Issues in Higher Education

Series EditorsGuy Neave

Saint-Germain-en-Laye, France

António M. MagalhãesFaculty of Psychology and Education Sciences

University of PortoPorto, Portugal

Issues in Higher Education is resolutely committed to advancing the comparative dimension in the study of higher education, actively encouraging original scholarship building on and out from the international and comparative perspectives. Particular preference will be given to studies of a given topic compared across a minimum of two national higher education systems.

More information about this series at http://www.palgrave.com/gp/series/14836

Sónia Cardoso Orlanda Tavares • Cristina Sin

Teresa CarvalhoEditors

Structural and Institutional

Transformations in Doctoral Education

Social, Political and Student Expectations

Issues in Higher EducationISBN 978-3-030-38045-8 ISBN 978-3-030-38046-5 (eBook)https://doi.org/10.1007/978-3-030-38046-5

© The Editor(s) (if applicable) and The Author(s), under exclusive licence to Springer Nature Switzerland AG 2020This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed.The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use.The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

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EditorsSónia CardosoAgency for Assessment and Accreditation of Higher Education (A3ES)Lisbon, Portugal

Centre for Research in Higher Education Policies (CIPES), Matosinhos, Portugal

Cristina SinAgency for Assessment and Accreditation of Higher Education (A3ES) Lisbon, Portugal

Centre for Research in Higher Education Policies (CIPES), Matosinhos, Portugal

Orlanda TavaresAgency for Assessment and Accreditation of Higher Education (A3ES) Lisbon, Portugal

Centre for Research in Higher Education Policies (CIPES) Matosinhos, Portugal

Teresa CarvalhoDepartment of Social, Political and Territorial Sciences, University of Aveiro Aveiro, Portugal

Centre for Research in Higher Education Policies (CIPES) Matosinhos, Portugal

v

This work has been funded under the project PTDC/CED- EDG/ 29726/2017, awarded by the Foundation for Science and Technology (FCT) in Portugal.

Acknowledgements

“Despite tremendous national differences in doctoral education, there seem to be common, simultaneous, international pressures for both the expansion of Ph.D. graduates, and the re-visioning of the degree itself. The essays in this thoughtful collection raise a broad range of insightful issues and critical perspec-tives on both the shifting role of the doctorate, and the need for, and possibili-ties, of, reform.”

—Glen A. Jones, Professor of Higher Education and Dean, Ontario Institute for Studies in Education, University of Toronto, Canada

Praise for Structural and Institutional Transformations in Doctoral Education

ix

Introduction 1Cristina Sin and Orlanda Tavares

Part I The Macro Level: Structural Transformations in Doctoral Education 11

Rethinking Doctoral Education: University Purposes, Academic Cultures, Mental Health and the Public Good 13Rosemary Deem

Governmental Innovation Policies, Globalisation, and Change in Doctoral Education Worldwide: Are Doctoral Programmes Converging? Trends and Tensions 43Maresi Nerad

Reforms of Doctoral Education in Europe and Diversification of Types 85Barbara M. Kehm

Contents

x Contents

Quality Assurance of Doctoral Education: Current Trends and Future Developments 105Sónia Cardoso, Maria J. Rosa, and Vera Miguéis

Part II The Meso Level: Institutional Readjustments 141

From the Medieval Disputation to the Graduate School 143Alberto Amaral and Teresa Carvalho

How Effective Are Doctoral Schools? Organisational Characteristics and Related Objectives 175Lukas Baschung

Leadership and Institutional Change in Doctoral Education in a Neoliberal Policy Context 203Ruth Neumann

Part III The Micro Level: Career Expectations and Employability of Doctoral Candidates 239

Views on the Usefulness of the PhD Outside Academia: What Do We Know and Need to Know? 241Lynn McAlpine

PhD Students’ Self-Perception of Skills Acquired During Their PhD and Plans for Their Postdoctoral Careers: A Joint Analysis of Doctoral Students at Three Flagship Universities in Asia 275Hugo Horta

Diversifying the Missions and Expectations of Doctoral Education: Are We Losing the Distinctive ‘Added Value’ of the PhD? 325Corina Balaban

xi Contents

Building Bridges Between Industry and Academia: What Is the Profile of an Industrial Doctorate Student? 347Orlanda Tavares, Cristina Sin, and Diana Soares

Conclusion: The Transformations in Doctoral Education—A Comprehensive and Critical Approach 375Teresa Carvalho and Sónia Cardoso

Index 391

xiii

Alberto Amaral is a professor at the University of Porto, Portugal, and a researcher at Centre for Research in Higher Education Policies (CIPES). He was the rector of the University of Porto from 1985 to 1998 and for-mer chair of Consortium of Higher Education Researchers (CHER). He is life-member of International Association of University Presidents (IAUP) and former member of the Board of Programme on Institutional Management in Higher Education/Organisation for Economic Co-operation and Development (IMHE/OECD). He is the chair of the administration council of the Portuguese Agency for Assessment and Accreditation of Higher Education (A3ES).

Corina Balaban is a research associate at the Manchester Institute of Innovation Research, The University of Manchester, UK. She has a back-ground in Education Studies and wrote her PhD thesis on models of doctoral education in the EU and the US. Her doctorate was part of the Marie Curie project Universities in the Knowledge Economy (UNIKE), a four-year collaborative research initiative exploring the dynamic rela-tionships between universities and knowledge economies in Europe and the Asia-Pacific Rim.

Lukas  Baschung is Professor of Public Management and Dean of the Bachelor programme of Business Administration at the University of Applied Sciences Western Switzerland/Haute école de gestion Arc, Switzerland. His

Notes on Contributors

xiv Notes on Contributors

PhD thesis focused on doctoral education’s reform in Switzerland and Norway with an analytical approach in the field of public management. From 2010 to 2016, he worked for the government of the canton of Vaud, within the Board of Higher Education, lastly as operational director.

Sónia Cardoso is a researcher at Agency for Assessment and Accreditation (A3ES) and CIPES.  Her main research interests are higher education policies; quality assurance; students and academics, especially their rela-tion with quality assurance; doctoral education; internationalisation; and graduates’ competences and employability. Her published work has appeared in higher education journals, and she has recently co- edited a book: European Higher Education and the Internal Market: Tensions Between European Policy and National Sovereignty (2018).

Teresa  Carvalho is an associate professor at the University of Aveiro, Portugal, and a senior researcher at CIPES. Her main research interests are higher education policies and the professionals’ roles in formulating and implementing public policies. Her published work has appeared in higher education journals. She has recently co-edited Global Challenges, National Initiatives, and Institutional Responses: The transformation of Higher Education (2016); and Professionalism, Managerialism and Reform in Higher Education and the Health Services: The European Welfare State and the Rise of the Knowledge Society (2015).

Rosemary Deem is a sociologist, Doctoral School Director, and Professor of Higher Education Management at Royal Holloway, University of London (UoL), Egham, UK. She has been a fellow at the UK Academy of Social Sciences since 2006. She has been the co-editor of Higher Education (Springer) since 2013. She was appointed Officer of the Order of the British Empire (OBE) for services to HE and social sciences in 2013. She is a member at the Peer Review College, European Science Foundation; and co-convenor at the Higher Education Network, European Educational Research Association. She has been chair at the UK Council for Graduate Education from 2015 to 2018. Her research interests include doctoral education, inequalities in HE, academic work, HE leadership, governance, management, and HE policy.

xv Notes on Contributors

Hugo  Horta is an assistant professor at the Faculty of Education, University of Hong Kong since September 2014. Before that, he worked in academia and as advisor to the Portuguese Secretary of State of the Ministry of Science, Technology, and Higher Education. He also served as the Portuguese National delegate to the European Research Area Steering Committee on Human Resources and Mobility until 2014. He is the coordinating editor of Higher Education, a leading journal of higher education studies, and sits in the editorial boards of several journals. His research focuses on academic research workforce development and knowledge production.

Barbara M. Kehm is a fellow at the Leibniz Research Center for Science and Society, University of Hannover, Germany. She was Professor of Higher Education Research at the University of Glasgow, UK; and from 2003 until 2011 Professor of Higher Education Research and Director of the International Centre for Higher Education Research (INCHER) at the University of Kassel, Germany. Her published work includes more than 30 books and almost 300 journal articles and book chapters on a variety of higher education-related topics. Her areas of expertise are inter-nationalisation, governance, and reforms of doctoral education.

Lynn McAlpine is Professor Emerita at the University of Oxford, UK, and McGill University, Canada. She is internationally recognised for her research conducted in Canada and Europe which examines how early career researchers engage in and learn to do research—further, how they navigate their careers both in and outside the academy. She receives fre-quent international invitations to do keynotes, presentations, and work-shops that explore the implications of her research both for policy and for pedagogy.

Vera Miguéis is an assistant professor in the Department of Industrial Engineering and Management at the Faculty of Engineering (MIEGI), University of Porto, Portugal. She has taught courses in operations research, data mining, statistics, and operations management. She is the external relations manager of MIEGI. She is also a researcher at Institute for Systems and Computer Engineering, Technology and Science (INESC TEC), and her research interests include data analytics and quantitative

xvi Notes on Contributors

methods to support the decision process. She has been mainly working on analytical customer relationship management and data mining. Her published papers have appeared in several international journals in Computer Science.

Maresi Nerad is the founding director of the Center for Innovation and Research in Graduate Education (CIRGE) and Professor Emerita for Higher Education, University of Washington, Seattle, USA. She received her doctorate from the University of California, Berkeley; and directed research on doctoral education at the Graduate Division of Berkeley, as Dean in Residence at the Council of Graduate Schools, D.C., and as Associate Dean of the UW central Graduate School. She serves on national and international review committees and advisory boards, holds interna-tional appointments and award, and has written and edited five books. Her numerous articles on doctoral education have been published.

Ruth Neumann is an honorary fellow at Macquarie University, Australia, where she was previously Associate Professor of Higher Education and Management. She has been a higher education researcher for over 35 years with a specific focus on higher education policy, management, and doctoral education with extensive publications in these areas. Early aca-demic appointments were at the University of Oxford and the University of Technology, Sydney. For several years she was Principal Advisor, Education and Training, with the Malaysian government.

Maria J. Rosa is an assistant professor at the Department of Economics, Management, Industrial Engineering, and Tourism at the University of Aveiro, Portugal, a senior researcher at CIPES, and a collaborator researcher at Research Unit on Governance, Competitiveness and Public Policies (GOVCOPP). Her main research topic is quality management, with a special focus on higher education systems and institutions. She has several publications on the subject, namely in different journals, and she has co-edited different books on the theme. She is a member of Consortium of Higher Education Researchers (CHER) and European Higher Eduaction Society (EAIR) (where she has been a member of the executive committee).

xvii Notes on Contributors

Cristina Sin is a researcher at the Portuguese Agency for Assessment and Accreditation (A3ES) and at CIPES. Her research interests are European higher education policies, the Bologna Process, and quality assurance/enhancement. She is a co-author of the book European Policy Implementation and Higher Education: Analysing the Bologna Process (2016). She has co-edited European Higher Education and the Internal Market: Tensions Between European Policy and National Sovereignty (2018).

Diana Soares holds a PhD in Educational Sciences. She is a professor at the Faculty of Education and Psychology, Universidade Católica Portuguesa, and a researcher in the Centre for Research in Higher Education Policies in Portugal. She also carries out research activities at the Centre for Studies in Human Development. She has participated in several research projects on policies and practices in higher and non- higher education, working as an expert consultant in the field of educa-tion. Her research interests include curriculum design and development, competency-based education, and pedagogical innovation. She is the author and co-author of several national and international publications.

Orlanda Tavares is a researcher at Agency for Assessment and Accreditation (A3ES) and CIPES. Her main interest areas are higher education policies, quality assurance/enhancement, and the student experience. Her published work has appeared in higher education journals, and she has co-edited two recent books: European Higher Education and the Internal Market: Tensions Between European Policy and National Sovereignty (2016) and Cross-Border Higher Education and Quality Assurance: Commerce, the Services Directive and Governing Higher Education (2015).

xix

A3ES Agency for Assessment and Accreditation of Higher EducationAAQ Swiss Agency for Accreditation and Quality AssuranceACAF Academy of FinlandANVUR Agenzia Nazionale di Valutazione del Sistema Universitario e

della RicercaAQ Agency for Quality Assurance and Accreditation in Higher

Education, AustriaARDE Accountable Research Environments for Doctoral Education

surveyARWU Academic Ranking of World UniversitiesASEAN Association of Southeast Asian NationsBIC Bayesian Inference CriterionBIGSSS Bremen International Graduate School of Social SciencesCIRGE Centre for Innovation and Research in Graduate EducationCOSEMPUP Committee on Science, Engineering, Medicine, and Public

PolicyCRUS Rectors’ Conference of the Swiss UniversitiesCUSO Conférence Universitaire de Suisse OccidentaleDAAD German Academic Exchange ServiceDC Doctoral CommitteeDDOGS Deans and Directors of Graduate StudiesDVCR Deputy Vice-Chancellor-ResearchEC European Commission

Abbreviations

xx Abbreviations

ECR Early career researchersECTS European Credit Transfer SystemEFA Exploratory Factor AnalysisEHEA European Higher Education AreaEID European Industrial DoctorateENQA European Association for Quality Assurance in Higher

EducationEQF European Qualifications FrameworkERA European Research AreaERC European Research CouncilESF European Science FoundationESG European Standards and GuidelinesESU European Students’ UnionEUA European University AssociationEUA-CDE Council for Doctoral Education of the European University

AssociationFCT Foundation for Science and TechnologyFG Focus groupsFINEEC Finnish Education Evaluation CentreFWF The Austrian Science FundHcéres High Council for Evaluation of Research and Higher Education,

FranceHE Higher EducationHEIs Higher Education InstitutionsHKU University of Hong KongIGERT Integrated Graduate Education Research Training aka

Integrative Graduate Education Research TraineeshipITN Innovative Training Network(s)KNAW Royal Netherlands Academy of Arts and Sciences, the

NetherlandsLERU League of European Research UniversitiesMARPs Multi-actor Research ProjectsMIUR Ministero dell'Istruzione dell'Università e della RicercaMOU Memorandums of understandingNCCR National Centres of Competence in ResearchNOKUT Norwegian Agency for Quality Assurance in EducationNPM New Public ManagementNQF National qualifications frameworks

xxi Abbreviations

NRT National Science Foundation Research Traineeship aka National Research Traineeship

NSF National Science FoundationNUS National University of SingaporeNVAO Accreditation Organisation of the Netherlands and FlandersNWO Netherlands Organisation for Scientific ResearchOECD Organisation for Economic Co-operation and DevelopmentPhD Doctor of PhilosophyPLACE Proprietary, Local, Authoritarian, Commissioned, and ExpertPREQ Postgraduate research experience questionnaireQA Quality AssuranceQAA Quality Assurance Agency for Higher Education in the UKQF–EHEA Qualifications frameworks in the European Higher Education

AreaQS Quacquarelli Symonds World University RankingsSEP Standard Evaluation Protocol, in NetherlandsSFI Swiss Finance InstituteSNF Swiss National Science FoundationSNU Seoul National UniversitySTEM Science, Technology, Engineering, and MathematicsTHE Times Higher Education World University RankingsVSNU Association of Universities in the NetherlandsUAS Universities of Applied SciencesUD University DeanUKÄ Higher Education Authority in SwedenUTE Universities of Teacher EducationZEvA Central Evaluation and Accreditation Agency in Lower Saxony,

Germany

xxiii

Governmental Innovation Policies, Globalisation, and Change in Doctoral Education Worldwide: Are Doctoral Programmes Converging? Trends and Tensions

Fig. 1 Increase in master’s degrees in China (1997–2017). (Source Minister of Higher Education of China, Data Digest 2019) 52

Fig. 2 Increase in doctoral degrees in China (1997–2017). (Source Minister of Higher Education of China, Data Digest 2019) 52

Fig. 3 Common quality assurance model in doctoral education 71

PhD Students’ Self-Perception of Skills Acquired During Their PhD and Plans for Their Postdoctoral Careers: A Joint Analysis of Doctoral Students at Three Flagship Universities in Asia

Fig. 1 Visualisation of the results of the TwoStep Clustering process based on the results of the factor analysis 284

List of Figures

xxv

List of Graphs

How Effective Are Doctoral Schools? Organisational Characteristics and Related Objectives

Graph 1 Number of applications to the LSZGS. (Source: Bachmann (2018)) 194

Graph 2 Evolution of the number of applicants, matriculations and students at PhD level at EPFL. (Sources: EPFL 2011–2018 (for applicants and matriculations); Swiss Federal Statistical Office; www.bfs.admin.ch (for students)) 195

Graph 3 SFI doctoral graduates’ placement on the labour market. (Sources: SFI (2008–2018)) 197

xxvii

Governmental Innovation Policies, Globalisation, and Change in Doctoral Education Worldwide: Are Doctoral Programmes Converging? Trends and Tensions

Table 1 Increase in PhD production 1991–2014 51Table 2 Comparison of three flagship doctoral programmes 73

Quality Assurance of Doctoral Education: Current Trends and Future Developments

Table 1 Main features of external QA of doctoral education in selected European countries 115

How Effective Are Doctoral Schools? Organisational Characteristics and Related Objectives

Table 1 Offer of doctoral schools and degree of use 183Table 2 Number of doctoral students 185Table 3 Objective 3—create good career perspectives 187Table 4 Objective 4—improve the quality of the PhD 188Table 5 Objective 4—improve the quality of the PhD 188Table 6 Objectives mentioned by interviewees and activities carried out

by doctoral school 190

List of Tables

xxviii List of Tables

Table 7 Organisational characteristics and their evaluation regarding potential effectiveness by doctoral school 193

Leadership and Institutional Change in Doctoral Education in a Neoliberal Policy Context

Table 1 Research overview 209Table 2 Key stages and markers in the institutional change process 219

Views on the Usefulness of the PhD Outside Academia: What Do We Know and Need to Know?

Table 1 Intersection of individual and structural elements for Serena (adapted from McAlpine & Amundsen, 2018; see also Appendix A) 260

PhD Students’ Self-Perception of Skills Acquired During Their PhD and Plans for Their Postdoctoral Careers: A Joint Analysis of Doctoral Students at Three Flagship Universities in Asia

Table 1 Meaning of the basic skills 281Table 2 Factor analysis results 283Table 3 Results of the TwoStep Clustering process based on results of

the factor analysis 284Table 4 Skill clusters and preferences for careers outside versus inside

academia 288Table 5 Self-perceived aggregate skills and preferences for careers

outside versus inside academia 292Table 6 Skill clusters and preferences for careers outside versus inside

academia for students in STEM fields 298Table 7 Self-perceived aggregate skills and preferences for careers

outside versus inside academia for students in STEM fields 303Table 8 Skill clusters and preferences for careers outside versus inside

academia for students in non-STEM fields 307Table 9 Self-perceived aggregate skills and preferences for careers

outside academia versus career in academia for students in non-STEM fields 311

xxix List of Tables

Diversifying the Missions and Expectations of Doctoral Education: Are We Losing the Distinctive ‘Added Value’ of the PhD?

Table 1 Participants in the study 330

Building Bridges Between Industry and Academia: What Is the Profile of an Industrial Doctorate Student?

Table 1 Participant characteristics 359