Energy System Integration (ESI) ting), NRS (the NRS project, which has been running since 2013, for platform of PSI, Empa and ETH Zurich, which started operations the introduction of the new IPSAS accounting standards in 2015 or in 2016.

Annual Report 2016 on the ETH Domain 73 PERFORMANCE MANDATE | Objective 8 | Sources of financing and allocation of funds

At the EPFL Valais Wallis site, the joint EPFL and Empa Labora- Ensure transparency with regard to investments held tory of Materials for Renewable Energy (LMER) was set up with In 2014 the ETH Board concluded the full revision of the ETH Board funds from the Energy Research action plan within the ETH Domain. Ordinance concerning intangible assets in the ETH Domain and The coordinated procurement of instruments for the LMER will investments in enterprises of 24 March 2004. There are now two bring significant synergy gains through the sharing of research separate legal regulations: the regulation concerning intangible infrastructures at the EPFL Valais Wallis site and at the Empa in assets in the ETH Domain, and the directives on investments in Dübendorf. enterprises in the ETH Domain. Both regulations entered into force The fact that the institutions of the ETH Domain were able to on 1 January 2015. further improve in the most important international rankings By setting rules to regulate investments held, the ETH Board links despite budget cuts in 2015 and 2016 is an indicator for the effec- the following strategic expectations of the institutions of the tive deployment of funds. ETH Domain for handling investments:

Allocation of funds based on relevant criteria ——the institutions should hold investments only if doing so The ETH Act requires, in Article 33a, that the ETH Board allocate the contributes significantly to the accomplishment of tasks, Federal funds on the basis of its target agreement with the two and the companies in which they invest meet stringent Federal Institutes of Technology and research institutes and their quality standards; budget requests. The allocation of funding within the ETH Domain ——the risks associated with the investments held must be is governed by Article 12 para. 2 of the Ordinance for the ETH Domain. assessable for the institutions; in particular, the management The performance mandate between the Federal Council and of risks must also be ensured; the ETH Domain tailored to the 2013–2016 budgetary framework ——investments may not be made for the purposes of circumventing forms the basis for the four-year target agreements of the ETH Board financial rules and responsibilities or the Federal Government’s with the institutions. The annual allocations of funding to the political decision-making processes; institutions are coordinated to the annual payment credits deci- ——with any investments, transparency and sustainability for the ded on by the Parliament. In making these decisions, the ETH Board public and the supervisory authorities must be ensured; draws upon the budget requests of the institutions and the ——the institutions shall, within the framework of their investments assessment of their performance. held, preserve their autonomy in teaching and research, Of the credits totalling CHF 2,453.8m in 2016, after deduction of and shall proactively address potential conflicts of interest; funding for strategic projects of the ETH Domain and internal ——investments for the purpose of procuring goods and services may consumption of the ETH Board (see details below), CHF 2,337.8m be entered into, if this results in economic benefits and the was available for the allocation of funds to the institutions. Of this investment arrangements are not distortive of competition. amount, CHF 2,277.3m went towards teaching and research, and CHF 46.5m was allocated in a performance-oriented manner. In 2016, the ETH Board adopted binding threshold values and criteria for long-term obligations and investments, and the repor- Funding for strategic projects of the ETH Domain/internal consump- ting on the purpose of investments in the context of the perfor- tion of the ETH Board staff: mance mandate and the related risks was further developed with ——current projects: CHF –68.4m, the introduction of the new accounting standard IPSAS in 2015. ——administration of the ETH Board and Appeals Commission: CHF –14.5m, ——strategic projects including incentive and start-up funding: CHF –61.1m, ——release of reserves: CHF 21.0m, ——revenue from streamlining of the property portfolio: CHF 7.0m.

74 PERFORMANCE MANDATE

Fig. 4: ETH Domain: Development of the funding sources (total federal contribution: budgetary framework perspective)

CHF millions

4,000

3,500 3,355 3,386 3,486 3,134 110 3,062 3,078 118 102 115 94 102 3,000 2,893 773 409 732 718 2,760 408 426 2,656 355 2,500 2,421 2,412 338 454 2,319 383 445 477 35 2,242 409 33 34 245 280 372 2,378 2,418 2,454 241 2,000 213 324 2,208 2,271 295 279 2,130 2,175 252 2,050 242 1,949 1,826 1,880 1,854 1,500 1,788

1,000

500

0 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016

2004–2013 2014–2016 Internal resources Total federal contribution Second-party resources Tuition fees and other utilisation fees Third-party funding Research contributions, mandates and scientific services Donations and bequests Other revenue * acc. to IPSAS from 2014 (restatement)

Fig. 5: Allocation of funding (incl. reallocation of funds) to the institutions of the ETH Domain

∆ 2015/2016

CHF millions FS 2013 FS 2014 FS 2015 FS 2016 abs. % ETH Domain 1, 6 2,271.4 2,378.2 2,417.9 2,453.8 35.9 1.5 ETH Zurich 2 1,146.8 1,212.5 1,224.0 1,247.2 23.3 1.9 EPFL 3 580.9 594.9 618.1 640.3 22.2 3.6 PSI 4 303.2 300.4 324.0 305.4 –18.6 –5.7 WSL 55.6 53.0 55.7 55.9 0.2 0.4 Empa 97.3 106.8 106.7 110.7 4.0 3.8 Eawag 55.5 56.1 58.6 59.1 0.5 0.8 ETH Board 5, 6 32.2 54.6 30.7 35.1 4.3 14.1

Additional information on the financial statements (FS): 1 Annual instalments as per the approved budgetary framework 2013–2016: instalment 2015: CHF 2,456.6m, cuts in 2015: Consolidation and Task Evaluation Package (KAP) 2014 CHF –29.0m, across-the-board cut CHF –26.7m; included in total: property portfolio adjustment 2014: CHF 14.0m, 2015: CHF 7.0m, 2016: CHF 7.0m; annual instalments as per the approved budgetary framework 2013–2016: instalment 2016: CHF 2,551.7m, cuts in 2016: KAP 2014 CHF –29.0m, across-the-board cut/cost-of-living correction CHF –75.9m. 2 2016: incl. HPCN: CHF 20.0m, start-up funding from President: CHF 3.0m, additional costs for earthquake monitoring network: CHF 0.5m. 3 2016: incl. Blue Brain project: CHF 20.0m. 4 2016: incl. SwissFEL: CHF 25.0m. 5 Incl. strategic projects, SUC programmes and CIP-SUC, financing of reconstruction costs for accelerator facilities at PSI. 6 Incl. funds “Coordinated Energy Research Switzerland” Action Plan (2013: CHF 12.0m, 2014: CHF 16.0m, 2015: CHF 16.0m, 2016: CHF 16.0m).

Annual Report 2016 on the ETH Domain 75 PERFORMANCE MANDATE | Objective 9 | Real estate management

“The ETH Domain will coordinate the management of properties and real estate and ensure that both 9value and functionality are maintained.”

made early on about what future users will probably require in order to derive key values from them that can be substantiated for The ETH Board’s perspective current development decisions. The ever-more rapid pace of discovery and innovation, in particular in natural sciences and tech- In order to be better placed to tackle the foreseeable challenges nology, is hampering the reliability of these assumptions. There- of the coming year, the ETH Domain is making strides towards fore, special attention is to be given to high-usage flexibility in making real estate management more professional. New plan- the planning and design of structural measures. ning and control systems were introduced during the year under The collaboration with other universities and regions, which is review, the adaptation of governance was implemented, attrac- being stepped up upon the instructions of the Federal Govern- ting endorsement both within and outside the ETH Domain. ment and the implementation of the Swiss Innovation Park, will Weaknesses have also been identified, and innovative approa- lead to increasing decentralisation. The ETH Board supported the ches have been taken to address them. The Federal Government’s institutions in their in-situ developments by clarifying political objectives have been well met. issues and property law matters in, among other places, Sion, Neuchâtel, Basel and Thun, in the Zurich Central University District, as well as with the Master Plan Hönggerberg, PARK INNOVAARE and with the move by Radio Télévision Suisse RTS to offices on the EPFL Long-term portfolio development campus. The challenges facing us in the coming years include the increasingly more difficult macroeconomic climate and Switzerland’s Maintaining value and functionality financial standing, as well as the great expectations placed upon It is one of the statutory duties of the ETH Board to maintain the the ETH Domain in connection with the Federal Government’s value and functionality of the existing real estate. The 400 buil- Energy Strategy for 2050 and its role as a beacon organisation. In dings in the ETH Domain include numerous prominent structures order to counter this, the ETH Board and the institutions drew up built between 1858 and the present day. Therefore, there are their Spatial and Financial Master Plans (SFMP) for 2017–2028 as a some historically important buildings with listed status. In some long-term planning and control aid. They were announced for cases, this results in diverging target criteria and conditions, such the first time in 2015. They are derived from the academic deve as in monument protection, energy saving, fire protection and lopment plans for 2017 to 2020 for the core business of teaching, spatial planning, which cause delays to the pending refurbish- research and knowledge and technology transfer. They are desi- ment of buildings which are due to be restored for use in teaching gned to complement them. Consequently, the long-term real and research as a matter of urgency. The ETH Domain and its ins- estate portfolio development will be driven, on the one hand, by titutions undertake this responsibility in the interests of cultural the requirements arising from the core business and, on the other heritage, as current or newly started refurbishment projects from hand, by the necessary investments to preserve the value and 2016 show. functional use of the existing building stock. Existing buildings in In order to comply with the right of the Federal Government, as their current state will be assessed with regard to current and the owner of the property, to receive information about the pre- future requirements in order to prioritise the requisite measures. servation of value and functionality, details of the expenditure As a result of the SFMP, comprehensive snapshots are now availa- will be collected separately, and the state of the individual pro- ble for the very first time as a further tool to aid decision-making perties will be determined applying standard methodology, will on in-situ developments. The development of the existing real be accumulated at portfolio level and will be compared against estate and the requisite financial resources will be derived from multi-year trends. Despite the advanced age of some of the buil- and viewed for a reporting period of eight to ten years. This is dings and their intensive use, the state value of 82.7% deter- against the background that it can take a good six to eight years mined in 2016 is constantly high in relation to the new value of hard work to go from the initial idea for a more complex (see also p.110). Consequently, the ETH Domain has demonstrated building project to planning, project development and approval, that it uses the the building stock by the Federal Government res- through to completion. Consequently, assumptions have to be ponsibly and sustainably.

76 PERFORMANCE MANDATE

Sustainable development in 2015, the House of Natural Resources. When the Arch_Tec_Lab The Federal Council has published a document every four years was built, the use of automated construction workflows and inno- since 1997 setting out its political intentions on the implementa- vative building technology using air boxes (decentralised supply tion of sustainable development in Switzerland. In December 2015, air units) came to the fore. Following an in-depth evaluation pro- it adopted the “Strategy for Sustainable Development 2016–2019”. cess, EPFL decided to upgrade its central heating and cooling sys- An important part of the strategy is the example that the Federal tem with heat pumps that draw water from Lake Geneva. This will Government is meant to set as the owner and operator of real enable the entire campus to be heated exclusively with renewable estate and infrastructure. Explicit reference is made to “The Con- energy. Furthermore, EPFL intends to build a new data centre on federation: exemplary in energy”. Another part of the strategy this facility in order to harness its waste heat directly. Another is the “Monitoring of Sustainable Procurement in Construction”, highlight of 2016 in the ETH Domain was the celebrations to mark which is set out in more detail in Article 8 of the Ordinance on the the opening of the SwissFEL at the PSI. With the construction of Organisation of Federal Public Procurement (Org VöB). The para- this new large research facility in the Würenlingen Forest, efforts meters for monitoring were defined in 2014 and 2015, including all were made not only to embed into the surroundings as effectively the institutions of the ETH Domain, the further building and real as possible, but also to implement special measures for biodiver- estate bodies BBL and armasuisse, as well as FEDRO. It records all sity. Using the waste heat that arises during the operation of the contract awards which exceed the threshold values specified for SwissFEL will make an essential contribution towards improving the “General Agreement on Tariffs and Trade” (GATT) and by the the energy efficiency of the PSI. The very complex and cost-inten- World Trade Organisation (WTO). Since 1 January 2016, the award of sive project was delivered on time and on budget. The WSL has contracts has had to be linked to a catalogue of questions on completed the energy upgrade of the old building in Birmensdorf, simap.ch, the shared electronic platform for the Federal Govern- including installation of a photovoltaic system, which was awar- ment, cantonal governments and local authorities for public pro- ded the very first “Minergie P-A-Eco” building certification in the curement. This provides information about the different require- canton of Zurich. ments relating to sustainability. The Federal Council will receive a report on this for the first time in spring 2017. Coordination tasks The institutions of the ETH Domain support the objectives of the The Federal Government demands compliance with a raft of stan- Federal Council’s Strategy for Sustainable Development 2016–2019 dards and criteria in the area of real estate and its operation. within the scope of its real estate management. Part of this sup- Finalising these criteria is ordinarily done as collaboration bet- port takes the form of pilot and beacon projects on which new ween federal offices, which are commissioned by the Federal technologies, materials and building processes are tested with Council to take the lead on a particular topic (for example, the the aim of reducing the environmental impact of the construction Federal Office for Spatial Development [ARE] for “Sustainable develop- and operation of infrastructure installations. ment”), and the federal offices which are involved in the imple- The highlight of the ETH Domain in this regard in 2016 was the mentation of standards and criteria. Following consultation with commissioning of NEST. In the modular research and innovation the institutions, the Real Estate department, acting on behalf of building used by Empa and Eawag, new technologies, materials the ETH Board as the Federal Construction and Properties Service and systems, e.g. for waste water, insulation and storage of (BLO), performs the task of coordinating the interests of the federal energy, are tested, researched, further developed and validated offices and those of the institutions of the ETH Domain and seeks under real conditions. The close collaboration with partners from solutions. This work requires it to sit on a wide range of commit- research, business and the public sector have enabled innovative tees, specialist and working groups, most notably on the manage- building and energy technologies to come onto the market more ment board of the Coordination Group for Construction and Pro- quickly. Since its official opening in mid-2016, NEST has attracted perty Services (KBOB) and, in its specialist groups for Procurement a great deal of interest, which is reflected in the wide level and Contract Management, as well as for Sustainable Building. On of reporting and the strong demand for guided tours. In 2016, questions of finance, representatives of the BLO ETH Board meet ETH Zurich opened a second building dedicated to exploring representatives from the Federal Financial Administration (FFA) a aspects of sustainability: the Arch_Tec_Lab – after the HIA office block number of times a year. It performs further coordination tasks on

Annual Report 2016 on the ETH Domain 77 PERFORMANCE MANDATE | Objective 9 | Real estate management

issues of earthquake provisions in federal buildings (lead: FOEN), previously. The SFAO endorsed the new guidelines and confirmed the planned strategy for building culture (lead: FOC), the risk and that the application of these types of models for the realisation of vulnerability analysis of the research and education sub-sector certain peripheral use in addition to the core business is approp- (lead: FOCP), Department for University Buildings (lead: SERI), as riate and deemed acceptable by the Federal Government. Conse- well as on various issues from the area of environment and energy, quently, the Hönggerberg campus of ETH Zurich has not only been for instance the Resources and Environmental Management of the a place of research and teaching since 2016, it is also a place of Government Agencies RUMBA (lead from 2017: SFOE). A precondi- residence. Around 900 students moved into their new accommo- tion for successful coordination is the discipline and topic-specific dation immediately beside the lecture halls and labs. The two ERFA and working groups within the ETH Domain and, where newly opened halls of residence for students have lots of common necessary, an “echo chamber” for individual questions with rooms, study and shop space. points of contact from the institutions. With the partial revision of the ETH Act and with Art. 34bbis, the Allowing for the needs of people with disabilities is a very legal basis has now been created, enabling the institutions of the important aspect for the ETH Domain. SIA standard 500 “Obstacle- ETH Domain to place the properties, which are owned by the free building” is applied in new builds and refurbishments, ensu- government, at the temporary use of third parties. The revenue ring that the space built is accessible to all people, including generated is essentially payable to the government as the owner those with limited mobility or impaired senses (e.g. sight and/or of the properties, although the Federal Council may release the hearing impairments). The principles of proportionality, as well as ETH Domain from any obligation to pass this on if the revenue is balancing the interests of competing requirements, are applied minimal and the transfer of use is in the interests of the Federal during construction in existing buildings and, more especially, in Government. The associated regulations on governance had not historic buildings. been finalised at the time of going to press. However, reporting by The Federal Inventory of Swiss Heritage Sites (ISOS), city of the institutions to the ETH Board has already been adapted accor- Zurich section, came into effect in the year under review. The dingly. The reasoning distinguishes between transfer of use which Hönggerberg Campus of ETH Zurich is part of the inventory. How is necessary for operation, such as for research cooperation or ser- ever, an expert report by the Federal Office of Culture has shown vice-related accommodation, and that which is not necessary for that the 2040 Master Plan for the Hönggerberg Campus, which is operation, such as temporary use, if a lettable space has to be in development, showing a planned increase in construction available again for the core business within a foreseeable period volume by 50% based on the existing building stock by 2040, is of time. compatible with the conservation objectives of ISOS. In early 2016, the FFA enacted a new ruling on the use of third- party funding because the Federal Government takes on an obli- Financing flexibility gation from the award of building contracts, irrespective of the In 2015, the ETH Board approved the guidance to apply investor financing. This must be included in new applications for commit- models for the alternative financing of structural investments. The ment appropriations from as early as 2017. There are no plans to guiding principle is that private investors selectively supplement involve third-party funding in the two major projects in the 2017 the existing infrastructure with certain uses, and take on all of the building programme for ETH Zurich and EPFL. In the event of any financing, project planning, implementation, operation and additional costs in future, additional borrowing will be required maintenance. The opportunities and risks will be borne by the in order to increase the existing commitment appropriation, even investors. In 2016, the Swiss Federal Audit Office (SFAO) conducted if this is funded completely through third parties. an audit of alternative financing models which had been applied

78 PERFORMANCE MANDATE

Inner courtyard of the new HWO building (l.) as well as the HWW “livingscience” building (r.) for student accommodation on Hönggerberg. (Photos: Alessandro Della Bella/ETH Zurich)

Governance In 2016, the real estate directive for the ETH Domain was revised, its increased responsibility for this reporting procedure as it pro- and the newly developed concept for an internal control system vides a guarantee to the Federal Government, as the owner of the (ICS) was also approved and implemented. At the end of 2016, the buildings, that the requisite controls will be carried out across all first ICS reports were prepared in accordance with the new ruling levels. and were consolidated by the staff of the ETH Board. Separate ICS In May 2016, the ERFA FinBau was set up as a committee, ensu- were not set up for real estate management in the institutions; ring Domain-wide coordination between construction and finan- rather, the corresponding questions were integrated into the exis- ce-related issues in joint processes. It is led by the ETH Board. ting systems. The financial reporting (quarterly reports to the There was a cost overrun in the ME project at EPFL in 2015. Due Federal Government) has now been integrated into the existing IT to the results of external analyses, the ETH Board and EPFL agreed consolidation systems of the ETH Board, and the interface with the upon measures to avoid any such cases in future. They will take Federal Government has been made leaner and more efficient, effect from 2017. For example, EPFL created the post of Vice-Presi- both technically and based on auditing aspects. With these mea- dent for Finance, among others, and improved internal commu- sures, the ETH Board, in its capacity as the BLO, has demonstrated nication in the area of real estate management.

Adaptation of governance in real estate management

With the partial revision of the Ordinance on the Real Estate consistently been done via the ETH Board since early 2016. Management and Logistics of the Confederation (VILB), the Federal Furthermore, the ETH Board decided to adapt its organisation Council stepped up the profile of the ETH Board as a control body and working practices to reflect the anticipated increase in from 1 January 2015 within the scope of its responsibilities as the workload. Strategic tasks are performed by the ETH Board and by sole point of contact with the federal authorities. The ETH Board the Audit Committee as the Construction and Properties Service set about the implementation of these regulations with a com- (BLO); relevant decisions on individual transactions are performed prehensive project involving the relevant federal agencies and by the President of the ETH Board, and operational duties are institutions of the ETH Domain. In addition to the adaptation of performed by the Real Estate Department as the BLO, answering the accompanying regulations which define the relationship bet- directly to the Federal Government and to third parties under ween the central federal authorities and the ETH Board, the real the control of the President and of the Audit Committee (in par- estate guidance and the internal governance had to be revised. ticular in the areas of consolidation, reporting and the ICS). The In December 2015, the ETH Board decided upon the core ele- overall project for the adaptation of governance in real estate ments of the new governance. It confirmed the existing delega- management was endorsed and formally concluded by the tion of tasks and competencies to the institutions against the ETH Board in September 2016; the President of the ETH Board background of the roll-out of the internal control system (ICS) in was commissioned to undertake the further steps for implemen- accordance with the stipulations of the Federal Government for tation and further development. the ETH Domain in 2016. Reporting to the Federal Government has

Annual Report 2016 on the ETH Domain 79 PERFORMANCE MANDATE | Objective 10 | Working conditions, equal opportunities and young scientific talent

“The ETH Domain creates attractive and family-friendly working conditions, 10 supports equal opportunities and trains young scientists.”

ETH Zurich

The ETH Board’s perspective The ETH Zurich prepares the next generation of scientists for international competition and for an international career. It makes an The development of the next generation of scientists is very extensive range of suitable developmental instruments available important for the sort of high quality teaching and research that to complement those used by external support agencies. ETH Zurich will enable ETH to keep pace with international leaders. There- Career Seed Grants, a new instrument to support the development fore, the ETH Domain’s broad raft of measures and developmen- of new researchers at post-doc level, were introduced in 2016. tal instruments will create the preconditions for identifying This enables them to pursue their own research ideas indepen- talent early and for supporting its development in specific areas. dently. As they acquire an independent record of achievement, At the same time, they make an important contribution towards they can take a step towards scientific independence at a time alleviating the shortage of skilled academic personnel in the area that is critical for their career development. A wide internal dis- of STEM subjects and towards securing the competitiveness of cussion has been launched about the career paths and job profi- Switzerland as a centre of innovation. Mindful of the fact that les of scientific research staff on permanent contracts. subject variety matters for personal career development and for ETH Zurich carried out a staff survey in April 2016 which attracted career planning, the institutions have continued their efforts in responses from 55.5% of the staff. The great majority said that they this area. Great store is also laid by measures which increase the were very satisfied with their working conditions and felt a strong proportion of women in industry, especially in managerial roles affiliation to ETH Zurich. Measures were taken in four areas of and decision-making committees, and improve their opportunities action: climate in the workplace, health, management and develop- of reconciling their family life, job and career development. All ment dialogue, as well as remuneration for doctoral students. the institutions of the ETH Domain have established programmes In order to promote a forward-looking working culture which and implemented measures to create and continuously expand takes the individual needs of employees into account, ETH Zurich attractive, family-friendly working environments. Following the supports flexible forms of work, such as home office. New guide- review in 2015 of the remuneration and appraisal system NLS lines also support the dialogue between employees and their line (Neues Lohnsystem) which was introduced in 2006/2007, the managers. ETH Zurich created a new “Case Management” office in ETH Board took a decision in spring 2016 to develop the NLS 2016 to offer advice and support to employees and managers fol- further and to harmonise it together with the institutions of the lowing lengthy periods of absence due to illness or accidents. Case ETH Domain. They are greatly concerned as well with nurturing Management offers personal advice and support to people who the training of apprentices from different career backgrounds. are ill or who have suffered accidents. The main thing is that they They also attach importance to an active culture of diversity, such are given the best possible opportunity to convalesce and to ensure as recruiting employees of different cultures, languages and reli- a successful return to regular work. gions. During the reporting year, ETH Zurich conducted an evaluation of the effectiveness of the Gender Action Plan (GAP) that it had adopted in 2014. It was apparent that there is a broad awareness of the issue, and that departments with a low proportion of women, in particular, had taken action, such as mentoring for post-docs, setting up parent and child rooms, or introducing a code of conduct. Furthermore, a new information sheet on “Parenthood” con tains a summary of all the important issues for (expectant) mothers and fathers, as well as their line managers. An interview guide on maternity provides concise information about the conversation between mothers and their line managers concerning pregnancy,

80 PERFORMANCE MANDATE

ETH Zurich Career Seed Grants enable young researchers to acquire a record EPFL is seeking to attract more students. (Photo: Alain Herzog/EPFL) of achievement and to take a step towards their scientific independence. (Photo: Gian Marco Castelberg/ETH Zurich)

maternity leave, as well as their further professional development In 2016, EPFL further enhanced the measures which favour and career. The terms agreed upon should then be documented in attractive, family-friendly working conditions and which promote an agreement. Expectant fathers who wish to work part-time are equal opportunity and the emergence of young scientific talent. also discussed here. For example, the availability of daycare places has been increased 2016 was characterised by an expansion in the quantity and at two cantonal facilities. Thanks to the new Polychinelle Buil- quality of childcare provision for university personnel. Sixty new ding, on which building work got under way in early 2016, the day-care places were provided on the Hönggerberg Campus under availability of places can also be increased in Lausanne. Since the management of the kihz Foundation (childcare in the Zurich 2016, EPFL has been in a position to offer emergency support for university area). This means that ETH Zurich now has daycare employees’ children who are ill or have been in accidents through places for approximately 450 infants. In terms of quality, the the Robert Gnehm Fund in association with the Red Cross. childcare on offer has been extended by a pilot project for flexible Home-working is steadily rising. 14% of the workforce avail of childcare to complement family life (kihz Flex). kihz Flex offers the the opportunity to work remotely, which has an impact on work- possibility to arrange childcare on an hourly or daily basis if unex- life balance, as well as on the sustainability of the campus. pected childcare issues arise, in particular early in the morning or In 2016, EPFL created an Action Plan for Equal Opportunity later on in the day and without any long-term contractual com- 2017–2020. This plan was developed on the basis of challenges mitment. and perspectives which were identified during the gender monitoring procedure. Furthermore, it is intended to contribute towards EPFL the institutional development and standing of EPFL as a world- class technical university. The digital revolution is an important starting point for the further Needless to say, the priority fields of action include increasing development of employees of EPFL. In early January 2016, EPFL the number of female professors. EPFL is committed to the task of made about 100 e-learning modules available to personnel for the influencing the perception of science and technology among first time. Consequently, continuous professional development for schoolgirls, trainees and parents to attract, in particular, more employees, which used to be done externally, will again be orga- female students. Furthermore, the action plan comprises measu- nised internally. Training instruments and “Talent Management” res which promote a culture of study and work that is open to were merged within the new “Learning & Development” unit. equal opportunity and diversity, as well as complementary mea- Career support throughout the entire lifecycle management facili- sures for the expansion of professional prospects and a working tates the support in around 40 challenging situations. environment that supports equal opportunity. Important markers were set in Human Resources in 2016: administrative workflows have been successfully extended, and a large e-recruiting project geared towards new SaaS solutions (Soft- ware as a Service) was begun. In terms of promoting women, 2016 was characterised by the fact that the share of women in the EPFL could be kept at 33%. As a complement to the mentoring and coaching programme for new female talent, EPFL is taking part in a pilot phase of the REGARD workshop programme, which is organised by the equality offices of the universities of West Switzerland. These workshops offer an opportunity for exchange and give women specific tools for their career planning and for developing their personal skill set. The workshops held deal with leadership and mobility.

Annual Report 2016 on the ETH Domain 81 PERFORMANCE MANDATE | Objective 10 | Working conditions, equal opportunities and young scientific talent

Over 40 children were given an insight into careers as a researcher, laboratory assistant or chef at WSL and at SLF in Davos. (Photo: WSL)

PSI WSL

The objectives and corporate philosophy of the PSI are based on WSL focused its attention on personnel development in 2016. A promoting an “Ambitious & Friendly Workplace” and, among other series of events were made available to all employees, such as inter- things, comprise far-reaching criteria for operational health active, actor-led courses about difficult conversations, a workshop management. Following an assessment that had been success- on the use of social media at work, as well as workshops on gene- fully completed in June by Gesundheitsförderung Schweiz (Health ral career planning within and outside industry. The offer was Promotion Switzerland), the PSI was awarded the Friendly Work welcomed by all employees, availed of actively and will be conti- Space quality mark in October 2016. The award confirms the PSI’s nued in 2017. Even though they did not involve explicit measures systematic and sustainable commitment to working conditions to promote the role of women, the courses gave particular atten- that encourage a healthy lifestyle, as well as to integrating these tion to aspects dealing with the reconcilability of family and objectives into its operational culture. career, as well as to the different managerial and communication The PSI stands by the principles of the EU on the “Human styles of women and men. Resource Strategy for Researchers” (HRS4R). It is committed to pro- The specific activities available to promote the involvement of viding good employment and general conditions for researchers at women in science – namely the ETH Domain-wide programme the PSI and has drawn up and implemented an action plan which entitled “Fix the leaky pipeline!” – are still actively used and reflects the charter. In December 2016, the PSI became the first highly regarded by female researchers at WSL. In addition, WSL institution in the ETH Domain to receive the HRS4R Award. succeeded in recruiting professor Catherine H. Graham, who had In order to meet the increasing needs of employees to strike a previously been employed in the Department of Ecology and Evo- work-life balance, it adopted the guide on “Flexible Working at the lution at Stony Brook University (NY, USA). This is a quite a coup for PSI” in early 2016. Questions on how flexible working time models WSL as she is one of the world’s most highly acclaimed specialists contribute towards the work-life balance and about the specific in the area of the environment and ecology. This will not only challenges to and opportunities for the PSI that may arise from the bolster the WSL topics of biodiversity and landscapes, it will also implementation of those models were explored with experts and benefit the standing of women within WSL; young female scien- PSI employees during a panel discussion in autumn 2016. tists may look to her as a role model. The Action Plan for Equal Opportunity 2017–2020, which was In 2016, WSL offered apprenticeships in seven different occupa- drawn up for the first time, defines specific measures in the tions to twelve young men and three young women: an electronic development of young talent, management training and in engineer, a multi-skilled mechanic, four IT specialists, three labo- increasing the proportion of women in managerial roles and, ratory assistants in biology, three laboratory assistants in in che- at the same time, facilitated applications to swissuniversities for mistry, two specialists in operations maintenance and a chef. The project-linked financing contributions. apprenticeships are based at the sites in Birmensdorf and Davos. In order to offer individual support to employees who are WSL regularly presents these apprenticeships as well as work as a taking on their first managerial role at the PSI, according to their researcher, HR administrator or expert in science communication specific needs, the concept of the PSI’s mentoring programme was to children within the scope of the National Future Day as part of revised in 2016, and preparations were made for the next staging the Mädchen, Technik, los! (Girls, Technology, Go!) programme, as of the programme in 2017. well as during holiday activities and school visits. Martin Ostermaier typifies the career of a new scientist from the PSI. In the course of his doctoral thesis at the PSI, he developed a method of determining the effect of certain active pharmaceu tical ingredients. This method will help primarily in developing active pharmaceutical ingredients much more quickly. All in all, risks and costs in clinical studies can be greatly reduced in this way. Ostermaier founded InterAx Biotech in 2016 and has already sourced an important industrial customer.

82 PERFORMANCE MANDATE

The engineer Anita Wittmer (r.) at the cantonal hospital in Baden during a project on hospital sewage (Photo: Andri Bryner/Eawag)

Empa Eawag

Empa has received the “Best-Practice” category of “Family AND Eawag has supported the emergence of young scientific talent for Career”, awarded by “UND – Familien- und Erwerbsarbeit für years and offers over 100 doctoral students excellent infrastruc- Männer und Frauen” (AND – Family work and gainful employment ture, specific training opportunities and information meetings. for men and women). It also received the “Prix BalanceZH”, awar- It has an internal committee to handle its concerns. In 2016, it ded by the canton of Zurich for its special commitment in the launched a structured dialogue about career planning. Eawag areas of equal opportunity and diversity. Flexible working models offers workshops for continuous professional development for such as part-time, job-sharing, co-management, teleworking and young researchers with fixed-term project appointments. the working time honour system are valued and enable people Eawag has long since financed a year’s research at Eawag with to achieve work-life balance. its Post-doc Fellowship. The bursary is offered on a competitive Various methods are used at Empa to get employees fit for the basis to the best young talent. This serves to boost the networking employment market. In addition to the established practice of and profile of Eawag and to identify young talent. The Eawag annual personal development planning, courses are also offered Partnership Program for Developing Countries (EPP) for students to doctoral students and post-docs to enable them to plan their from developing countries will continue to apply. own career paths in the industry. However, established employees In 2016, Eawag trained 25 apprentices to be chemistry or biology of many years can also benefit from special courses for developing laboratory assistants, commercial administrators or IT specialists. their own careers. At Empa, specialist careers equate to a career in The Equal Opportunities Committee (EOC) is dedicated to ensu- management and have extended as far as Distinguished Senior ring that there is comprehensive equal opportunity at Eawag. Researcher level since 2015. From 2017, this department, which has been newly created with More than 40 trainees are trained at Empa in 10 different the PSI, will support both institutions in external committees and careers. Every summer, Empa runs a special camp for children of strategic activities, among other things in the ETH Domain’s initi- primary school age, inspiring an interest at a young age in natural ative “Fix the leaky pipeline!”. The EOC ran a workshop on “Part- sciences and engineering; so-called STEM subjects. Year in, year time work and success in research”, looking at the issue of recon- out, countless children are also inspired to get involved in science ciling family life and a career. The high number of participants, at National Future Day. There were over 100 in 2016. Empa also especially women, underlined the fact that flexible working supports the ETH Domain’s joint development programme for models are the future. There was a further increase in the propor- young female scientists entitled “Fix the leaky pipeline!”. tion of women in managerial roles thanks to consistent support for this and compliance with internal guidelines (2016: 31.6%). In addition to the Empa-Eawag daycare facility, Eawag also supports parents who are modest earners by contributing towards childcare costs. Where possible, employees who are ill or disabled are integrated into the employment process. Anita Wittmer is one of 109 students to complete their Master’s at Eawag in 2009. The graduate in environmental engineering at ETH Zurich worked at Eawag after her studies, among other things on a project to improve ozone dosing at the Neugut sewage treatment plant in Dübendorf. She started a family in 2014 and was then able to work part-time on the Water Hub unit in the NEST. The engineer found her dream job in the canton of Zug in 2016. She is working as a process engineer on the Schönau sewage treat ment plant.

Annual Report 2016 on the ETH Domain 83 Key figures

84 Key figures

Monitoring table 86

Academic achievement report 88

Rankings and benchmarking 94

Personnel 100

Professorial matters 107

Real estate 108

Environment and energy 113

Financing statement 116

Annual Report 2016 on the ETH Domain 85 KEY FIGURES | Monitoring table

Fig. 6: Monitoring table referring to the performance mandate of the Federal Council to the ETH Domain for the period 2013–2016

Reference values Monitoring

Indicators 2004 2008 2012 2013 2014 2015 2016 Teaching Students and doctoral students 1 Students 14,354 16,233 21,251 22,099 22,530 23,254 24,217 Percentage women 27.4 29.3 29.3 29.1 29.2 29.3 29.7 Percentage foreigners 2 19.9 27.3 34.4 35.5 35.4 35.8 37.4 in Diploma programme 7,741 751 0 0 0 0 0 in Bachelor’s programme 5,969 10,138 13,359 13,995 13,944 14,292 14,727 in Master’s programme 0 4,649 6,981 7,241 7,781 8,126 8,662 in MAS/MBA programme 3 644 695 911 863 805 836 828 Supervision ratio 4, 5 Bachelor’s/Master’s students per professor 24.3 25.1 27.3 27.7 28.0 28.6 29.2 Teaching by research institutes 6 10,145 15,569 14,735 15,670 17,291 17,378 18,023 Doctoral students 3,987 4,823 5,836 5,947 6,007 6,103 6,134 Percentage women 24.5 28.6 29.8 30.4 30.6 30.6 31.0 Percentage foreigners 2 57.1 62.7 70.6 72.6 72.7 73.3 74.3 Supervision ratio 4, 5 Doctoral students per professor 7.1 7.8 7.8 7.7 7.8 7.8 7.7 Students and doctoral students 18,341 21,056 27,087 28,046 28,537 29,357 30,351 Percentage women 26.7 29.1 29.4 29.4 29.5 29.6 30.0 Percentage foreigners 2 28.0 35.4 42.2 43.3 43.3 43.6 44.9 Supervision ratio 4, 5 Students and doctoral students per professor 32.5 34.0 36.4 36.5 36.8 37.4 37.9 New admissions to Bachelor’s programme 2,922 4,052 5,072 5,255 5,041 5,290 5,531 Graduations Bachelor’s degree 1 1,656 2,216 2,249 2,538 2,528 2,500 Percentage women 0 27.1 29.2 28.4 30.1 28.4 28.9 Percentage foreigners 2 100.0 16.8 21.8 24.3 26.0 27.6 28.2 Diploma, Master’s 1,723 1,978 2,320 2,663 2,711 2,821 2,989 Percentage women 23.0 27.0 30.8 29.3 29.3 31.1 29.8 Percentage foreigners 2 15.1 21.3 36.0 39.2 39.1 41.8 38.8 Doctorate 719 832 1,095 993* 1,197* 1,109 1,256 Percentage women 28.0 25.2 30.1 29.2 29.3 30.8 29.5 Percentage foreigners 2 54.9 59.1 63.8 67.7 69.0 71.8 72.3 Supervision by research institutes Bachelor’s, Master’s and Diploma students 286 391 542 532 585 521 575 Doctoral students 545 700 807 797 784 814 783 Percentage women 36.1 34.6 36.3 39.0 39.6 39.8 Percentage enrolled in the ETH Domain 66.1 67.2 67.9 69.5 69.4 67.4 Percentage enrolled at foreign universities 17.3 13.5 13.4 11.7 11.9 11.7

86 KEY FIGURES

Reference values Monitoring

Indicators 2004 2008 2012 2013 2014 2015 2016 Research Publications 7 – – – – – – – Research contributions, mandates and scientific services 8 (in CHF millions) 717.8 772.7 of which Swiss National Science Foundation (SNSF) 100.0 141.6 216.3 209.0 234.1 242.9 257.4 of which Commission for Technology and Innovation (CTI) 28.3 26.1 53.9 36.8 48.2 49.0 50.6 of which EU Framework Programmes for Research and Innovation (FP) 49.0 97.7 126.5 135.2 141.8 134.8 142.1 Knowledge and technology transfer (KTT) Patents 166 125 195 193 211 219 230 Licences 111 178 230 223 270 311 353 Spin-offs 25 46 38 43 49 48 50 PERSONNEL 9 Professors 5 565.0 619.4 744.5 767.7 774.6 784.2 800.8 Percentage women 6.7 10.7 11.8 12.4 12.9 13.7 13.9 Percentage foreigners 2 55.3 61.8 66.8 67.1 66.6 67.5 68.0 Scientific personnel – 7,956.5 9,663.9 9,927.3 10,128.8 10,975.5** 11,053.9 Technical and administrative staff – 4,728.8 5,238.9 5,436.3 5,611.4 5,850.9 5,932.9 Apprentices – 386.0 430.0 435.0 456.0 453.0 463.7 Finances/Real estate Total federal contribution (budgetary framework perspective) (in CHF millions) 1,788.2 1,949.4 2,175.4 2,271.4 2,378.2 2,417.9 2,453.8 of which federal financial contribution 1,603.0 1,778.4 2,040.7 2,073.9 2,195.0 2,233.5 2,288.7 of which investment credit for ETH Domain constructions 185.2 170.9 134.7 197.5 183.2 184.4 165.1

1 Counting method: headcount; for explanation of counting method see box p.89. 2 Students, doctoral students and professors with non-Swiss nationality. 3 Further education programmes MAS/MBA: Master of Advanced Studies/Master of Business Administration. 4 Students or doctoral students per professor. 5 For explanation of counting method see box p.89. 6 Number of hours per year, partly based on estimates. 7 Publishing activity is assessed every four years as part of the intermediate evaluation. 8 From 2015: new category according to new IPSAS reporting standards; consequently 2015 figures are not directly comparable with those of previous years (see Annual Report 2014 and previous editions). 9 In full-time equivalents (FTEs), comparable data for 2004 only partly available.

* In the context of the revision of ETH Zurich’s doctoral regulations. The last doctoral graduation deadline of 2013 was postponed from December 2013 to January 2014. This explains the pronounced increase in doctoral students in 2014 to 1,197; without this change, 1,022 doctoral students would have graduated. ** The increase in the number of full-time equivalents (FTEs) among scientific staff in 2015 was caused in particular by a system change in the remuneration structure of doctoral students which ETH Zurich implemented as of 1 January 2015. The additional 647 FTEs at ETH Zurich also affect the FTE total in the ETH Domain.

The performance mandate characterises the annual report as a critical self-assessment of the ETH Domain conducted by the ETH Board (see ERI dispatch, performance mandate on p.3,339). This is oriented towards the objectives of the performance mandate, as seen in the “Performance mandate” chapter of this report (see p.38 ff). The fulfilment of objectives is measured quantitatively by means of relevant indicators, particularly the monitoring table.

Annual Report 2016 on the ETH Domain 87 KEY FIGURES | Academic achievement report

The number of Bachelor’s and Master’s degree students is on the rise in the two Federal Institutes of Technology The number of students and doctoral students at the two Federal Institutes of Technology has exceeded the 30,000 mark for the first time. The overall increase in students is most evident at the Bachelor’s and Master’s levels. Also, for the first time, the ratio of women reached 30% of the total number of students and doctoral students.

The number of students and doctoral students at the two Federal Women are generally under-represented in the scientific and Institutes of Technology has been steadily increasing for years, pass- technical fields, which form the majority of the subject areas ing the symbolic mark of 30,000 in 2016 to total 30,351 (see fig. 7). offered in the two Federal Institutes of Technology. For this rea- The increase was higher in 2016 (3.4%) than in 2015 (2.9%). In 2016, son, the two Federal Institutes of Technology have been making at the two Federal Institutes of Technology, 14,727 students were great efforts over several years to increase the number of women studying for a Bachelor’s degree, 8,662 were on Master’s degree at all study levels. In 2016, the proportion of female students and courses, 828 were enrolled in MAS/MBA continuing education pro- doctoral students reached 30% for the first time (see fig. 8). The grammes and there were 6,134 doctoral students. At ETH Zurich, the proportion of female Bachelor’s degree students (30%) and doc- number of students and doctoral students rose by 3% (3.3% in toral students (31%) has never been higher than in 2016. At 28.5%, 2015), while there was a 4.1% rise at EPFL (2015: 2%; see fig. 7). the proportion of female Master’s students remained relatively similar to the previous year (28.6%). Developments in teaching The proportion of foreign students and doctoral students Information and Communication Technology, Exact Sciences and went up for all study levels to reach 31.6% at Bachelor’s level Natural Sciences, System-Oriented Natural Sciences and Life (2015: 30.5%), 46.1% at Master’s level (2015: 43.9%) and 74.3% at Sciences proved particularly successful subject areas in terms of doctorate level (2015: 73.3%). In the majority of cases, foreign increased numbers of students and doctoral students, registering students and doctoral students were educated abroad: 77.5% at 8%, 5.8%, 5.6% and 4.1% resp. (see fig. 7). These increases were Bachelor’s level, 91.2% at Master’s level and 95.1% at doctorate higher than the average (3.4%). The Management, Technology level (see fig. 10 and p.89 for the definition of the term “edu- and Economics subject area also saw a 6.5% rise in the number of cated abroad or in Switzerland”). students. Civil and Geomatic Engineering and Architecture were In 2016, 5,531 new students enrolled in a Bachelor’s degree the only subject areas that saw a very slight fall in their enrolment course at one of the two Federal Institutes of Technology (see fig. 11), rates (–0.8% and –1% resp.). It should be noted that the number which is a 4.6% increase compared to the previous year. The of students and doctoral students enrolled in these subject areas Information and Communication Technology, Life Sciences, Exact in 2016 (2,860 in Civil and Geomatic Engineering, and 3,030 in Sciences and Natural Sciences subject areas saw the highest Architecture) is comparable to the average for the last five years increases in enrolment at 13.9%, 11.9% and 10.7% resp., com- (2,906 in Civil and Geomatic Engineering, and 3,100 in Architec- pared to 2015. This situation can be explained partly by the overall ture). In Engineering, the increase in the number of students and increase in numbers in these fields of study in 2016 (see fig. 7). For doctoral students in 2016 was significantly lower at 2.1% than in all other subject areas, the number of enrolments was almost the previous years (2015: 5.3%). unchanged compared to the previous year. In the year under review, the highest increases were seen at In 2016, the supervision ratio further declined compared to Master’s level at 6.6% (compared to 4.4% in 2015) and at Bachelor’s previous years to a total of 37.9 students and doctoral students per level at 3% (compared to 2.5% in 2015; see fig. 7). By contrast, the professor (2015: 37.4; 2014: 36.8; 2013: 36.5), mainly affecting number of doctoral students remained relatively stable compared Bachelor’s degree and Master’s degree students (supervision ratio to 2015 (+0.5%). Likewise, the number of students enrolled in of 29.2 in 2016 compared to 28.6 in 2015; see fig. 12). The number MAS/MBA programmes remained relatively stable compared to of students per professor is increasing year-on-year, mainly 2015 (–1%). Over the past 10 years (2007–2016), student numbers because the number of professors has not risen in the same way at ETH Zurich and EPFL have risen by 53% and 72.6% resp. The as the number of students. However, the supervision ratio for number of doctoral students has gone up by 38.3% at ETH Zurich doctoral students has remained stable (7.7 in 2016). and by 44.3% at EPFL.

88 KEY FIGURES

A significant part of the supervision of students and doctoral Knowledge and technology transfer (KTT) students is also carried out by scientists with supervisory duties With its large number of patents, licences and spin-offs, the (senior scientists and teaching and research fellows) and other ETH Domain makes a significant contribution to a more efficient scientists belonging to senior management and working at the transfer of knowledge and technology, and so also to an innova- two Federal Institutes of Technology and the four research insti- tive Switzerland. In fact, students and doctoral students who do tutes. When these categories of staff are taken into account, the their research work with an industrial partner or in a business also “extended” supervision ratio is much lower than the per professor lend support to this successful exchange between the ETH Domain supervision ratio, but it too has risen overall and is at 25.7 Bache- and Industry. Furthermore, the Swiss economy and society ulti- lor’s and Master’s degree students per staff member (see p.89 for mately benefit from the expertise of these graduates who work in the definition of the term “extended” supervision ratio). private industry or in the administration. The research institutes of the ETH Domain are strongly committed In 2016, the institutions of the ETH Domain submitted 230 pat- to teaching, not only at the both Federal Institutes of Technology, ent applications and entered into 353 licensing agreements but also at other universities and universities of applied sciences in (see fig. 15). The patents are all “priority applications”. The licences Switzerland (and to a lesser extent abroad). In 2016, they provided also include licensing agreements for extensive software pack- a total of 18,023 instruction hours in a wide variety of subjects, ages. The figures from the institutions fluctuate significantly over which represents an increase compared to 2015 (17,378, see fig. 14). the years, which can be explained by the periodic issuance of new Moreover, the research institutes provide a wide range of research licences. topics, mostly in the field of applied research, which attracted With 50 spin-offs emerging from the ETH Domain, the ETH Domain 575 students in 2016 for their Bachelor’s and Master’s dissertations. achieved a record. The fact that during their initial phase, spin- The research institutes were also chosen by 783 doctoral students offs can use the different services offered by the institutions of the for the completion of their theses. Overall, the number of students ETH Domain and their technology centres plays an important role and doctoral students supervised by the four research institutes has in their success. remained relatively stable in recent years.

Reporting methods: how the figures are counted

Unless otherwise indicated, the term “students” always refers to study) and Swiss-educated foreign nationals (resident in Switzer- both Bachelor’s and Master’s students, as well as students on con- land while obtaining the qualifications necessary to access the tinuing education programmes at Master’s level (MAS or MBA). Doc- relevant level of study). toral students, however, are defined as a separate category for the In this academic achievement report, which includes the purposes of this report. Wherever students and doctoral students monitoring table on p.86 f all professors at both Federal Insti- are referred to collectively, this is indicated in the text and graphics. tutes of Technology who are directly or indirectly involved in the This method of presenting student categories differs from the teaching and supervision of students and doctoral students are approach adopted by the Swiss University Information System (SHIS), counted according to their effective employment (in full-time where doctoral students are included in the “student” category. equivalents), including members of the Executive Boards at pro- In cases of simultaneous enrolment on several programmes or fessorial level as well as dual professorships. However, profes- levels of study, the prioritised programme or level is counted. sors who have an employment contract with ETH Zurich or EPFL Sports instructors training at ETH Zurich up until 2008 and stu- are included in the personnel reporting according to their defined dents on the introductory mathematics course (CMS students) at tasks (see p.100 ff). Therefore, differences can arise between the EPFL are not counted here. Students taking the joint Master’s two institutions (dual professorships). In order to calculate the course in nuclear engineering offered by the two Federal Institutes supervision ratio, full professors, associate professors and all of Technology are counted at both institutions. assistant professors – including professorships sponsored by the All student and doctoral student numbers and the indicators SNSF – are therefore taken into account. The scientists with derived from them are based on headcounts. supervisory duties (senior scientists, maîtres d’enseignement et de Foreign students and doctoral students are counted as follows: recherche or titular professors) and scientists belonging to senior foreign nationals educated abroad (resident abroad while obtain- management (permanent contracts, functional levels 10 to 13) are ing the qualifications necessary to access the relevant level of counted in the “extended” supervision ratio.

Annual Report 2016 on the ETH Domain 89 KEY FIGURES | Academic achievement report

Fig. 7: Students and doctoral students by discipline ∆ 2015/2016

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 in % Architecture 2,388 2,553 2,743 2,994 3,098 3,177 3,097 3,066 3,060 3,030 –30 –1.0 ETH Zurich 1,502 1,598 1,697 1,848 1,900 1,950 1,852 1,783 1,805 1,771 –34 –1.9 EPFL 886 955 1,046 1,146 1,198 1,227 1,245 1,283 1,255 1,259 4 0.3 Civil and Geomatic Engineering 1,746 1,980 2,170 2,405 2,727 2,900 3,074 2,946 2,882 2,860 –22 –0.8 ETH Zurich 981 1,141 1,278 1,434 1,576 1,629 1,740 1,731 1,716 1,701 –15 –0.9 EPFL 765 839 892 971 1,151 1,271 1,334 1,215 1,166 1,159 –7 –0.6 Engineering Sciences 4,732 5,081 5,597 5,985 6,391 6,816 7,245 7,502 7,903 8,069 166 2.1 ETH Zurich 3,033 3,301 3,677 3,901 4,167 4,341 4,549 4,729 4,930 4,993 63 1.3 EPFL 1,699 1,780 1,920 2,084 2,224 2,475 2,696 2,773 2,973 3,076 103 3.5 Information and Communications Technology 1,939 1,906 1,929 2,070 2,253 2,367 2,536 2,665 2,809 3,033 224 8.0 ETH Zurich 977 981 997 1,029 1,082 1,083 1,158 1,247 1,405 1,536 131 9.3 EPFL 962 925 932 1,041 1,171 1,284 1,378 1,418 1,404 1,497 93 6.6 Exact and Natural Sciences 3,373 3,671 3,942 4,155 4,476 4,780 4,883 4,944 5,145 5,442 297 5.8 ETH Zurich 2,083 2,271 2,470 2,606 2,790 2,903 2,972 3,024 3,157 3,352 195 6.2 EPFL 1,290 1,400 1,472 1,549 1,686 1,877 1,911 1,920 1,988 2,090 102 5.1 Life Sciences 2,678 2,858 3,034 3,176 3,314 3,708 3,879 3,990 4,051 4,216 165 4.1 ETH Zurich 2,128 2,255 2,391 2,472 2,551 2,823 2,923 3,012 3,044 3,162 118 3.9 EPFL 550 603 643 704 763 885 956 978 1,007 1,054 47 4.7 System-oriented Natural Sciences 1,927 2,030 2,104 2,205 2,261 2,201 2,159 2,211 2,284 2,411 127 5.6 ETH Zurich 1,927 2,030 2,104 2,205 2,261 2,201 2,159 2,211 2,284 2,411 127 5.6 Management, Technology and Economics 626 778 819 859 833 870 897 913 913 972 59 6.5 ETH Zurich 433 534 562 592 584 583 549 579 582 571 –11 –1.9 EPFL 193 244 257 267 249 287 348 334 331 401 70 21.1 Humanities, Social and Political Sciences 169 199 202 255 276 268 276 300 310 318 8 2.6 ETH Zurich 169 199 202 255 276 268 276 300 310 318 8 2.6 Total number of students and doctoral students 19,578 21,056 22,540 24,104 25,629 27,087 28,046 28,537 29,357 30,351 994 3.4 ETH Zurich 13,233 14,310 15,378 16,342 17,187 17,781 18,178 18,616 19,233 19,815 582 3.0 EPFL 6,345 6,746 7,162 7,762 8,442 9,306 9,868 9,921 10,124 10,536 412 4.1 of which women 5,520 6,131 6,627 7,149 7,585 7,973 8,238 8,414 8,677 9,091 414 4.8 ETH Zurich 3,930 4,345 4,707 5,050 5,292 5,445 5,560 5,701 5,873 6,164 291 5.0 EPFL 1,590 1,786 1,920 2,099 2,293 2,528 2,678 2,713 2,804 2,927 123 4.4 of which foreigners (all) 6,204 7,453 8,396 9,488 10,456 11,437 12,152 12,354 12,804 13,615 811 6.3 ETH Zurich 3,519 4,438 5,113 5,698 6,205 6,559 6,751 6,949 7,226 7,563 337 4.7 EPFL 2,685 3,015 3,283 3,790 4,251 4,878 5,401 5,405 5,578 6,052 474 8.5

Number (Headcount) of students and doctoral students at ETH Zurich and EPFL combined in nine subject areas. For a description of the counting method, see box on p.89.

Fig. 8: Percentage of women among students and doctoral students at ETH Zurich and EPFL

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 % in Bachelor’s programme 28.2 28.8 28.9 28.9 29.4 29.2 28.6 28.7 29.2 30.0 % in Master’s programme 26.8 28.0 29.0 29.2 29.2 28.7 29.4 29.5 28.6 28.5 % in MAS/MBA 31.3 34.2 34.8 37.0 37.1 36.7 34.6 35.0 38.6 37.9 % in doctoral programme 27.3 28.6 29.3 30.4 29.4 29.8 30.4 30.6 30.6 31.0

Development of the proportion of women at the various study levels. For a description of the counting method, see box on p.89.

90 KEY FIGURES

Fig. 9: Students and doctoral students according to study level ∆ 2015/2016

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 in % Bachelor’s programme 9,416 10,138 10,970 11,716 12,600 13,359 13,995 13,944 14,292 14,727 435 3.0 ETH Zurich 6,332 6,896 7,344 7,757 8,236 8,468 8,817 8,820 9,087 9,309 222 2.4 EPFL 3,084 3,242 3,626 3,959 4,364 4,891 5,178 5,124 5,205 5,418 213 4.1 Master’s programmes 3,909 4,649 5,326 5,997 6,568 6,981 7,241 7,781 8,126 8,662 536 6.6 ETH Zurich 2,302 3,028 3,749 4,281 4,607 4,755 4,811 5,187 5,480 5,861 381 7.0 EPFL 1,607 1,621 1,577 1,716 1,961 2,226 2,430 2,594 2,646 2,801 155 5.9 Diploma programme 1,316 751 395 191 0 0 0 0 0 0 ETH Zurich 1,316 751 395 191 0 0 0 0 0 0 EPFL 0 0 0 0 0 0 0 0 0 0 MAS/MBA 565 695 676 792 801 911 863 805 836 828 –8 –1.0 ETH Zurich 383 436 502 606 659 763 661 634 640 635 –5 –0.8 EPFL 182 259 174 186 142 148 202 171 196 193 –3 –1.5 Total number of students 15,206 16,233 17,367 18,696 19,969 21,251 22,099 22,530 23,254 24,217 963 4.1 ETH Zurich 10,333 11,111 11,990 12,835 13,502 13,986 14,289 14,641 15,207 15,805 598 3.9 EPFL 4,873 5,122 5,377 5,861 6,467 7,265 7,810 7,889 8,047 8,412 365 4.5 Doctoral programme 4,372 4,823 5,173 5,408 5,660 5,836 5,947 6,007 6,103 6,134 31 0.5 ETH Zurich 2,900 3,199 3,388 3,507 3,685 3,795 3,889 3,975 4,026 4,010 –16 –0.4 EPFL 1,472 1,624 1,785 1,901 1,975 2,041 2,058 2,032 2,077 2,124 47 2.3 Total number of students and doctoral students 19,578 21,056 22,540 24,104 25,629 27,087 28,046 28,537 29,357 30,351 994 3.4 ETH Zurich 13,233 14,310 15,378 16,342 17,187 17,781 18,178 18,616 19,233 19,815 582 3.0 EPFL 6,345 6,746 7,162 7,762 8,442 9,306 9,868 9,921 10,124 10,536 412 4.1

Number (Headcount) of students and doctoral students according to study level. For a description of the counting method, see box on p.89.

Fig. 10: Percentage of foreign students and doctoral students at ETH Zurich and EPFL

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016

80%

70%

60%

50%

40%

30%

20%

10%

Proportion of foreign students in total, plus foreign-educated foreign nationals as a percentage of the total number of students at the two Federal Institutes of Technology. For a description of the counting method, see box on p.89.

% in doctoral programmes: % in Master’s programmes: % in Bachelor’s programmes: total number of foreigners total number of foreigners total number of foreigners foreign-educated foreign nationals foreign-educated foreign nationals foreign-educated foreign nationals

Annual Report 2016 on the ETH Domain 91 KEY FIGURES | Academic achievement report

Fig. 11: New admissions to Bachelor’s courses at ETH Zurich and EPFL ∆ 2015/2016

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 in % Architecture 534 629 689 671 646 599 604 564 573 569 –4 –0.7 Civil and Geomatic Engineering 379 459 513 556 638 620 613 486 493 488 –5 –1.0 Engineering Sciences 847 1,056 1,201 1,183 1,240 1,354 1,429 1,393 1,550 1,518 –32 –2.1 Information and Communications Technology 278 325 396 425 448 465 547 595 596 679 83 13.9 Exact and Natural Sciences 647 787 810 832 954 986 969 952 1,001 1,108 107 10.7 Life Sciences 438 486 523 529 578 700 744 721 695 778 83 11.9 System-oriented Natural Sciences 260 287 276 318 321 336 335 316 366 372 6 1.6 Management, Technology and Economics – – – – – – – – – – – – Humanities, Social and Political Sciences 17 23 18 13 13 12 14 14 16 19 Total 3,400 4,052 4,426 4,527 4,838 5,072 5,255 5,041 5,290 5,531 241 4.6

New admissions to Bachelor’s courses at the two Federal Institutes of Technology according to subject area. There is no Bachelor’s course in Management, Technology, Economics; in Humanities, Social and Political Sciences, there is only one Bachelor’s course (for career military officers) and student numbers are low, so no statistically relevant statement can be made regarding the trend of new admissions. For a description of the counting method, see box on p.89.

Fig. 12: Supervision ratios at ETH Zurich and EPFL

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Supervision ratio 32.1 34.0 34.7 35.1 35.8 36.4 36.5 36.8 37.4 37.9 in Bachelor’s/Master’s programme 24.0 25.1 25.7 26.1 26.8 27.3 27.7 28.0 28.6 29.2 in doctoral programme 7.2 7.8 8.0 7.9 7.9 7.8 7.7 7.8 7.8 7.7 Extended supervision ratio 20.4 21.9 22.4 22.9 23.7 24.5 24.7 24.7 25.3 25.7 in Bachelor’s/Master’s programme 15.3 16.1 16.6 17.0 17.8 18.4 18.7 18.8 19.3 19.8 in doctoral programme 4.6 5.0 5.1 5.1 5.2 5.3 5.2 5.2 5.3 5.2

Supervision ratios at the two Federal Institutes of Technology. The ratio is based on the total number of students overall (i.e. including Master’s of Advanced Studies/Master’s of Business Administration students) or the total number of students on a Bachelor’s/Master’s course or studying for a doctorate. For information on the categories of professor and other persons involved in teaching who are included in the calculation of the supervision ratio (“extended supervision ratio”), see box on p.89.

Fig. 13: Degrees awarded according to study level ∆ 2015/2016

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 in % Bachelor’s degree 1,452 1,656 1,835 1,900 1,988 2,216 2,249 2,538 2,528 2,500 –28 –1.1 ETH Zurich 838 1,086 1,203 1,283 1,304 1,447 1,447 1,579 1,564 1,571 7 0.4 EPFL 614 570 632 617 684 769 802 959 964 929 –35 –3.6 Master’s degree/Diploma 1,949 1,978 1,988 1,898 2,159 2,320 2,663 2,711 2,821 2,989 168 6.0 ETH Zurich 1,309 1,306 1,317 1,270 1,506 1,650 1,847 1,839 1,879 2,015 136 7.2 EPFL 640 672 671 628 653 670 816 872 942 974 32 3.4 MAS/MBA 471 336 400 283 301 256 346 260 254 303 49 19.3 ETH Zurich 213 213 239 174 203 184 228 205 175 203 28 16.0 EPFL 258 123 161 109 98 72 118 55 79 100 21 26.6 Doctorate 852 832 962 986 1,027 1,095 993* 1,197* 1,109 1,256 147 13.3 ETH Zurich 572 566 651 650 696 747 579 769 718 851 133 18.5 EPFL 280 266 311 336 331 348 414 428 391 405 14 3.6

* In the context of the revision of ETH Zurich’s doctoral regulations, the last doctoral graduation deadline of 2013 was postponed from December 2013 to January 2014. This explains the pronounced increase in doctoral students in 2014 to 1,197; without this change, 1,022 doctoral students would have graduated.

92 KEY FIGURES

Fig. 14: Teaching provided by research institutes

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016

1,000 18,000

900 16,000

800 14,000 700 12,000 600 10,000 500 8,000 400 6,000 300

200 4,000

100 2,000

0 0

Teaching activities of the research institutes of the ETH Domain. Left axis: number of supervised Bachelor’s, Master’s, Diploma and doctoral theses; right axis: number of teaching hours per year.

Teaching hours per year Supervised doctoral theses Supervised Bachelor’s/Master’s/Diploma theses

Fig. 15: Knowledge and technology transfer in the ETH Domain

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Patents 142 125 155 128 147 195 193 211 219 230 ETH Zurich 79 64 78 63 72 87 103 82 98 109 EPFL 36 40 44 47 52 75 66 99 88 100 Research institutes 27 21 33 18 23 33 24 30 33 21 Licences 218 178 176 178 194 230 223 270 311 353 ETH Zurich 42 48 37 39 45 35 38 35 50 78 EPFL 64 29 47 45 50 31 41 46 48 58 Research institutes 112 101 92 94 99 164 144 189 213 217 Spin-offs 33 46 45 38 40 38 43 49 48 50 ETH Zurich 21 23 24 20 22 22 24 22 25 25 EPFL 12 18 20 14 15 12 12 24 18 20 Research institutes 0 5 1 4 3 4 7 3 5 5

Knowledge and technology transfer activities of the institutions of the ETH Domain using the indicators of patents (priority applications only) and licences (including technology transfer agreements) as well as newly founded companies (spin-offs).

Annual Report 2016 on the ETH Domain 93 KEY FIGURES | Academic achievement report | Rankings and benchmarking

Outstanding international standing The international rankings of universities reveal the outstanding achievements of ETH Zurich and EPFL. ETH Zurich has confirmed its standing among the top 10 universities in the world according to the THE and QS Rankings. EPFL is ranked highest among the universities founded in the past 50 years (THE “150 Under 50”). Compared to its international rivals, the research infrastructure of the ETH Domain has proved to be a factor in its success. The quality of the research work and publications facilitated by it reaffirms the key part that research infrastructure plays in its excellent standing.

The institutions of the ETH Domain continually monitor the qual- Selected benchmarking ity and further development of the teaching, research, knowl- This report gives selected examples to illustrate the current inter- edge and technology transfer, research infrastructures, and man- national positioning of the institutions of the ETH Domain in a agement. For this, each institution compares its selected specific area. Although they may only represent an extract of the concepts, methodology, tools and processes in these areas with activities, these examples are presented in detail because of their those of other institutions. This process of benchmarking is an topicality and the availability of the data. ETH Zurich and EPFL’s important aspect of quality management in the ETH Domain. current positions in the international university rankings are Efforts are made here to ensure that benchmarking is appropri- shown, along with the progression of their standings over a cer- ately selective, that the parameters used are carefully selected tain period of time. The research institutes demonstrate their and are relevant to the institutions being compared, and that the international standing on the basis of performance, availability results are interpreted within the right context. and use of research infrastructure, as well as based on the publication activity in certain research areas. Benchmarking activities Fig. 16 shows the analysis activities of the institutions of the ETH Domain which can be used for benchmarking. The activities mutually complement each other, and mainly serve the purposes of organisational and strategic development and, in certain cases, the monitoring of performance. The activities that the institutions carry out for organisational and strategic development (e.g. evaluations and audits) call for an honest appraisal by the institution and the ETH Domain of their own strong and weak points, and require a confidential framework to ensure objectivity and provide genuine benefit. The qualitative findings aid the further development of the scientific excellence of the institutions. The activities conducted to monitor performance compare institutions or entities based on certain indicators or key performance data. They are often produced by companies and use key performance data that is in the public domain. The institutions have limited influence here on the choice and weighting, and hence on the relevance, of the indicators. For example, the international university rankings.

94 KEY FIGURES

Fig. 16: Benchmarking activities in the ETH Domain

Evaluations by external experts (peer reviews) Appointment and advancement processes for ——ETH Zurich departments professors based on international job advertisements and ——EPFL faculties recommendations ——Research and administrative units of the two Federal Institutes of Technology Research infrastructure ——Research institutes (or their units) Availability, use and performance of research infrastructure ——ETH Domain (intermediate evaluation by the Federal Council/SERI) → see benchmarking activities of the PSI, WSL and Eawag, p.98 f.

Audits and accreditation Acquisition of competitive research funding ——Internal audits (as part of “horizontal audits”) at national and international level (for instance, SNSF, CTI, ——External audits (e.g. by the Swiss Federal Audit Office) EU research framework programmes) ——Institutional accreditation of the two Federal Institutes of Technology Publications and citations under the Federal Act on the Funding and Coordination of the Higher ——Bibliometric analyses → see benchmarking activity of Empa, p.99. Education Sector (HEdA). ——Comparisons of selected bibliometric indicators ——Accreditation of Master’s degree programmes at EPFL by the French Commission des Titres d’Ingénieur (CTI) International university rankings Worldwide, regional and by subject areas → see university rankings Benchmarking in teaching of ETH Zurich and EPFL p.96 f. ——Curriculum development, programme administration in collaboration with leading international universities (IDEA League, IARU, EuroTech Universities)

Surveys of ——graduates on completion of the course (internally and by the Federal Statistical Office, SFO) ——staff on their satisfaction with working conditions

Rankings observed worldwide

The universities are assessed and ranked by businesses and the institutions assessed. The publication activity is judged on institutions using various methods. THE (Times Higher Education the basis of the number of publications in a select group of the World University Rankings) uses 13 performance indicators for most respected journals, and the ratio between the number of teaching (30% weighting), research (30%), citations (30%), publications and the number of researchers at the institution. international outlook (7.5%) and funding by industry (2.5%). Leiden (CWTS Leiden Ranking) is based solely on the publication QS (QS World University Rankings) focuses mainly on reputation activity of the universities, using this to calculate the indicators (with a 40% weighting on academic reputation and 10% on rep- to assess research performance. One commonly used indicator for utation of graduates among employers), followed by the staff- ranking the universities in the Leiden ranking is the proportion of student ratio (20%), citations (20%) and internationality (10%). publications each university has among the top 10% of the most- ARWU (Academic Ranking of World Universities of Shanghai Jiao cited publications in the relevant discipline (PP(top 10%)). The Tong University) makes use of performance indicators based rankings shown for the two Federal Institutes of Technology on prestigious awards received (Nobel Prize, Fields Medal) by shown (see fig. 17) are based on this indicator. alumni, teaching staff and the frequently cited researchers from

Annual Report 2016 on the ETH Domain 95 KEY FIGURES | Academic achievement report | Rankings and benchmarking

Fig. 17: Rankings of ETH Zurich (blue) and EPFL (green) according to the THE, QS, ARWU and Leiden Rankings for 2016

THE QS ARWU Leiden Rank World Europe SCI ENG COMP LIFE World Europe World SCI ENG LIFE World Europe 1 1 2 4 4 4 6 9 9 8 9 8 8 9 11 11 11 12 14 14 16 19 21 23 27 30 31 35 35

≥51 92

Fig. 18: Rankings of ETH Zurich (blue) and EPFL (green) according to the THE and QS World Rankings from 2008 to 2016

Rank 2008 2009 2010 2011 2012 2013 2014 2015 2016 1

8 9 9 9 11 12 12 12 13 14 13 14 14 15 15 18 18 17 20 19 21 24

29 30 31 32 31 35 34 37 40 41 42 46 48 50 51

THE: Times Higher Education World University Rankings 2016–2017 from TES Global Limited, London ETH Zurich SCI = Physical Sciences, ENG = Engineering & technology, COMP = Computer Science, LIFE = Life sciences EPFL QS: QS World University Rankings 2016–2017 from Quacquarelli Symonds Limited, London ARWU: Academic Ranking of World Universities 2016 from ShanghaiRanking Consultancy SCI = Natural Sciences and Mathematics, ENG = Engineering/Technology and Computer Sciences, LIFE = Life and Agriculture Sciences Leiden: Leiden Ranking 2016 from the Centre for Science and Technology Studies (CWTS) at the University of Leiden, Netherlands; indicator used: PP(top 10%), see box on p.95

96 KEY FIGURES

University rankings: The two universities managed to increase their positions in ETH Zurich and EPFL boost their international standing the ARWU World Ranking, and ETH Zurich is ranked 19th in 2016 The companies and institutions which are responsible for the (2015: 20th), and EPFL is ranked 92nd (2015: 103rd). ETH Zurich is international rankings of universities assess them on the basis of now ranked in 9th place in Natural Sciences and Mathematics data on teaching, research, publishing activity, international net- (2015: 8th), 27th in Engineering/Technology and Computer Sciences working and funding. This is done with data in the public domain (2015: 36th), and 48th in Life and Agriculture Science (2015: 46th). and, in some cases, with data which is specially collected. The In the first two areas, EPFL rose from 47th place (2015) to 35th and rankings vary depending on the key performance indicators used from 14th place to 11th; however, EPFL is no longer ranked among and their weighting, each with a specific focus. This is used as a the top 200 universities for Life and Agriculture Science in 2016 basis for ranking the universities worldwide, in certain regions or (2015: 161st). specific disciplines. The definitions of the disciplines vary here In the Leiden Ranking, which is based solely on the publication considerably, and comparisons can only be made within narrow activity of the universities, the positions of both Federal Institutes limits. The selection and weighting of the key performance indi- of Technology also improved in the global comparison: ETH Zurich cators for four selected rankings of worldwide repute are briefly is ranked 23rd (2015: 25th), and EPFL is in 12th place (2015: 15th). In described (see box, p.95). The current positions of the two Federal the European comparison, EPFL remained unchanged this year Institutes of Technology in these rankings is shown in fig. 17. in 2nd place behind the London School of Hygiene and Tropical In the THE World Ranking, ETH Zurich moved up to the top 10 Medicine, a renowned institution that specialises in public health. universities in the world for the first time in 2015 and has main- ETH Zurich is now ranked in 4th place (2015: 5th) after the Univer- tained this outstanding ranking in 2016. EPFL improved its posi- sity of Oxford. tion in 2016 to 30th (2015: 31st). In a comparison of European uni- University rankings are an easy way of obtaining an initial versities (THE Europe), ETH Zurich stayed in 4th place in 2016, the impression of how a university compares internationally. Prospec- same as the previous year; positions 1 to 3 were occupied by tive stakeholders use this method, but one should still bear in British universities. EPFL also now stands among Europe’s top 10 mind that they are of limited value as an indicator, and the results universities, ranked in 9th place (2015: 11th). should be interpreted with caution. The methodology and key In the THE Rankings of universities which were founded in the performance indicators used are subject to variation and limit the past 50 years (THE “150 Under 50”), EPFL was ranked in 1st place in comparability of the data over time. These aspects should be 2016 (not shown), unchanged from the previous year. A specific factored into the development of the rankings of the two Federal subject area of Computer Science was introduced in 2016, which Institutes of Technology in the global THE and QS Rankings (see had previously come under Engineering & Technology. Both fig. 18). In the period shown, i.e. 2008 and 2010 to 2016, both Federal Institutes of Technology are ranked high in this area: Federal Institutes of Technology improved their rankings signifi- ETH Zurich is ranked in 1st place, and EPFL is 8th. In the other disci- cantly. This plays an important part in the worldwide competition plines, the two Federal Institutes of Technology only had marginal for researchers, students and doctoral students. changes in ranking compared to the previous year. ETH Zurich also moved into the top 10 for the first time in the QS World Ranking in 2015 (9th place) and came 8th in 2016. EPFL is ranked 14th, just as it was in the previous year. ETH Zurich is now ranked in 4th place among European universities (5th in 2015), and EPFL is ranked 6th, just as it was in the previous year. The two Federal Institutes of Technology are only lagging behind British universities. The 2016 rankings by disciplines are not published until a later date and could not be mapped at the time the report was compiled.

Annual Report 2016 on the ETH Domain 97 KEY FIGURES | Academic achievement report | Rankings and benchmarking

PSI’s large-scale research installations hold their own among WSL – Plant protection laboratory facilitates a leading role their international rivals internationally in research into organisms harmful to plants The PSI provides the national and international science commu- The increasing movements of people and goods right around the nity with access to its large-scale research installations and is world create favourable conditions for organisms to be carried consistently developing them further in order to assert its claim to into new ecosystems. As a result, invasive pests can come into being an international leader among comparable facilities. In contact with unadapted host plants and, additionally favoured by addition to the statistical KPIs from direct user operations (for climate change, can threaten them with unforeseeable ecological instance, requests for beam time, user visits to the different and economic consequences. Appropriate infrastructure is beamlines), the analysis of the bibliometric data of different required for the reliable and legally compliant research of the installations provides an important indication of the importance impact of pests on plants. The research community and the of the experiments performed. authorities identified this problem early on and responded to it Referring to the figures published for the Diamond Light Source accordingly. (Oxfordshire, United Kingdom) in spring 2016 1, a comparison can The WSL compared the infrastructural measures taken by it and be made with the Swiss Light Source (SLS). The cumulative number other research institutions at home and abroad to meet the chal- of publications for the period from 2007 (commencement of user lenges of researching pests which are carried around the world. operations for the first Diamond beamlines) to 2015 were selected They discovered that a large number of institutions across Europe as a reference variable. To allow for the different number of have secure laboratories at their disposal for conducting research beamlines in both installations (and which is still rising in the into pests. The possibility of conducting tests in quarantine case of Diamond), the publishing statistics have been standard- greenhouses was identified as an element that those infrastruc- ised depending on the number of beamlines in operation in the tures lack. The WSL took action here and, together with the Federal year in question. Office for Agriculture (FOAG) and the Federal Office for the Environ- Fig. 19 shows a direct comparison of the two installations and ment (FOEN), created a secure laboratory with an integrated documents the good standing of SLS, particularly considering the greenhouse in order to conduct comprehensive testing with the fact that the Diamond Light Source is one of the world’s largest, most high-risk group of pests. The plant protection laboratory, most powerful and newer synchrotron light sources, which is used which boasts a unique combination of facilities, was inaugurated every year by approximately by 3,500 researchers for their experi- in autumn 2014 and commenced research operations in 2015 after ments (SLS is used by some 1,700). extensive acceptance testing. Creating the plant protection laboratory has given the WSL an edge over its international rivals in research into organisms which are harmful to plants. This is reflected in the fact that the plant protection laboratory is used to capacity, as well as in the rising number of research groups at home and abroad who are seeking to cooperate with the WSL in Fig. 19: Number of publications (cumulative) per beamline this area. at the SLS and Diamond Light Source

Examples of current research in the plant protection 300 laboratory 250 Thanks to the plant protection laboratory, a conservation breeding

200 programme could be established for the Asian longhorned beetle which was brought to Switzerland from China in 2011 in an effort 150 to research prevention and control measures (www.wsl.ch/info/ 100 fokus/invasive_arten/fotos_alb_DE). The risk potential posed by phytopathogens, which are likely to 50 be carried to Switzerland, is assessed. Strategies are being devel- 0 oped on appropriate action to take to protect trees at home and 2007 2008 2009 2010 2011 2012 2013 2014 2015 abroad. The integrated greenhouse at the plant protection labo- Diamond Light Source, Swiss Light Source ratory is essential for this research (www.wsl.ch/fe/biodiversitaet/ Great Britain (SLS), PSI phytopathologie_DE). Enterohaemorrhagic Escherichia coli are strains of intestinal bacteria that can cause serious illness in people who eat contam- inated meat or vegetables, in some cases with fatal consequences. The ecology of the pathogen is being researched by an international team (www.wsl.ch/medien/news/ehec/index_DE).

1 Update from Diamond Light Source, Spring 2016, http://www.diamond.ac.uk/Home/Corporate-Literature/newsletter/Spring2016.html

98 KEY FIGURES

Strong standing of the Empa in various areas of research Eawag leading the way internationally with experimental The Empa researcher Bernd Nowack, who is conducting studies pond research into the distribution of nanoparticles in different ecosystems, The Eawag commenced operations at an enclosed facility on its among others, appeared on the Thomson Reuters lists of “Highly site in Dübendorf with 36 test ponds in June 2016. The “Aquati- Cited Researchers”, marking him out as an influential researcher kum” experimentation building went into full operation in the in the field of environmental sciences/ecology; this is the second same year. The two facilities complement the adjacent laboratory time he has been named on the list, having previously been rec- building, which was renovated in 2010. There are only a few insti- ognised in 2015. In a further analysis of publishing activity 2, a tutions with experimental ponds in the world. The Cornell Univer- publication by the Empa researcher Peter Wick was also named as sity in New York, for example, built 22 ponds for research purposes a review article with the third most frequent citation rate in at the end of the 1950s, and a further 69 ponds later on. What nanotoxicological research. makes the pond research at the Eawag so special is the new Within the scope of the interim evaluation of the ETH Domain, standard of quality resulting from the synergy effects between the which takes place every four years, the “Centre for Science and three neighbouring facilities which collaborate with one another. Technology Studies” (CWTS) is commissioned to conduct a biblio- The dynamic behaviour of aquatic ecosystems and the diversity of metric analysis of all six institutions of the ETH Domain. The anal- their organisms under the influence of changing conditions is one ysis for the 2015 interim evaluation was published in 2014, and it of the pivotal research questions posed in all three facilities. A covers publications from 2003 to 2012. In order to track the devel- cascade of scales has been created by the three facilities: research opment of the publications as contemporaneously as possible, on a very small scale in the laboratory building, on a medium the Empa commissioned the CWTS to carry out a bibliometric anal- scale in the experimental building in which studies are performed ysis two years later. This study, which was carried out in 2016, in mesocosms with a few m3 of water, and on a much greater scale entailed the analysis of publications from 2005 to 2014 and con- in the ponds which each have 15 m3 of water and which are firmed that the citations of articles captured by CWTS written by the exposed to natural weather conditions. Findings from the basic Empa researchers in most disciplines are frequently well above research conducted in the lab are generally not transferrable 1:1 to average. There has evidently been a sharp increase in citations in natural bodies of water. The advantages of the experimental facil- the fields of Environmental Sciences, Construction and Building ities is that they can be influenced and monitored because tests Technologies, as well as in Metallurgy and Metallurgical Engineering can be conducted repeatedly and under the same conditions. compared to the study from 2014. Consequently, these articles Pure field studies in natural rivers and lakes do not permit that, have now been cited between 2.4 and 2.8 times as frequently as and they are only permissible with substantial restrictions. The the global average. All CWTS recorded articles in these three disci- field research is supported by the new infrastructures which the plines together account for around 11% of all the articles pub- Eawag has created in the “Aquatikum”. The different research lev- lished at the Empa from 2005 to 2014. 92% of the entire body of els can be brought together with a high gain in knowledge. articles were cited more frequently than the global average in The Eawag’s leading position in pond-related research cannot their particular fields. be quantified yet as the range of topics is too broad. The more The international networking of Empa researchers is reflected long-term expectation is that the possibilities offered by the new in the rise in articles published in association with foreign research infrastructure will reflect itself in the output (among other things, partners (approximately 55% of all publications at the Empa in publications). Feedback from the research community confirms according to the CWTS study), as well as in participation in numer- the sense of appreciation that there are only a few research facil- ous European projects (7th FP, Horizon 2020, ERC, ESA, Eurostars, ities like that in the world, hardly any of which have the different Euramet, etc.). scales of assessment in such close proximity to one another. Other factors which have contributed towards the success of the Eawag are the excellent measuring and testing technology, as well as the broad mix of high-level interdisciplinary expertise, focusing on aquatic habitats and on water as a resource – water is researched as a system and is not limited to isolated aspects.

2 R. Neumann, Nano Writ Large, Publication Analysis 2009–2013: Toxicological Research, Laborjournal 11/2015.

Annual Report 2016 on the ETH Domain 99 KEY FIGURES | Personnel

Continuity in Human Resources The trends in personnel key figures have developed with stability over the years. The growth in Human Resources is experiencing further weakening.

On 31 December 2016, the headcount in the ETH Domain amounted to 21,054 employment contracts (ECs), or 18,255.9 full-time equivalents (FTEs) (2015: 20,899 ECs or 18,068.6 FTEs) (see fig. 20). Professorial categories The growth in personnel eased off markedly with an increase of 155 employment contracts (+0.7%) for the first time in years (2015: The various professorial categories differ with regard to status and 469; 2014: 553; 2013: 479). During the reporting year, 187.3 1 addi- employment conditions. Full and associate professors, as well as tional FTEs were created (2015: 449.7 FTEs). In previous years, the assistant professors with and without tenure track teach and annual growth fluctuated between 2% and 3%. undertake research at both Federal Institutes of Technology. Compared to 2015, only 34 or 21.9% of these additional employ- Tenure track means that assistant professors can become perma- ment contracts were scientists (2015: 197 or 42% respectively); nently employed as full or associate professors if they meet a 22 or 14.2% technical employees (2015: 154). The largest growth given performance target. Full and associate professors are was 75 (2015: 114) additional employment contracts among appointed permanently, while assistant professors sign employ- administrative personnel. The proportion of senior scientists, ment contracts for a maximum of four years. The latter can be maîtres d’enseignement et de recherche (MER) and senior scien- renewed for up to another four years. tific personnel with important permanent roles in teaching and research was 3.8% of the total staff (2015: 3.8%). From 1 March 2017, a new article in the ETH Professors’ Ordinance Scientific personnel accounted for 12,765 employment contracts came into force, which will extend the category of full professors or 60.6% (2015: 12,731 or 60.9% respectively; 2014: 12,534 or 61.4% and regulate the framework conditions for the appointment of respectively), including doctoral students who were still clearly affiliated professors. Affiliated professors will be appointed the largest function group in the ETH Domain (see fig. 20). The ETH directly and are primarily active in research rather than teaching. offered 464 (2015: 453) young people one of the popular appren- The embedding of the affiliated professors in the ETH Professors’ ticeships in basic vocational education. Ordinance will enable both Federal Institutes of Technology to Of the additional 176.6 (2015: 449.7) full-time equivalents cre- pursue more selective and intensive cooperation with research ated in 2016, 148.3 FTEs were funded through the federal financial institutions at home and abroad in future. On the basis of a contribution (first-party resources). This represents a share of 84% pre-existing institutional cooperation agreement, selected indi- (2015: 66.3%; 2014: 54.8%; 2013: 47.9%); the other 28.3 FTEs viduals from domestic and foreign research institutions may be or 16% were financed through third-party funds (2015: 33.7%; appointed as affiliated professors at one of the two Federal Insti- 2014: 45.2%) (see fig. 27). tutes of Technology.

Professors In 2016, a total of 669 full professors (F) and associate professors (A) (2015: 667), as well as 109 assistant professors with tenure track (2015: 96) and 51 assistant professors without tenure track In 2016, 435.5 FTEs of the 492 professorships (481.3 FTEs) at (2015: 53; see fig. 21) were employed at ETH Zurich and EPFL. ETH Zurich were financed by the total federal contribution, 22.5 FTEs The total number of female F and A professors rose by 2 to 77, with funding from the Federal Government (SNSF), 2.5 FTEs with EU which represents an increase of 0.3%. The proportion of women research programme funding, and 20.8 FTEs with third-party in the three categories (see box on right) grew from 13.7% to 13.9% research contributions, donations and bequests. Of the 337 pro- in 2016. Among the F and A professors, the proportion of women fessorships (324.1 FTEs) at EPFL, 307.9 FTEs were financed by the was 11.5% (2015: 11.2%; 2014: 10.5%), among assistant professors total federal contribution, 9.2 FTEs by SNSF, 1.2 FTEs by EU research with tenure track it was 22.0% (2015: 27.1%; 2014: 26.8%) and programmes, and 5.8 FTEs from donations and bequests. 27.5% among assistant professors without tenure (2015: 20.8%; In 2016, 67.6% of the total of 829 professors came from abroad 2014: 20.3%). (2015: 66.7%; 2014: 65.9%). Of these 54% (2015: 53.6%) came

1 The 187.3 full-time equivalents (FTEs) created in the reporting year also includes the 9.7 FTEs of the 10 newly created teaching posts. The Source of funds table exclude apprentices.

100 KEY FIGURES

from the EU area, and 13.6% from other countries (see fig. 22). 37.2% or 7,825 people are citizens of an EU country; 15.2% or 60% of the new staff appointed in all professorial categories are EU 3,202 people come from countries outside the EU, and 47.6% or citizens (2016: 66.1%; 2014: 55.6%) and 8.9% are from Switzerland 10,027 people have a Swiss passport. Internationality is most pro- (2015: 16.7%; 2014: 27.8%); 31.1% of the new arrivals (2015: 17.2%; nounced among the scientific personnel, of whom 68% are from 2014: 16.6%) come from other countries (see fig. 23). abroad, and among both female and male professors. As to the 91.1% of all the new professors were male (2015: 66.7%), 8.9% representation of linguistic communities, the proportion of those were female (2015: 33.3%). Fourteen full professors, twelve men with German as their native language decreased further to 49.3% and two women, retired from ETH Zurich in 2016. Nine full profes- in 2016 (2015: 50.2%), while the proportion with French as their sors, seven men and two women, retired from EPFL. native language dropped to 17.2% (2015: 18%) (see fig. 24). The segment of employees who identify as native English speakers fell Proportion of women again to 6.4%, while there was an increase among Italian speak- Since 2014, the ratio of women to men in the total workforce has ers (6.6%) and, more especially, among native speakers of other been about one third to two thirds (33.6% to 66.4%; see fig. 25). languages (20.5%). The proportions vary from institution to institution, depending on the subjects. The lowest proportions of women are at the PSI and Apprentices at Empa, the highest at Eawag. In 2016, the number of women The ETH Domain offered 464 apprentices an apprenticeship in employed in the ETH Domain increased by 65 (2015: 182) to a total more than 20 different professions. The focus of the courses of 7,078 at the end of the year (+0.91%; 2015: +2.7%). There was offered is on the scientific/technical professions. The most popular only a slight increase in the proportion of women of professor disciplines are chemistry lab technician, commercial assistant, IT status in the reporting year, although this will increase in 2017 due specialist, multi-skilled mechanic, physics lab technician, fol- to the nominations. lowed by biology lab assistant and electronics technician. As of the end of 2016, the number of apprenticeships for young people Heterogeneity – Origins of personnel had increased from 344 to the current figure of 464 since 2003 The high level of internationalisation in the ETH Domain is also (2015: 453). The proportion of women increased again and now reflected in the origins of employees. Foreign nationals accounted stands at 31.7% (2015: 30.2%). for 52.4% of all employees (2015: 52.2%, see fig. 26).

Fig. 20: Headcount and employment level by function group

Men Women ETH Domain

2016 EC FTE ø EL % EC FTE ø EL % EC FTE ø EL % Professors (F/A) 592 573.2 96.8 77 73.5 95.5 669 646.7 96.7 Assistant professors with tenure track 85 84.2 99.1 24 24 100.0 109 108.2 99.3 Assistant professors without tenure track 37 36.9 99.7 14 13.6 97.1 51 50.5 99.0 Scientific personnel 8,999 7,908.3 87.9 3,766 3,145.6 83.5 12,765 11,053.9 86.6 of whom senior scientific personnel 696 667.6 95.9 101 90 89.1 797 757.6 95.1 Technical personnel 2,879 2,709.8 94.1 847 645.3 76.2 3,726 3,355.1 90.0 Administrative personnel 1,067 931.7 87.3 2,203 1,646.1 74.7 3,270 2,577.8 78.8 Apprentices 317 316.7 99.9 147 147 100.0 464 463.7 99.9 Total 13,976 12,560.8 89.9 7,078 5,695.1 80.5 21,054 18,255.9 86.7

Headcount (employment contracts, EC) and employment level (EL) of men, women and the entire ETH Domain by function group. As of 2010, the senior scientists, maîtres d’enseignement et de recherche (MER) and other senior personnel are counted separately, but nevertheless are still included under scientific personnel. A total of 6,134 doctoral students are enrolled at the two Federal Institutes of Technology. Of these, all who are employed in the ETH Domain are included under scientific personnel.

Annual Report 2016 on the ETH Domain 101 KEY FIGURES | Personnel

Fig. 21: Development in the numbers of female and male professors

2015 2016 Change Men Women Total 2016 Men Women Total Men Women Total in % in % in % Professors (F/A) 592 75 667 592 77 669 0.0 2.7 0.3 Assistant professors with tenure track 70 26 96 85 24 109 21.4 –7.7 13.5 Assistant professors without tenure track 42 11 53 37 14 51 –11.9 27.3 –3.8 Total professors 704 112 816 714 115 829 1.4 2.7 1.6

Change in the number of professors according to: full and associate professors, assistant professors with tenure track and assistant professors without tenure track. The three last columns show the percentage change since the previous year.

Appeal as an employer tions in dialogue with the university assemblies of the two Federal Technically outstanding scientists, promising young talent and Institutes of Technology and the personnel committees of the exceptional administrative and technical staff are essential for research institutes, as well as with the unions. ensuring that the institutions of the ETH Domain can fulfil their Supporting scientists in their early career planning in an aca- legal mandate and achieve their strategic objectives. demic environment or in private industry is becoming increasingly The ETH Board and the institutions of the ETH Domain provide important. Various surveys of scientific staff at all institutions attractive working and employment conditions that are compet- show that the culture of transparency in regard to opportunities itive both nationally and internationally, and continue to develop for individual career development within and outside the institu- them. To this end, they adapt their employment conditions to tion, as well as the support by line managers and Human reflect social, economic and political developments, and design Resources Departments on all academic career levels, still have them in a socially responsible way tailored to the needs of uni- further potential. In particular, the supervision, challenge and versity and research operations. This was also confirmed in 2016 development of doctoral students also needs to be intensified; by a staff survey at ETH Zurich. A great majority said that they were this includes helping them to plan their scientific careers after very satisfied with their working conditions and felt a strong completing their theses. The career centres at ETH Zurich and EPFL affiliation to ETH Zurich. play a vital supporting role here. Support for flexible working models is given prominence in all institutions. This also includes the possibility of working at home Promoting equal opportunity and diversity (Home Office), jobs advertised for part-time work, including in In 2016, the institutions of the ETH Domain continued their pro- research, job-sharing, co-management and the working time grammes for promoting gender equality, with the aim of sustain- honour system. The keen interest in these approaches was ably increasing the proportion of women at all levels and espe- demonstrated by the high number of people who attended a cially in executive positions. They promote employment and workshop at Eawag on flexible working time models. The PSI working conditions that enable both men and women at all levels staged a panel discussion on the opportunities and challenges of and in all roles to combine a career and family life. They take these types of models and approved a guide on this topic. account of gender-specific differences in career planning, and In 2015, the ETH Board arranged for an external management support talented scientists returning to work after a career break. consultancy to conduct an audit of the New Salary System (NSS) In 2016, the ETH Domain reviewed the effectiveness of the meas- that had been introduced for the entire ETH Domain in 2006/2007. ures agreed upon to promote gender equality with what is known The evaluation report reached a mainly positive conclusion on the as gender monitoring. systematics of the NSS. In particular, there was no inequality of The various steps taken have proven to be effective: there was pay between men and women discovered in the salary structure both an absolute and a percentage increase in the number of in the ETH Domain. The external specialists did not feel that there women appointed to the post of professor in 2016 (see p.107). The was any need to act on the pay scale either. However, there is Gender Action Plan adopted by ETH Zurich showed that the gen- potential for development in the upgrading of the job profiles, as eral awareness campaign has been successful, and that numerous well as in the transparency and use of the system. Following the equality measures have been introduced. The institutions of the opinions of the institutions and of the personnel associations, the ETH Domain have also developed equal opportunity action plans ETH Board analysed the measures proposed by the consultants for the forthcoming period from 2017 to 2020. The ETH Board and the feedback thoroughly. It decided to develop the NSS fur- decided to continue to provide funding for the “Fix the leaky ther and, where necessary, to harmonise it, as well as to promote pipeline!” programme in the 2017–2020 ERI period. It has specific this process together with the personnel managers of the institu- measures to promote the career opportunities of women.

102 KEY FIGURES

The institutions of the ETH Domain consider the diverse view- in the International Dual Career Network (IDCN), which supports points and experiences of its employees from different cultures, the partners of members of staff of the ETH Domain in looking for languages, religions, age groups and social backgrounds to be an employment. advantage in international competition. Therefore, they create a work environment that fosters different mindsets and in which Supporting upcoming young scientists people from different cultures feel at ease. To maintain the high level of quality of teaching and research, the The institutions help foreign employees to integrate into soci- institutions of the ETH Domain identify, attract and promote ety and into Switzerland’s job market. Furthermore, the institu- upcoming young scientists on the basis of their academic perfor- tions offer advisory services for the partners of top-level talents mance and scientific potential. They support doctoral students from abroad, in order to assist them in their professional reorien- and post-docs in planning their careers, and offer improved tation and in becoming integrated in Switzerland (support for development opportunities and further education courses in dual careers). The institutions have stepped up their participation order to prepare them for a successful career in academia or in

Fig. 22: Origin of male and female professors

Switzerland EU Other

2016 Men Women Total Men Women Total Men Women Total Professors (F/A) 214 22 236 307 46 353 71 9 80 Assistant professors with tenure track 15 5 20 48 14 62 22 5 27 Assistant professors without tenure track 11 2 13 21 11 32 5 1 6 Total professors 240 29 269 376 71 447 98 15 113

Number of professors broken down by origin: Switzerland, the EU and other countries.

Fig. 23: Origin of newly recruited male and female professors

Switzerland EU Other

2016 Men Women Total Men Women Total Men Women Total Professors (F/A) 1 1 2 10 2 12 3 0 3 Assistant professors with tenure track 2 0 2 11 1 12 10 0 10 Assistant professors without tenure track 0 0 0 3 0 3 1 0 1 Total professors 3 1 4 24 3 27 14 0 14

Number of new professors in 2016 broken down by origin: Switzerland, the EU and other countries.

Fig. 24: Employees’ native languages

Other 20.5% (17.7%) German 49.3% (50.2%)

English 6.4% (8.1%)

Native languages of employees in Italian 6.6% (6.0%) the ETH Domain in 2016. Previous-year figures are shown in brackets.

French 17.2% (18.0%)

Annual Report 2016 on the ETH Domain 103 KEY FIGURES | Personnel

Fig. 25: Development in the proportions of women by institution

60%

50%

40%

30%

20%

2013 10% 2014 2015 0% 2016 ETH Zurich EPFL PSI WSL Empa Eawag ETH Board ETH Domain

Change in proportion of women by institution over the past four years (in relation to the number of employment contracts).

Fig. 26: Development in the proportions of foreign employees by function group

60%

50%

40%

30%

20%

2013 10% 2014 2015 0% 2016 Professors Scientific Technical Administrative Apprentices Total (all) personnel personnel personnel

Change in proportion of foreign employees in ETH Domain by function group (in relation to the number of employment contracts).

other professions in Switzerland or abroad. However, staff surveys term contribution to the continuity and assured quality of the have indicated there is still room for improvement in this regard. academic transfer of knowledge in teaching and research. They Support is given to upcoming young scientists on many differ- are often also responsible for the operation and further deve ent levels. The two Federal Institutes of Technology offer fixed- lopment of large-scale research installations and research plat- term assistant professorships with and without tenure track with forms. the aim of promoting young academics, identifying talent, and ultimately to increase the proportion of female professors. Young female talent ETH Zurich has created a new instrument: ETH Zurich Career Seed Special attention is given to fostering young female academic tal- Grants to promote young researchers at post-doc level. EPFL has ent. The “Fix the leaky pipeline!” programme initiative for pro- taken part in a pilot phase of the “REGARD” programme since 2016 moting the academic careers of women has received very positive as part of its mentoring and coaching offer for female managers. feedback and will remain firmly in place in all institutions. It is Another career path is via the open-ended scientific positions geared towards female doctoral students and researchers in post- of senior scientist or MER. These roles make a significant long- doc and similar positions.

104 KEY FIGURES

The institutions of the ETH Domain continue to use a variety of tract, or whether it would be possible to switch the employee in methods to inspire interest in natural sciences and engineering question to a permanent contract. As is generally the case at all among young people in particular. This includes summer camps, universities and state-run research institutions, scientific staff taking part in the Future Day and setting up labs for schoolchil- usually leave the institutions of the ETH Domain once their pro- dren, as well as the possibility of working on baccalaureate and ject-based fixed-term employment contracts have expired. diploma dissertations or completing student placements. Integration of people with disabilities into the workplace Fixed-term employment contracts The institutions of the ETH Domain, as socially responsible The majority of scientific staff are on fixed-term employment con- employers, have played an active role for years in the integration tracts. This particularly includes the doctoral staff and the post- and reintegration of people with physical or mental disabilities docs who are engaged in projects of a fixed length by their very which restrict their ability to work. This involves, for example, nature, irrespective of the sources of funding used to finance the working with the disability insurance offices and other specialist projects. The employment of staff on a fixed-term basis at all of organisations to provide internships to help prepare people for the institutions of the ETH Domain is subject to Article 17b of the reintegration into the workplace. Case management activities, ETH Act (SR 414.110). Open-ended appointments of scientists are which provide support for people with health problems, are only made for long-term permanent tasks in teaching and increasingly important. For years, the institutions of the ETH Domain research, in particular for senior scientists or MER. have therefore successfully sought to help employees who have The employment terms of the staff in technical or administra- been partly incapacitated by adapting the workplace to suit their tive functions are generally open-ended. Fixed-term employment needs, where possible. terms in those functions are limited to employees who work on projects financed by third-party funding, or to temporary jobs Outlook – 2017 objectives (ETH Act, Art. 17b, para. c). Personnel policy objectives and strategies that have an impact on In projects where there is uncertainty with regard to securing social norms and traditions can only be implemented over an long-term financing, both scientific staff and technical and admini extended period of time. This has been found to be the case in strative personnel are employed on a fixed-term basis. the past, and it will continue to apply in the coming years. The When the fixed-term employment contracts of administrative ETH Board and the institutions of the ETH Domain will continue to or technical employees expire, the case is reviewed by the employer consistently align their personnel policy in 2016 to respect, appre- to ascertain whether the conditions are met for renewing the con- ciation, dialogue and trust. They continually adapt the ETH Domain’s

Fig. 27: Source of funds by function group

Professors Scientific Technical Administrative Function group (all) personnel personnel personnel Total Source of funds Total federal contribution (internal resources) 2016 743.4 5,967.3 2,806.4 2,317.8 11,834.9 Federal financial contribution 2015 728.8 5,903.9 2,807.3 2,246.6 11,686.6 ∆ 2015/2016 14.6 63.4 –0.9 71.2 148.3 Third-party resources 2016 35.4 3,774.5 212.0 82.8 4,104.7 Research funding (SNSF, CTI, NCCR, SUC), government-funded research and 2015 32.9 3,781.8 230.8 95.6 4,141.1 EU research programmes ∆ 2015/2016 2.5 –7.3 –18.8 –12.8 –36.4 Industry-oriented research, 2016 26.6 1,310.5 338.4 177.1 1,852.6 donations/bequests 2015 27.4 1,290.2 299.3 171.0 1,787.9 ∆ 2015/2016 –0.8 20.3 39.1 6.1 64.7 Total 2016 805.4 11,052.3 3,356.8 2,577.7 17,792.2 2015 789.1 10,975.9 3,337.4 2,513.2 17,615.6 ∆ 2015/2016 16.3 76.4 19.4 64.5 176.6

Source of funds according to function groups (in FTEs) in 2016 compared to 2015. ∆ (delta) shows the absolute change compared to the previous year. Figures exclude apprentices (463.7 FTEs) and trainees.

Annual Report 2016 on the ETH Domain 105 KEY FIGURES | Personnel

legislation on human resources to match social and political mobility. The continuing professional development of the man- developments, and changing socio-political requirements. In 2017, agement staff focuses on personnel management, management these tasks will also include needs-based information of employees skills and corporate culture. The institutions of the ETH Domain and social partners based on the findings of the evaluation of the have been strengthening the support of upcoming young scien- remuneration system and establishing professional groups to tists, and preparing them for a career in academia or in other implement the recommendations made by the ETH Board. professions in Switzerland or abroad. The profiles for senior scien- The ETH Board and the institutions support their staff in all tists and MERs who are on open-ended contracts are defined roles and at all levels in their continuing professional develop- more clearly as a further academic career path, and the range of ment, and also require that they keep this up. They support their positions extended to meet the demands. employees in their career planning, and promote occupational

Cornerstones of the personnel strategy

The personnel policy of the ETH Domain is based on the Federal Act ronment that enables them to attract, support and retain person- on Personnel of the Swiss Confederation (Art. 4 BPG, “Bundesper- nel of the required calibre. sonalgesetz”). It follows the objectives and requirements speci- Identifying and supporting upcoming young scientists are fied therein and in the ETH Domain’s performance mandate essential prerequisites for maintaining a high standard of teach- (Objective 10) (see p.80 ff). The ETH Board and the six institutions ing and research. In the global competition to attract the best of the ETH Domain are responsible employers, providing progres- talent and highly qualified researchers, the institutions of the sive and internationally competitive employment conditions. In ETH Domain are now offering their doctoral and post-doc stu- order to maintain and improve the high quality of teaching and dents, in particular, even more opportunities for career develop- research and their international standing, they recruit talented ment. The creation of additional assistant professorships is one of individuals and excellent staff – in Switzerland and from around the most important tools for supporting upcoming young scien- the world. They promote the employees at all levels and positions tists in general. and ensure equal opportunities. In order to secure and strengthen their international position, The success of the ETH Domain is based on forward-looking, the institutions of the ETH Domain endeavour to attract and retain socially responsible, transparent and dependable personnel pol- the best personnel at all levels, regardless of their gender, nation- icy, as well as employment conditions in a working environment ality, cultural background or social origins. They are boosting their that encourages employees to achieve the best results, and pro- appeal to women and increasing the proportion of women at all motes personal development and excellent performance. This levels and in all function groups, especially in executive positions particularly includes a management culture which is defined by and on decision-making committees. They aim to provide work- responsibility and appreciation and is appropriate for an academic ing conditions that enable men and women to reconcile profes- environment. sional and family life at all levels. Outstanding scientists, promising young talent and exceptional The institutions of the ETH Domain also fulfil their role as administrative and technical staff are essential for ensuring that socially responsible employers by continuing to employ and inte- the institutions of the ETH Domain can fulfil their legal mandate grate staff with disabilities which restrict their ability to work, as and achieve their strategic objectives. With this in mind, the well as by making an effort to enable them to reintegrate into ETH Board and the institutions of the ETH Domain create an envi- professional life.

106 Professorial matters KEY FIGURES

Appointment of professors

In the first half of each year, the two Federal Institutes of Tech- received from the presidents of the Federal Institutes of Technol- nology present their plans for professorships to the ETH Board, ogy. In 2016, the ETH Board dealt with 164 changes. More than half taking into account the current professorships, expected depar- of these activities concerned appointments of professors and the tures of professors and needs for new professorships. Professors award of the title of professor. The other activities mainly involved are appointed by the ETH Board in response to the proposals the reappointment of assistant professors and retirements.

APPOINTMENTS RETIREMENTS 83 23 Professors, of which 11 women and Retirements on grounds of age 42 men at ETH Zurich, and 9 women and 21 men at EPFL

The total of 83 appointments break down as follows:

FULL ASSOCIATE ASSISTANT PROFESSORS ASSISTANT PROFESSORS PROFESSORS PROFESSORS WITH TENURE TRACK WITHOUT TENURE TRACK 29 16 26 12 of which 9 women of which 5 women of which 2 women of which 4 women and 20 men and 11 men and 24 men and 8 men

In 2016, the ETH Board appointed a total of 83 professors; 11 Retirements and resignations women and 42 men at ETH Zurich, and 9 women and 21 men at In 2016, the ETH Board acknowledged 23 retirements on grounds of EPFL. age (with Emeritus status): 9 at ETH Zurich and 14 at EPFL. ETH Zurich and EPFL also notified the ETH Board of a total of 10 resignations for 23 of these appointments (13 at ETH Zurich and 10 at EPFL) involved other reasons. either promotions of associate professors to full professors or of assistant professors to associate professors.

In 2016, appointments of women represented 24% of total appointments, which is significantly higher than the previous year (16.7%). The percentage of women appointed to full professorships (31%) is especially encouraging; it is the highest recorded since 2010.

The ETH Board also conferred the title of professor (adjunct professor) on 2 female researchers and 3 male researchers.

Annual Report 2016 on the ETH Domain 107 KEY FIGURES | Real estate

ETH Domain: Spatial and Financial Master Plans for the real estate strategy The Spatial and Financial Master Plans confirm the need for ongoing refurbishments and new buildings and, in conjunction with the academic development plans, demonstrate that there is a need for additional space.

In addition to the development plans for 2017–2020, the six insti- site refurbishments were shown through the definition of the use tutions of the ETH Domain drew up their Spatial and Financial of the sites. Master Plans (SFMP) for the period from 2017–2028 in 2016. They were based on jointly developed methodology and uniform defi- Ongoing and completed projects of 2016 nitions. The four-year SFMP reports supplement and explain the Within the scope of the investments in new builds, extensions annual key performance indicator tables, which are an important and repairs for the selective enhancement in use, the institutions basis for the real estate reporting for the ETH Domain. They form the of the ETH Domain are also improving energy efficiency, interior real estate strategies of the institutions. air-conditioning, disability access, fire protection, earthquake safety and running costs. Major new-build projects at ETH Zurich Strategies to further develop the portfolio in 2016 involved the completion of the new HIB building with the In 2016, ETH Zurich consolidated its location strategy with the two Arch_Tech_Lab for the Architecture Department on Hönggerberg major campuses in the centre of Zurich and on Hönggerberg, two (see p.2), as well as the continuation of the Agrovet construction external campuses in Basel and Ticino, as well as smaller external project in Lindau-Eschikon for agricultural research conducted sites. It was involved in the master plan for the Zurich Central together with UZH and Strickhof Agricultural College. The impres- University District and in association with the city council and sive demolition and preparatory work for the new GLC research canton of Zurich finalised the master plan for Hönggerberg, which building with laboratory and office space for the Department of is ISOS-compliant according to the FOC. Shortages in available Health and Technology (D-HEST) at Gloriastrasse, which was estab- space have been bridged by renting property on the market. In lished in 2012, were continued. Large refurbishment projects in addition, given the Federal Government’s finances, there has had the planning phase included the following buildings: HIF, ML/FHK to be various prioritising and retrenchment planning in the (Machinery Laboratory and District Heating Plant) and HPM2. The investment plan for 2017 to 2020. new building project on the Schällemätteli site in Basel crossed There is also a growing need to modernise infrastructure at the final hurdles and, once the Federal Assembly has ratified the EPFL. A study tested the existing potential coupled with upgrading 2017 construction programme, work will be due to begin straight existing buildings on the campus. Together with the canton of away. Preliminary studies have been carried out and projects ini- Vaud and Lausanne city council, the provision of a plot to the tiated to preserve the value and functionality of other buildings north of the campus was proposed. In addition to the tight budg- such as the main building or the MM. The Hönggerberg campus ets, alternative financing models or solutions are also evaluated has not only been a place of research and teaching since 2016, it via third-party funds and donations. is also a place of residence. In autumn 2016, around 900 students The decentralised workplaces of the different organisational moved into their new accommodation immediately adjacent to departments were consolidated and combined at the PSI, and the lecture halls and laboratories. This had been built with fund- they were made more flexible. This project and the work on the ing from investors. The newly opened halls of residence for stu- SFMP created the need for further decision-making principles in dents have lots of common rooms, desks and shop space. real estate management. The work on the site strategy has there- The three exhibition pavilions for the 250-m long ArtLab on the fore been stepped up. First results will be available in 2017. EPFL Campus were completed as part of “Objectif Campus”, a pro- The focus of attention in real estate management at the WSL ject aimed at making the campus more attractive. The ArtLab was on preserving the existing building stock and in extending designed by Japanese architect Kengo Kuma is home to the Mon- the lifespan of the existing buildings through renovations with treux Jazz Café at EPFL and also houses a permanent exhibition on more efficient energy solutions and reduced emissions. Big Data and premises for an experimental museum. The develop- During the year under review, Empa and Eawag revised their ment of the site with a second electrical feed was continued. The existing joint SFMPs, which form the basis for the real estate strat- refurbishment and expansion of the ME building was completed, egies of the two institutions. The existing reserves and the requi- and the building went into operation. It will mainly be at the

108 KEY FIGURES

1 The new Arch_Tec_Lab for Architecture on the Hönggerberg Campus of ETH Zurich. (Photo: Andrea Diglas, ITA/Arch-Tec-Lab AG)

2 Between science and art: the ArtLab on the EPFL campus in Lausanne with its 250-m long roof. (Photo: Alain Herzog/EPFL)

1 2

disposal of Robotics and Mechanics, as well as Micro and Bioengi- entire building volume released by the ETH Domain in 2016 neering. The plan is to expand the new energy centre to include a amounted to CHF 260.2m (see fig. 29). Furthermore, private inves- data centre which facilitates synergies in the energy sector. tors funded the expansion of peripheral use, which will addition- The PSI completed the construction of the SwissFEL large-scale ally enhance the attractiveness of the two Federal Institutes and research facility. It was officially opened at the start of December not directly serve teaching and research, with around CHF 33m. 2016. The facility will be at the disposal of researchers from the The ETH Domain received an accommodation loan of CHF 276.7m ETH Domain, as well as from national and international institu- in 2016 for the calculated rent on the real estate. tions for their experiments from 2017. Additional funding was The source of funds chart (see fig. 29) shows the sources of approved in 2016 for planning the dismantling of Federal Govern- funds for the buildings in the ETH Domain since 2008. The large ment-owned nuclear facilities. annual fluctuations in expenditure are striking, which are The WSL largely completed the refurbishment of its main build- dependent on the type of grant and the scope of the current con- ing (office and laboratory wing) in Birmensdorf. The new method struction projects. There has been a certain continuity in recent with prefabricated curtain wood facades has proved successful. years in third-party funding for buildings. However, these figures Empa, in conjunction with Eawag, completed the NEST exper- cannot be planned like investor funding, because they depend imental building, and initial test modules, comprising office heavily on each individual project. In 2016, CHF 4m was used by and residential use, for instance, have been placed and set up EPFL for the ArtLab, CHF 2.4m was used by ETH Zurich for the new (see p.55). The implementation of the backbone infrastructure HIB building and CHF 9.4m was used by Empa, from third-party was co-funded substantially by the ETH Board and by the Canton funding. of Zurich. Building work on the Coating Competence Center (CCC) A private investor implemented a student accommodation pro- has been completed, and it has gone into operation. Once again ject worth around CHF 35m on EPFL’s Triaudes Campus. This will collaborating with Eawag, work got under way on the construction later be operated and maintained by third parties. The PARK of the new energy master plan for the supply to the shared site in INNOVAARE project at the PSI is at the planning stage. The extent of Dübendorf. investor funding for the first phase will be approximately CHF 160m, The tendering process for the construction of a laboratory spread over several years. A basic description of the use of investor pavilion got under way at Eawag with an innovative approach; funding can be found in the reports on Objective 9 (see p.76). namely a total contractor competition with a dialogue phase. Space: real estate management in figures Investments and source of funds in 2016 The ETH Domain uses more than 395 buildings and around 70 The investment credit for 2016 for the entire ETH Domain was facilities on 125 plots of land throughout Switzerland. The main CHF 165.1m following a necessary credit reallocation to the federal usable area reported at the end of 2016, which covers 966,720 m2, financial contribution of CHF 36.3m (18%), which means that it represents an increase of 2.1% on 2015 (946,600 m2) due to fin- was under the previous year’s value (CHF 184.4m). The main rea- ished new builds and refurbishments. The acquisition value of son for the credit reallocation was reduced spending due to the ETH Domain’s real estate portfolio at the end of 2016 amounted building delays, as well as the loss of project planning due to to CHF 7.6bn. In terms of value this represents about one third of retrenchment planning with regard to the Federal Government’s the entire portfolio of the Federal Government. The book value consolidation programme. 52% of the investments were accounted is around CHF 4.3bn. This is almost unchanged compared to 2015 for by new buildings, and 48% by preserving value and function- (see fig. 32). The increase in value from investment and value ality. Furthermore, third-party funding of around CHF 15.8m was conservation activities is balanced against depreciations and used for building measures, and CHF 79.3m was used from the value adjustments due to sales, conversions and refurbishments. federal financial contribution for investments in user-specific There was no adjustment of the portfolio in 2016 due to real estate operating facilities which will be owned by the institutions. The sales.

Annual Report 2016 on the ETH Domain 109 KEY FIGURES | Real estate

At ETH Zurich, there has been an increase in floor space result- Maintaining value and functionality: value kept at a high level ing from new buildings in the central area, as well as on Höngger- The ETH Board is legally obliged to maintain the value and func- berg and, from 2017, in Basel too. At EPFL, this is mainly occurring tionality of the properties of the ETH Domain that are owned by at the new external sites. New buildings in Neuchâtel (Microengi- the Federal Government, and this is a part of Objective 9 on real neering), Geneva (Biotech Campus), Sion (EPFL Valais Wallis) and estate management, under the performance mandate 2013–2016. Fribourg (smart living lab) are at various stages of implementa- The average age of all properties used by the ETH Domain is around tion. In most cases, the buildings of these external sites are 50 years, with a significant proportion – in terms of both volume funded by the local cantonal authorities. and value – of the portfolio having already been through one or Growth in EPFL stands out in view of the percentage develop- more cycles of renovation. The real estate portfolio includes well- ment of main usable areas since 2008 (see fig. 30). In absolute known, historical edifices in a central location, as well as contem- figures, it also exceeds that of ETH Zurich, with the Biotech Campus porary office and laboratory buildings, large energy-intensive in Geneva having made a significant contribution to this. ETH Zurich and the PSI have shown relatively sustained growth. There is a Fig. 29: Source of funds (in CHF millions) reduction, albeit short-term, in the available space if a building 350 is out of service due to repairs or conversion work. In a small institution like the WSL, a single refurbishment project (main 300 building) has already resulted in a visible change.

The mix of areas (see fig. 31), with those for own use, the Federal 250 Government-owned buildings used by others, and buildings 2 rented by third parties, expressed in m of main usable area, 200 shows how some of the growth in recent years could only be covered by using additional leased space. There has been an increase 150 of around 2% per annum in self-used space in the period under observation. The growth in leased space which, at first glance, 100 appears to be at odds with the increasing demand for space, is attributable to the changes in the statistical allocation of space 50 after 2013. This primarily concerns accommodation for staff, guest lecturers and students, as well as space used by other universities 0 on a cooperative basis. Without this effect, there would be a 2008 2009 2010 2011 2012 2013 2014 2015 2016 steady decrease in the leased space. Investment credit of the Federal Government Financial contribution for the ETH Domain Third-party funds Fig. 28: Condition value as of 31 December 2016

100%

90%

80%

70%

60%

50%

40%

30%

20%

10%

0% 0 20 40 60 80 100 120 140 160 180 200 220 240 260 280 300 300 320 340 360

Very good condition, as new Average condition, plan and implement measures Good condition, no measures needed Poor condition, measures needed Average weighted by original value of properties: 82.7%

110 KEY FIGURES

Entwicklung der Hauptnutz äche nach Institution in % (Kennzahlen) research facilities, and also two alpine farms – Maiensäss Früebüel Fig. 30: Development of the main usable area by institution in % on Zugerberg and Alp Weissenstein below the Albula Pass – that are used for agricultural research. The refurbishment workload for 140 the historical building, in particular, is considerable in some cases, leading to challenging construction projects. This is due, 130 not least of all, to new regulations and to the proper disposal of hazardous waste materials. However, the framework conditions 120 for this often impose restrictions on the use of buildings and on spatial development. An example of a large refurbishment subject 110 to conditions, among others the preservation of historical buildings, that lead to delays and restrictions is the project involving 100 the Otto Rudolf Salvisberg Machinery Laboratory and District Heat- ing Plant (ML/FHK) at ETH Zurich for more than CHF 120m. 90 The two Federal Institutes of Technology and the research institutes all use STRATUS, a standard method to assess the condition of 80 individual buildings and to plan medium- and long-term maintenance work. The current value of the properties that have significant 70 2008 2009 2010 2011 2012 2013 2014 2015 2016 value and quantity is shown for each year as key performance indicators for the preservation of value and functionality (see fig. 28). ETH Zurich EPFL PSI WSL Empa Eawag The trend over several years shows that despite the old age of some of the buildings and their many years of intensive use, their cur- of the Department of Biosystems (D-BSSE) on the Schällemätteli rent value remains consistently high in relation to the new value. Campus of the University of Basel. This will significantly strengthen One reason for this lies in the dynamic nature of the institutions of the Life Sciences Department of ETH Zurich. The new building will the ETH Domain. Many renovation projects are triggered by a need particularly consist of laboratories, offices, clean rooms and a caf- to adapt the use of a building (academic requirements). The build- eteria. It will conform to strict environmental standards. The con- ings with the lowest values are also consistently included in the tingent credit is CHF 171.3m. institutions’ renovation strategies. These measures and approaches The second major project is the refurbishment of or renova- demonstrate how the ETH Domain complies with its responsibility tions to the central heating and cooling system at EPFL. The pro- to manage the buildings placed at its disposal by the Federal Gov- ject is based on high-efficiency heat pumps which are fed with ernment in a sustainable manner, appropriately preserving the water from Lake Geneva. This will bring about a 45% reduction in value and functionality. Renovation projects in excess of CHF 600m operating and energy costs, while CO2 emissions will be down are currently included in the 2017–2020 investment plan. They 24%. Part of the building will be available for energy-related pilot triggered an investment volume of some CHF 80m in 2016. In addi- and research projects. The contingent credit is CHF 59m. tion, ongoing maintenance work amounting to some CHF 50m was FlächenmixA credit line Bund, of CHF Dritte, 104m Vermietethas been requested (Kennzahlen) for 2017. Credit funded from the state financial contribution. lines make it possible to carry out construction projects costing up to CHF 10m, and to plan projects with the requisite contingent 2017 construction programme: two major projects at ETH Zurich credit requests. and EPFL The ETH Domain applies for contingent credit for the planned new Fig. 31: Mix of areas (in 1,000 m2) construction projects when it presents the annual construction programmes. This is to be financed through the budgetary frame- 834 857 870 892 891 929 955 947 967 work by the Federal Government via the annual investment credit. These investments are supplemented with funds from both Fed- eral Institutes of Technology and from the research institutes for the user-specific operating facilities and equipment. They are also largely part of the government’s funding. In addition, there is third-party funding in individual cases. In October 2016, the Pres- ident of the ETH Board presented the 2017 construction programme and the contingency credit involved to the competent finance sub-committees of the National Council and Council of States. These were approved by the Federal Parliament by means of the Federal Decree I regarding the 2017 estimate on 15 December 2016. 2008 2009 2010 2011 2012 2013 2014 2015 2016 The 2017 construction programme totalling CHF 334.3m included the following two major projects costing in excess of CHF 10m. Federal Government, self-used Third-party, rented Firstly, ETH Zurich’s new BSS building as the definitive location Federal Government, rented out

Annual Report 2016 on the ETH Domain 111 KEY FIGURES | Real estate

Strategic real estate management in the ETH Domain

Efficient building infrastructure is a central requirement for ena- ment to ensure the functionality of the real estate portfolio in the bling both Federal Institutes of Technology and the four research short, medium and long term, and to preserve its cultural value. institutes to achieve their targets in teaching and research and to Needs-based planning, and the timely realisation of new con- fulfil their performance mandate and meet the required quality struction projects, conversions and refurbishments, are at the standards. The real estate of the ETH Domain is owned by the heart of its remit. The preservation of value and functionality is Federal Government. The ETH Board assumes the ownership role the result of needs-based planning, geared – also in the interests in trust (as one of the Federal Government’s three real estate of the owner – towards cost/benefit considerations, as well as authorities: the Federal Office for Buildings and Logistics, arma- corresponding control at ETH Board level. The owner is kept suisse and the ETH Board). The ETH Board is responsible for the real abreast of this through the reports from the ETH Board. The estate portfolio of the ETH Domain and consults the institutions ETH Domain is committed to the sustainable development of its on the strategic real estate management. It coordinates the man- real estate portfolio. It does so in compliance with the mandate agement of the properties and ensures the preservation of their assigned to the Federal Council by Art. 73 of the Federal Constitu- value and functionality. The investment credit for construction is tion, as well as its strategy for sustainability. Targeted cooperation kept separate from the annual instalments from the Federal Gov- within the ETH Domain, based on a common environmental con- ernment to the ETH Domain that have a different purpose. It cept, contributes towards ensuring sustainable management of appears in the state accounts under the Federal Office for Build- the real estate, enhancing the energy efficiency, and reducing the ings and Logistics (FOBL) and, thus, under the Federal Department consumption of resources wherever possible – with a long-term of Finance. It is the job of the ETH Domain’s real estate manage- focus and in an exemplary manner.

Fig. 32: Quantity structure of the ETH Domain portfolio

CHF millions ETH Zurich EPFL PSI WSL Empa Eawag Total Buildings/facilities Quantity 180 80 140 25 25 15 465 Original value 3,530 1,619 619 100 358 102 6,328 Book value 1,501 956 266 50 123 58 2,954 Plots Quantity 70 20 9 16 4 4 123 Book value 691 247 30 24 63 10 1,065 Book value of installations under construction 201 38 9 2 2 1 253 Building rights (not valuated, in compliance with regulations) 0 Total assets (book value real estate) 2,393 1,241 305 76 188 69 4,272 Provisions 263 (e.g. for polluted sites, asbestos, radioactive waste)

Quantity and value of all government-owned real estate allocated to the institutions of the ETH Domain.

Fig. 33: Investments

CHF 1,000 ETH Zurich EPFL PSI WSL Empa Eawag Total Investment credit from Federal Government 119,200 28,000 6,666 6,410 3,067 1,767 165,110 of which for new or replacement constructions 74,505 8,660 2,277 0 0 970 86,412 of which for maintenance of value and functionality 44,695 19,340 4,389 6,410 3,067 797 78,698 Financial contribution investments 53,927 9,066 11,141 375 3,302 1,466 79,278 (for user-specific construction) Third-party resources 2,420 4,000 0 0 9,387 0 15,807 Construction expenses of the Institutions 175,547 41,066 17,807 6,785 15,757 3,233 260,195 Main usable area (m²) 477,390 280,850 112,640 20,080 58,837 17,380 966,720 Construction expenses per m² main usable area (CHF/m²) 368 146 158 338 270 186 269

2015 investments in the ETH Domain portfolio, based on the main usable area (in m2). This is the part of the usable area that is directly allocated to the core task of teaching and research. Because the research institutes themselves do not provide teaching, a figure for the area across the entire Domain – for example in relation to the number of students – would not be very informative. 112 Environment and energy KEY FIGURES

Production of renewable energy Minimising environmental pollution and conserving resources are important aspects of the environmental and energy management of the institutions. Where possible, this also involves utilising waste heat from the infrastructural installations, some of which are very complex, as well as the production of solar energy and cooling and heat output with the aid of water pumps.

Based on the 2050 Energy Strategy, the Federal Council tasked the the mainframe computer system of the CSCS in Lugano with an Swiss Federal Office of Energy (SFOE) on 30 November 2011 with annual energy output of the cooling system of around 23,385 MWh. setting up “The Confederation – Exemplary in Energy” (VBE) office The roofs of the Ecublens Campus of the EPFL are the site of one and taking on the operational management of the office. The of Switzerland’s largest solar energy installations, operated by VBE Coordination Group (KG-VBE) was created for the overall Romande Energie. The plant delivered around 2 MWh of solar control and coordination of “The Confederation – Exemplary in energy in 2015. Once it is completed, it is expected to produce Energy” (VBE) office. It comprises the civil Federal Administration, around 2.2 MWh per annum. Up to now, the EPFL’s central heating the ETH Domain, as well as organisations with close links to and cooling plant for the Ecublens Campus has been operated in the Federal Government, namely the Swiss Post, Swiss Federal hybrid mode with a mixture of heating oil (12%) and lake water Railways, Skyguide and Swisscom. In connection with the use of cooling (88%). The building project approved in December 2016, renewable energy in buildings, the Federal Government invited the as part of the 2017 building programme, for the construction of a key players from the VBE to compile individual potential analyses new central heating and cooling plant for EPFL envisages that on the use of renewable energy in August 2014. The overall analy- 100% of future energy demand will be met using the environ- sis set out to demonstrate the extent to which the Federal Govern- mental heating and cooling effect of Lake Geneva. ment and the institutions and companies which are closely affili- In order to increase the energy efficiency of the major research ated to the Confederation managed to utilise waste heat and plants of the PSI, the waste heat emitted from those plants will produce renewable energy (solar, wind and hydro energy, geo- increasingly be utilised for heating purposes on the site. The long- thermal, wood, district heat and the thermal utilisation of waste) term demand for heat is estimated to be approximately 12 GWh on its sites and in its buildings, and what the associated costs per annum, 75% of which is to be covered by waste heat by 2020. would be. The analysis was presented to the Federal Council at the The SwissFEL will make an important contribution towards this. end of 2016. AEW Energie AG started up a second photovoltaic system on the The ETH Domain completed its own potential analysis of this in roof surfaces of the PSI in 2016. This puts the total nominal power spring 2016. The use of waste heat and ambient heat for heating capacity installed in the plants at 173 kWp. and cooling purposes in particular, as well as the production of The WSL has been producing energy from photovoltaic cells on solar energy have already proved to make substantial contribu- the Weissfluhjoch for over 10 years. Together with further systems tions towards the in-house production of energy in the ETH Domain. in Davos Village and in Birmensdorf, there will soon be around The potential of the additional, cost-efficient production of 130,000 kWh of photovoltaic energy being produced every year. renewable energy on installations and sites in the ETH Domain Through the consistent replacement of fossil-based heating sys- amounts to almost 3,000 MWh of solar energy and around tems, the WSL also anticipates that it will be able to meet about

64,500 MWh of heat and cooling output per annum. Some of 97% of its heating energy requirements CO2-free in 2019. these projects are already at the implementation stage. When the Empa building was newly erected in St Gallen back The largest energy generators in the ETH Domain include the in 1996, a photovoltaic system was integrated into the facade. In anergie network for cooling and heat output on the Höngger- 2016, the energy yield was tripled to around 90 MWh per annum berg campus of ETH Zurich, which has current annual production by expanding the plant with frameless photovoltaic panels on the of 1,935 MWh (heat) and an expansion potential of a further flat roofs. Together with Eawag, Empa is creating a new central 20,000 MWh/a (heat). A project is being undertaken on a similar heating plant for the Dübendorf Campus. When it is completed, scale for a gradual replacement of the central cooling plant at the the plant is expected to deliver around 3,100 MWh of heating and ETH Zurich Centre Campus involving the use of lake water for cool- cooling power from environmental energy every year. As a small ing, with an estimated power rating of 19,700 MWh per annum but symbolic contribution towards its own production, Eawag (ETH Zurich’s share). However, the completion of this project acquired outdoor tables for the Dübendorf and Kastanienbaum remains open-ended, depending on the further development of campuses in 2016, where the surfaces produce photovoltaic elec- the Zurich Central University Area. Lake water is also used to cool tricity which can be used directly in Eawag’s own in-house grid.

Annual Report 2016 on the ETH Domain 113 KEY FIGURES | Environment and energy

Environment and energy in the ETH Domain As an energy research institution and a major consumer, the PSI The ETH Domain provides detailed accounts of its activities in the attaches special importance to promoting the efficient use of areas of the Environment and Energy in two publications by the energy. Where possible, efficiency measures are implemented dur- Federal Government: in the annual report entitled “The Confeder- ing construction or within the scope of the refurbishment of plants. ation: Exemplary in Energy” published by the Swiss Federal Office The PSI was successful in its bid for funding through the SFOE’s of Energy (SFOE) 1 and in the biannual 2 report entitled “Resources ProKilowatt programme in 2016 for the planned upgrade to the and Environmental Management of the Swiss Federal Administra- interior lighting for the SLS, which had been in operation around tion” (RUMBA) published by the Swiss Federal Department of the the clock for 17 years. Replacing the gas-discharge lamps with effi- Environment, Transport, Energy and Communications (DETEC). The cient LED lighting strips (total length of approximately 2.5 km) and implementation of measures within “The Confederation – Exem- their time and light-dependent control will enable existing energy plary in Energy” project is due to run until 2020 and is on course. consumption to be halved. The consistent implementation of The institutions are responsible for the operations-led environ- operational improvements, such as the move implemented in 2016 mental and energy management in the ETH Domain. to switch off magnets on the accelerator systems during short operational breaks, will lead to clearly quantifiable savings in ETH Zurich was involved in the implementation of numerous envi- energy consumption without placing any restrictions on users. ronmental measures in 2016. In addition to focusing on the theme www.psi.ch/about/psi-energy-concept of mobility and on establishing a mobility platform for the coordi- www.psi.ch/about/psi-environmental-concept nation of all projects – e.g. by reducing CO2 emissions in business journeys or in terms of campus mobility and logistics – the primary The WSL refurbished two 1950s-era buildings in Birmensdorf to com focus of attention was on energy recovery and efficiency. One ply with the Minergie-P-Eco standard. In terms of plumbing, the example is the preparation of a feasibility study on the use of water very latest spray taps, which are particularly water-efficient, have from Lake Zurich to supply heating and cooling power to the Zurich been installed. Both buildings are now covered with solar roofs. Central University Area – not just for ETH, but also for the benefit of The 600 m2 or so of solar panels will produce about 100,000 kWh the University Hospital and of the University of Zurich. The results of of renewable electricity every year. This will enable the building to the feasibility study have been available since the end of 2016. even outperform the Minergie-P-Eco standard: they are the first Once the operations improvement expert had started his work in the canton of Zurich to be awarded the “Minergie-P-A-Eco” in 2015, one of the focuses of attention in 2016 became the imple- standard. The WSL Environmental Group has been newly set up mentation of the new operations improvement concept. This con- and expanded upon the instructions of the directorate. tributed to enabling ETH Zurich to meet the targets agreed with www.wsl.ch/umweltmanagement the Energy Agency of the Swiss Private Sector (EnAW) once again. For the first time in Switzerland, the Swiss Society for Sustain- Two important beacon projects at Empa were demonstrated to the able Real-Estate Management (SGNI) standard for the refurbish- general public in the form of the NEST research platform and the ment of existing laboratories will be applied to the complete ‘move’ multifunctional filling station. The planning for the expan- refurbishment of the HIF building on Hönggerberg. The prelimi- sion of the mid-temperature network on the site has been com- nary project ran at the end of 2016. pleted. Energy efficiency can be increased through the construction www.umwelt.ethz.ch of heat ring lines and a geothermal energy store (commencement of construction in 2017 and 2018). The construction of a combined As part of the mobility plan at EPFL, a mobility fund has been set heat pump/cooling machine at the St Gallen Campus led to a clear up to promote measures for “soft” mobility and for public trans- saving in energy and to a reduction in power peaks. The environ- port, coupled with a sharp rise in parking charges. Two Act for mental management system has been optimised through an Change competitions were organised in 2016; one in spring for all updated environmental, energy and mobility concept, as well as students and one in autumn for new undergraduates. Almost with a new Environmental Committee. 1,000 young people took part in this competition, which was www.empa.ch/web/resources-environment intended to promote sustainability on the campus. It is cooled with water from Lake Geneva. Several projects which were imple- Eawag will now be free to choose its energy supplier at its Kasta- mented in 2016 sought to reduce water consumption while main- nienbaum site in Lucerne. After inviting tenders, it opted for 100% taining the same output. As an example, the control valves for the hydropower from the Elektrizitätswerke Obwalden utility company. primary water flow were replaced by a secondary peak flow in four It will also continue to buy certificates for naturemade star eco- large buildings (INR, ELD, ELE and DIA), with the flow rate reduced power for this share of its energy requirements; this is a label that from 18 to 9 litres per second. And finally, technical improvements is based on research conducted at Eawag in the preservation of were made to the SwissTech Convention Center and to the SG aquatic habitats. Eawag commissioned ewz to carry out an energy Building, leading to energy savings of 30% to 40%. consumption analysis for its site in Dübendorf in 2016. One of the exploitation-energies.epfl.ch/developpement-durable.epfl.ch pavilions on the Eawag site which performs poorly in energy efficiency is to be replaced by an energy-saving building (construction work commences in 2018). 1 Published in July 2016 by the Swiss Federal Office of Energy (SFOE). 2 The next RUMBA report is due to appear in September 2017. www.umwelt.eawag.ch 114 KEY FIGURES

Fig. 34: Environment and energy data

ETH Domain ETH Domain ETH Zurich EPFL PSI WSL Empa Eawag ETH Domain 2014 2015 Total Total Total Total Total Total Trend 2016 1 Basic data

Energy reference area (ERA)2 m2 1,416,238 1,434,194 679,599 429,223 146,486 28,965 121,821 28,100 1,471,509

Full-time equivalent 3 FTE 33,030 34,827 19,774 10,813 2,015 632 966 627 35,310

Energy 4

Final energy, net 7 kWh/a 424,363,562 436,876,537 176,929,147 96,474,394 136,958,127 5,083,482 16,845,242 4,559,145 430,943,167

Electricity, net (not incl. self-produced) kWh/a 360,356,537 365,894,796 138,043,690 79,964,917 130,392,447 3,121,610 11,055,265 3,316,867 360,766,157

Consumption of uncertified electricity kWh/a 73,477,017 56,008,759 16,763,000 0 29,698,573 64,519 10,069,740 0 –

Consumption of certified electricity kWh/a 292,683,761 317,551,399 121,280,690 85,213,264 100,693,874 3,057,091 3,402,540 3,316,867 –

– Electricity (without naturemade star) kWh/a 278,775,510 303,244,322 117,280,690 78,328,774 100,693,874 2,951,371 3,402,540 0 –

– Photovoltaic naturemade star kWh/a 2,159,919 2,135,781 0 2,000,000 0 52,860 0 82,921 –

— Hydro power naturemade star kWh/a 11,693,332 12,171,296 4,000,000 4,884,490 0 52,860 0 3,233,946 –

– Wind naturemade star kWh/a 55,000 0 0 0 0 0 0 0 –

Sale of electricity kWh/a –5,804,241 –7,665,362 0 –5,248,347 0 0 –2,417,015 0 –

Heat kWh/a 60,903,802 68,494,879 37,995,000 16,135,387 6,266,680 1,448,575 5,545,496 1,103,741 –

Fuel oil kWh/a 2,268,480 3,468,116 2,000 2,866,800 350,960 248,238 0 118 –

Natural gas kWh/a 53,021,591 57,795,344 38,477,000 13,107,225 0 0 6,194,707 16,412 –

Natural gas BHKW kWh/a 0 0 0 0 0 0 0 0 –

District heating kWh/a 28,796,711 31,108,657 23,256,000 411,726 5,915,720 0 438,000 1,087,211 –

Woodchip kWh/a 1,162,248 1,520,337 320,000 0 0 1,200,337 0 0 –

Sale of heat kWh/a –24,345,228 –25,397,575 –24,060,000 –250,364 0 0 –1,087,211 0 –

–

Fuels (own vehicles) kWh/a 2,941,223 2,486,862 890,457 374,090 326,000 513,297 244,481 138,537 –

Energy: additional information

Energy costs, electricity and heat 5 CHF/a 45,620,448 50,046,943 25,649,844 9,050,972 12,507,406 573,911 1,698,688 566,122 49,002,062

Self-generated renewable electricity kWh/a 450,788 520,813 217,100 0 102,550 28,000 29,159 144,004 –

Total sale to third parties kWh/a –30,149,469 –33,062,937 –24,060,000 –5,498,711 0 0 –3,504,226 0 –

Water (drinking water) m3 618,123 630,749 335,697 171,616 88,466 8,613 21,210 5,147 647,254

Materials

Paper kg 393,591 341,961 173,000 103,652 35,541 10,619 11,753 7,396 411,591

Paper, new fibre kg 213,173 120,462 87,150 18,642 10,992 3,498 0 180 173,722

Paper, recycled kg 180,418 221,499 85,850 85,010 24,549 7,121 11,753 7,216 237,870

Key figures: environmental impact 8

Primary energy 6 kWh/a 765,075,488 625,358,315 233,673,708 117,700,819 216,682,452 11,422,118 39,909,299 5,969,918 –

Proportion of renewable energies % 31.5 62.8 52.5 67.5 80.3 24.2 12.3 66.2 –

CO2 emissions t CO2/a 57,115 36,820 16,394 7,158 8,144 733 3,933 458 –

1 Provisional figures for the year under review (trend) as at the beginning of March 2016. 2 The energy reference area is the sum of all gross floor areas, above and below ground, which must be heated or air-conditioned in order to be used. 3 The FTE (full-time equivalent) value listed here was supplemented by the number of students with an FTE value of 0.68 to produce the consumption per person. 4 The key indicator “energy consumption” shows the total consumption of heat and electricity for buildings as well as for teaching and research activities. 5 The key indicator “energy costs” shows all expenditure (cash out) for the provision of energy (heat and electricity). 6 In energy economics one refers to primary energy as the energy that is available using the originally occurring forms or resources of energy, such as fuel (e.g. coal or natural gas), as well as energy carriers such as sun, wind or nuclear fuels. 7 Final energy is the portion of the primary energy that is left after losses due to energy conversion and transmission, after it is supplied via the consumer’s domestic connection. The final energy essentially corresponds to the energy that is purchased. 8 In 2015 the environmental factors for purchased, certified electricity from hydropower Switzerland were corrected, which contributed to a clear improvement in the key figures. The 2014 figures have been taken over from the Annual Report 2015 unchanged. The corrected figures for 2014 are: primary energy 627,985,232 kWh/a, renewable 50.6% and CO2 36,753 t/a.

Annual Report 2016 on the ETH Domain 115 KEY FIGURES | Financing statement

Financing statement Also in the last year of the ERI period 2013–2016, the institutions of the ETH Domain were successful in attracting third-party funding.

Summary of financing 2013–2016 (revenue by source of funds) Development of the research contributions, other The financing of the ETH Domain depends greatly on the stable operating revenue finance policy of the Federal Government. As the owner, the The trends in the contributions made by the Federal Government Federal Government provides almost 90% of the finance for the towards research, as well as those of third parties, were also posi ETH Domain. It contributed 70%, i.e. the lion’s share, directly via tive at the end of the last performance period, i.e. 2013–2016. its federal financing budget. The Federal Government contributed They rose slightly both in absolute terms and proportionately. This a further 16% indirectly via ITS sponsoring organisations SNSF and also applies in respect of the other operating revenue. The expec- CTI, Federal Government research and via EU-FP funding. The Fed- tations set out in the 2016 budget were also exceeded. eral Government financed the ETH Domain directly or indirectly to In the form of data collection which is currently used for con- the tune of almost 90% during the last performance period of solidated reporting, the operating revenue from research contri- 2013–2016. In addition to the financing by the state, a considera- butions and from other operating revenue reflects the operating ble part was provided competitively via research contributions income in the income statement. The necessary distinction from third-party funding (cooperation with the private sector), between the two is due to the system, but is not practicable. This donations, tuition fees and other revenue. The ETH Domain’s makes the transition from the financing statement view to the entire operating revenue rose from CHF 3.1bn in 2013 to almost income statement view unnecessary. In general, the development CHF 3.5bn in 2016, the year of the report. in research contributions can only be assessed through the balance sheet with reference to accounts receivable and earmarked Development in the budgetary framework of the ETH Domain third-party funds. 2013–2016, credits taking into account the budgetary framework (total federal contribution) Summary of expenses 2013–2016 (allocation of funds) In order to cover the financial requirements of the ETH Domain for The volume of expenses can be broken down into three main operations and investments, in ERI Dispatch 2013–2016 (draft part B components. Personnel accounted for the largest proportion of budgetary framework of the ETH Domain for 2013–2016 dated the funds used (approx. 63–64%). Investments in plant and 22 February 2012) the Federal Council proposed a budgetary frame- equipment which are used by the ETH Domain, irrespective of work for 2013–2016 of the order of CHF 9,481m (Ø annual growth: ownership, accounted for a significant portion of the funds used +3.9%). The Federal Parliament increased the budgetary frame by the ETH Domain (approx. 13–15%). The level of the third main work via a number of resolutions to CHF 9,658 m. Consequently, the component, the other current operating expenses (approx. 22%) growth quota corresponded to an average annual growth of +4.1%. for the infrastructure and for projects in teaching and research The effective average annual growth fell from +4.1% to +3.1%. Part depends upon a number of factors. Slight reallocations occurred of the lower utilisation is attributable to the adjustment of price during the 2013–2016 performance period, in particular within rises which did not come about. This has met the wish stated in the investments, both in absolute terms as well as in the proportions ETH Board’s strategic planning for the ETH Domain for 2012–2016 for of total operating expenses. Furthermore, the proportions a guarantee of stable and solid finances, and thus high financial remained stable. The ETH Domain’s entire operating expenses rose planning reliability as a precondition for the implementation of the from CHF 3.1bn in 2013 to around CHF 3.4bn in 2016, the year of the strategy for the performance period from 2013–2016. report.

Fig. 35: Development of the budgetary framework of the ETH Domain 2013–2016

CHF millions 2012 2013 2014 2015 2016 2013–2016 Budgetary framework of the ETH Domain 2013–2016 2,174.5 2,271.4 2,378.2 2,456.6 2,551.7 9,657.9 Nominal growth 4.5% 4.7% 3.3% 3.9% Ø annual growth 2013–2016 (based on 2012 budget) 4.1% Net reduction to the budgetary framework of the ETH Domain – – –38.7 –97.9 –136.6 Total credit entitlement on the budgetary framework 2,175.4 2,271.4 2,378.2 2,417.9 2,453.8 9,521.3 Nominal growth 4.4% 4.7% 1.7% 1.5% 3.1% Using the budgetary framework for 2013–2016 98.6%

116 KEY FIGURES

Mittelherkunft Finanzierung ETH-Bereich

Total investments Fig. 37: Operating revenue by source of funds (in CHF m) A distinction is made in investments between usage and ownership. All investments are shown under the total investments, irre- 3,500 spective of ownership, i.e. they are the investments in the property used by the ETH Domain. Therefore, the investments in 3,000 government-owned real estate, which are financed through credit 2,500 A4100.0125, Investment credit for buildings in the ETH Domain, are also shown. 2,000 The amount of the total investment (property owned by the ETH Domain and property owned by the Federal Government, fed- 1,500 eral financing view, financial framework) was between CHF 400m and CHF 500m in the last performance period. The relatively high 1,000 volumes in 2015 and 2016 (see fig. 36) particularly include the investment outlay on user-specific modifications (building costs 500 plan 3) – including for investments in the SwissFEL at the PSI. 0 2016 financing statement 2013 2014 2015 2016 Source of funds (revenue) MITTELVERWENDUNG Total federal contribution ETH-BEREICH Federal research contribution In 2016, the total operating revenue amounted to around CHF 3,486m. Contributions towards research by third parties/various revenue Total federal contribution accounted for 70% of this. Within the year under review, negligible household shifts Fig. 38: Operating expenses by allocation of funds (in CHF m) occurred between the two forms of credit, taking into account the budgetary framework for the ETH Domain, in favour of the federal 3,500 financial contribution. This had a neutral effect on the budget. The Federal Government contributed a further CHF 549m of finance 3,000 indirectly via its sponsoring organisations SNSF and CTI, Federal 2,500

Fig. 36: Development of total investments (in CHF m) 2,000

500 494 1,500 290 455 442 450 433 278 1,000 236 400 242 500 350 0 300 2013 2014 2015 2016

250 Personnel expenses Investments in government-owned properties Other current expenses Investments in ETH Domain-owned properties 200 206 204 191 Government research and via EU-FP funding. The proportion of 150 177 these contributions made by the Federal Government towards 100 research rose by +1% to just under 16% at the expense of total federal contribution. The proportion of contributions towards 50 research from third-party funding and other sources of income held steady at a share of around 14% (2016: CHF 483m). Even 0 though the procurement of contributions towards research took 2013 2014 2015 2016 place under conditions which were at times competitive and dif- Investments in government-owned ficult, revenue was still up on 2015. The Federal Government, as properties of the ETH Domain (incl. co-financing) the owner, once again provided the ETH Domain directly or indi- Investments in ETH Domain-owned tangible/intangible assets rectly with 86% of its financing (2015: 86%).

Annual Report 2016 on the ETH Domain 117 KEY FIGURES | Financing statement

Source of funds Fig. 39*: Consolidated statements 2016 of the ETH Domain: structure of revenues (in %) Operating income, 2016 financial statements: CHF 3,486m (financing statement perspective)

Federal financial contribution 66% Investment credit for ETH Domain constructions 5%

Total federal contributions Swiss National Science Foundation (SNSF) 7% (budgetary framework perspective) (70.4%) Federal financial contribution Commission for Technology and Innovation (CTI) 1% Investment credit for ETH Domain constructions

Special federal funding of applied research 3% Indirect financial contributions from the Federal Government (15.8%) EU Framework Programs for Research Swiss National Science Foundation (SNSF) and Innovation (FP) 4% Commission for Technology and Innovation (CTI) Special federal funding of applied research EU Framework Programmes for Research and Innovation (FP) Private industry-oriented funding 4% Third-party funds (12.8%) Other third-party funds 3% Research contributions from cooperation Donations and bequests 3% with the private sector Other third-party resources Other revenue 3% Donations and bequests Other revenue

Tuition fees and other Tuition fees and other utilisation fees 1% utilisation fees (1%)

Allocation of funds Fig. 40**: Consolidated statements 2016 of the ETH Domain: structure of expenditure (in %) Operating expenses, 2016 financial statements: CHF 3,366m (financing statement perspective)

Other expenditure 23% Personnel 64%

Investments in tangible assets/intangible assets 8%

Investments in government-owned properties 5%

* Fig. 39 shows the revenues from a financing perspective. They amount to CHF 3,486m and comprise the following: federal financial contribution; investment credit for constructions of the ETH Domain; donations and bequests; research contributions, mandates and scientific services; tuition fees and other utilisation fees; other revenues. ** Fig. 40 shows the expenditure from a financing perspective. It amounts to CHF 3,366m and comprises the following: personnel expenses; adjustment to the net pension expenditure in accordance with IPSAS 25; investments in government-owned properties; investments in tangible/intangible assets; materials expenses excl. accommodation expenditure; transfer expenses.

118 KEY FIGURES

Allocation of funds (expenses) Transition from financing view to annual financial At CHF 3,366m, the total operating expenses in 2016 virtually statements view matched the previous year’s total (2015: CHF 3,360m). The expen Differing from the financing view, where total federal contribution ses forecast in the 2016 budget were up on this figure slightly at and other sources of funding are allocated to the period in which CHF 3,412m. Given the fact that the volume of investment was lower the funds flow, the revenue and expenses in the income state- at CHF 455m (2015: CHF 494m), there was, however, a proportionate ment are posted to the period to which they belong in business reallocation within spending. Increased expenses for personnel management terms. This is in line with accrual accounting. There- were CHF 2,160m (2015: CHF 2,128m). This corresponds to 64.2% fore, the total federal contribution in the income statement com- of expenses (2015: 63.3%). 17,792.2 full-time equivalents (FTEs) prises the credits A3210.0542 federal financial contribution to the were financed. They were largely funded from the federal financing ETH Domain and A3210.0543 federal contribution to accommoda- (11,834.9 FTEs or around CHF 1,577m) and from the Federal Govern- tion in the ETH Domain. ment’s contributions towards research (4,104.7 FTEs or CHF 364 m). Due to system constraints, the difference between the financ- Just under CHF 161m of the spending on personnel was financed ing statement and the income statement cannot be determined in association with the private sector (1,852.6 FTEs). Compared to and visualised in the research contributions. Analogous figures 2015, there has been a reallocation towards a higher proportion of are shown based on this. The most important differences between spending on personnel being funded through federal finance. The expenses and expenditure (net pensions expenditure according to employer’s contributions as a percentage of salaries in 2016 stood IPSAS 25, accommodation, write-offs) are disclosed in the transition. at 19.8% (2015: 19.5%). The ETH Domain and the Federal Govern- ment had factored in an employer’s contribution of a flat rate of 20.7% in the budget for 2016. The other current operating expenses (2016 statement: CHF 751m) showed a relatively low rise on the previous year (2015: CHF 738m). The financing statement shows the use and does not distinguish between a property belonging to the Federal Government or the ETH Domain. Therefore, the total includes investment in real estate owned by the Federal Govern- ment as well as by the ETH Domain.

Fig. 41: ETH Domain – Total federal contribution – Schema reporting and presentation of transition (simplified) (financing statement view – revenue/expenditure and statement of financial performance view – expense/income)

Financing statement Transition Income statement

CHF millions (figures rounded) FS 2016 Decrease (-) Increase (+) FS 2016 Financing statement/Income statement Income (source of funds)/Operating revenue 3,486 –165 277 3,598 Total federal contribution 2,454 –165 277 2,565 Federal financial contribution 2,289 2,289 Investments in constructions of the ETH Domain 165 –165 – Federal contribution to accommodation – 277 277 Special federal funding of applied research 549 549 Project-oriented third-party funding/various income 483 483

Expenses (allocation of funds)/Operating expenses 3,366 –514 461 3,314 Personnel expenses 2,160 –59 2,101 Other operating expenses/accommodation ETH Domain – 277 277 Depreciation – 185 185 Other ongoing operating and transfer expenses 751 751 Investments 455 –455 – – Government-owned properties ETH Domain 165 –165 – Co-financing government-owned properties ETH Domain 12 –12 – Immovable property, plant and equipment (ETH Domain-owned) 44 –44 – Movable non-current assets (ETH Domain-owned) 232 –232 – Intangible non-current assets (ETH Domain-owned) 2 –2 –

Annual Report 2016 on the ETH Domain 119

Financial Report

120

Financial Report

www.ethboard.ch/financialreport2016

Annual Report 2016 on the ETH Domain 121 List of abbreviations

Selected abbreviations MNCS Mean Normalized Citation Score AAQ Swiss Agency of Accreditation and Quality Assurance MNJS Mean Normalized Journal Score ARE Federal Office for Spatial Development MOOC Massive Open Online Course BLO Federal Construction and Properties Service MSCA Marie Skłodowska-Curie Actions CDIP Committee on Development and Intellectual Property NAS New Accounting Standard CIGS solar cell Copper indium gallium selenide solar cell NCCS National Centre for Climate Services COPSS Award Committee of Presidents of Statistical Societies Award NCCR National Centre of Competence in Research CREM Centre de Recherches Energétiques et Municipales NEST Next Evolution in Sustainable Building Technologies CRPP Centre de Recherches en Physique des Plasmas NORMAN EU-funded project building a network of reference laboratories, CSCS Swiss National Supercomputing Centre research centres and related organisations to monitor emerging CTI Commission for Technology and Innovation environmental pollutants CWTS Centre for Science and Technology Studies NRP National Research Programme DETEC Federal Department of the Environment, Transport, PPP Public-Private Partnership Energy and Communications PPtop 10% Proportion top 10% publications DGNB German Sustainable Building Council QS Ranking Quacquarelli Symonds Ranking EAER Federal Department of Economic Affairs, Education and Research SERI State Secretariat for Education, Research and Innovation EnAW Energy Agency of the Swiss Private Sector SCCER Swiss Competence Centres for Energy Research, ERC European Research Council Schweizerische Kompetenzzentren für Energieforschung ESS European Spallation Source in Lund, Sweden SCNAT Swiss Academy of Sciences European XFEL European X-Ray Free-Electron Laser in Hamburg SDC Swiss Agency for Development and Cooperation FBL Federal Office for Buildings and Logistics SEC Singapore-ETH Centre for Global Environmental Sustainability FEDRO Federal Roads Office SECO State Secretariat for Economic Affairs FET Future and Emerging Technologies SED Swiss Seismological Service FHNW University of Applied Sciences and Arts Northwestern Switzerland SGNI Swiss Sustainable Building Council FOCP Federal Office for Civil Protection SHIS Swiss University Information System FOPH Federal Office of Public Health SIB Swiss Institute of Bioinformatics FOEN Federal Office for the Environment SINQ Swiss Spallation Neutron Source FONES Federal Office for National Economic Supply SIP Swiss Innovation Park (Innovationspark Schweiz) FPA Framework Partnership Agreement SLS Swiss Light Source FP EU Research Framework Programme for Research and Innovation SNSF Swiss National Science Foundation GII Global Innovation Index SPC Swiss Plasma Centre (formerly the Centre for Research GHG Greenhouse Gas Protocol in Plasma Physics, CRPP) HBP Human Brain Project STEM Science, technology, engineering and mathematics HEIG-VD Haute Ecole d’Ingénierie et de Gestion du Canton de Vaud SµS Swiss Muon Source HedA Federal Act on the Funding and Coordination SUC Swiss University Conference (Schweizerischer Hochschulkonferenz, SHK) of the Higher Education Sector SVGW Swiss Gas and Water Industry Association HES-SO University of Applied Sciences and Arts Western Switzerland SwissFEL X-ray Free Electron Laser HPCN High-Performance Computer and Networking Strategy SWO Foundation for the Economy and Ecology HSR University of Technology Rapperswil THE Ranking Times Higher Education Ranking IARU International Alliance of Research Universities TORQUEs Tiny, Open-with-Restrictions courses focused on Quality ICT Information and Communications Technology and Effectiveness IDSS Initiative for Data Science Switzerland TREASORES Transparent Electrodes for Large Area Large Scale Production (Initiative für Datenwissenschaft Schweiz) of Organic Optoelectronic Devices IPSAS International Public Sector Accounting Standards VILB Regulation concerning Real Estate Management and Logistics JTC Joint Transnational Calls within the Federal Administration KBOB Conference for the Coordination of Construction and Real Estate Services VSA Swiss Water Association KTT Knowledge and Technology Transfer WEF World Economic Forum LANL Los Alamos National Laboratory, USA WIPO World Intellectual Property Organization LIST Luxembourg Institute of Science and Technology WMRIF World Material Research Institutes Forum LNLL Lawrence Livermore National Laboratory, USA WoS Web of Science LWF Long-term Forest Ecosystem Research Programme WTZ Wyss Translational Centre Zurich MAS Master of Advanced Studies ZHAW Zurich University of Applied Sciences MBA Master of Business Administration

122 Publication data

Publisher ETH Board, Häldeliweg 15, CH-8092 Zurich

Project lead and editorial office: ETH Board Communication, Zurich Design and layout: phorbis Communications AG, Basel and Klarkom AG, Bern Reports: Barbara Vonarburg, Schlossrued and institutions of the ETH Domain Photography: Kellenberger Kaminski Photographie or as per image credits Translation and proofreading: comtexto AG, Zurich Printing: Kromer Print AG, Lenzburg Press date: 13 March 2017

The Annual Report is published in German, French and English. The German version of the annual financial statements shall be binding. The Annual Report is available electronically at www.ethboard.ch/annualreport2016.

Special thanks are due to the following people for their contributions and involvement: ——all scientists in the ETH Domain’s institutions for supporting the reports ——Dr Markus Stauffacher, member of the ETH Board ——all members of the ISP Group of the ETH Domain (Implementation of Strategic Planning) ——all members of the ETH Domain ComTeam (Heads of Communication) and their staff ——and the departmental Heads and employees of the ETH Board staff and of the institutions of the ETH Domain.

Annual Report 2016 on the ETH Domain 123 ETH Board Häldeliweg 15 8092 Zurich Switzerland Phone +41 (0) 44 632 23 67 Fax +41 (0) 44 632 11 90 www.ethboard.ch

Board of the Swiss Federal Institutes of Technology