eua public salzburg ii ly8 final

8/8/2019 EUA Public Salzburg II LY8 Final

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Salzburg ii

rEcommEndationSEuroPEan univErSitiES’ aciEvEmEntS

SincE 2005 in imPlEmEnting

tE Salzburg PrinciPlES



Copyright © 2010 by the European University Association

All rights reserved. This information may be freely used andcopied for non-commercial purposes, provided that the sourceis acknowledged (© European University Association).

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A free electronic version of this publication is available throughwww.eua.be

ISBN: 9789078997221



In 2005, the Salzburg Principles were established in the BolognaProcess as the basis of the reforms for doctoral education. Inthe half decade that has passed since then, Europe’s universitieshave carried out wide-ranging reforms in this area, mostnotably by establishing doctoral schools.1 The achievementsand experiences of Europe’s universities afrm and enrich theoriginal principles.

The recommendations, including a series of clues to success

and obstacles to clear, have three over-arching messages:

First of all, doctoral education has a particular place in theEuropean Research Area and the European Higher Education

Area. It rests on the practice of research, which makes it fundamentally different from the rst and second cycles.

Secondly, doctoral candidates must be allowed independenceand exibility to grow and develop. Doctoral education is highlyindividual and by denition original. The path of progress of theindividual is unique, in terms of the research project as well as interms of the individual professional development.

Lastly, doctoral education must be developed by autonomousand accountable institutions taking responsibility to cultivatethe research mindset. Institutions need flexible regulationto create special structures and instruments and continueadvancing European doctoral education.

These recommendations are meant as a set of guidelines for adiverse landscape of doctoral schools and programmes, rather than a standardised checklist.

E n r i c i n g tE S a l z bu rg Pr i n c i P l E S

The knowledge society requires the creativity and exibility of the research mindset for a number of different functions andcareers, also beyond those directly related to research. Thedoctorate has increasingly achieved recognition as a key partof this process.

For this reason, reform of doctoral education has been centralto both the European Research Area and the European Higher Education Area over the past few years. The reforms are vital

for the sustainable development of Europe and essential for theglobal research community. Indeed, Europe is emerging as a

global leader in reforming doctoral education.

The Salzburg Principles (2005) represented a key milestonein the reform process of doctoral education in Europe, asthey drew new common directions from the diverse reformsongoing at that time in European countries.

Half a decade after the Salzburg Principles, the Europeanlandscape of doctoral education has changed profoundly. Theadaptation and implementation of the principles have beendriven by Europe’s universities themselves, and they haveattained great expertise and experience through this process.

The achievements of Europe’s universities, in their very differentcontexts, have proven the validity of the Salzburg Principles as a

foundation for continuous improvement of doctoral education.They have accumulated experience and developed promisingpractices, which afrm and enrich these Principles.

The following recommendations are the outcome of the SalzburgII initiative, an intensive consultation with the members of theEUA Council for Doctoral Education (EUA-CDE), the largestand most comprehensive organisation concerning doctoraleducation in Europe. The outcomes of the consultations werediscussed by the more than 220 participants at the AnnualMeeting of the EUA-CDE at the Free University of Berlin in June2010, representing 165 institutions from 36 countries.

The recommendations build on the original Salzburg Principles;they afrm the validity of the basic principles and give themadditional, concrete content.

The recommendations are to be read as three differentcategories. The rst category cements the basis of the doctorateas based on the practice of an original research project andthereby different from the rst and the second cycles. Thesecond and largest category consists of recommendations for the concrete improvement of doctoral education, aimed atuniversities as well as at those providing the legal frameworks

for doctoral education. The third category is aimed mostly atnon-university stakeholders such as political decision makersand funding organisations, and they involve issues such as theinstitutional autonomy and sustainable funding of doctoralschools.

ExEcut ivE Summary

1 Throughout this document, the term ’doctoral school’ is used as a generic term to include graduate and research schools



1. rESEar c aS t E baSi S and t E dif fErEnc E

In line with the rst Salzburg Principle, the goal of doctoraleducation is to cultivate the research mindset, to nurture

exibility of thought, creativity and intellectual autonomythrough an original, concrete research project. It is the practiceof research that creates this mindset.

Doctoral research takes place in a research environment withdoctoral candidates as fellow researchers; this demands thatinstitutions base their strategies for doctoral education on their

research capacity, critical mass, diversity, and ability to createinclusive environments that will make doctoral candidatesactive participants in the on-going research.

It is hence essential that the development of doctoral educationshould follow its own path and not use the same tools as the

rst and second cycles.

The meaning of structureStructuring doctoral education is to create a supportiveenvironment. Setting up structures means taking institutionalresponsibility for training through research, as dened in thesecond Salzburg Principle. Doctoral education is an individualjourney, and structures must give support to individualdevelopment, and not produce uniformity or predictability. Thegoals of structuring doctoral education must be to assure diverseand inclusive research environments of a high quality as the basisof doctoral education. This includes critical mass, transparentadmission procedures and high quality of supervision.

Structuring doctoral education also means achieving exiblestructures to expose early stage researchers to a wide range of opportunities, ensuring personal and professional developmentand to provide institutional support for career developmentand mobility. Taught courses are to be seen as a support tothe individual professional development of doctoral candidates;they are not central to the meaning of structure.

i. The core component o doctoral training is theadvancement o knowledge through originalresearch. At the same time it is recognised that doctoraltraining must increasingly meet the needs of anemployment market that is wider than academia.

ii. Embedding in institutional strategies and policies:universities as institutions need to assume responsibility

for ensuring that the doctoral programmes and researchtraining they offer are designed to meet new challengesand include appropriate professional career developmentopportunities.

iii. The importance o diversity: the rich diversity of doctoral programmes in Europe – including jointdoctorates – is a strength which has to be underpinnedby quality and sound practice.

iv. Doctoral candidates as early stage researchers: shouldbe recognized as professionals – with commensuraterights – who make a key contribution to the creation of new knowledge.

v. The crucial role o supervision and assessment: in

respect of individual doctoral candidates, arrangements for supervision and assessment should be basedon a transparent contractual framework of sharedresponsibilities between doctoral candidates, supervisorsand the institution (and where appropriate includingother partners).

vi. Achieving critical mass: Doctoral programmes shouldseek to achieve critical mass and should draw ondifferent types of innovative practice being introduced inuniversities across Europe, bearing in mind that differentsolutions may be appropriate to different contexts and in

particular across larger and smaller European countries.These range from graduate schools in major universitiesto international, national and regional collaborationbetween universities.

vii. Duration: doctoral programmes should operate withinan appropriate time duration (three to four years full-time as a rule).

viii.The promotion o innovative structures: to meetthe challenge of interdisciplinary training and thedevelopment of transferable skills.

ix. Increasing mobility: Doctoral programmes should seekto offer geographical as well as interdisciplinary andintersectoral mobility and international collaborationwithin an integrated framework of cooperation betweenuniversities and other partners.

x. Ensuring appropriate unding: the developmentof quality doctoral programmes and the successfulcompletion by doctoral candidates requires appropriateand sustainable funding

Conclusions and Recommendations from the Bologna Seminar on“Doctoral Programmes for the European Knowledge Society”

(Salzburg, 3-5 February 2005)



When establishing structures, the importance of diversity asstressed in the third Salzburg Principle is crucial. Many differentstructures and diverse strategies will enrich doctoral educationin Europe.

Structures should be developed at the appropriate level of governance and not be imposed on or within the institution. It isessential that academic staff takes responsibility and ownershipof these structures through inclusive procedures.

2. cluES for SuccESS

2.1. Critical mass and critical diversityDoctoral education is dependent on the research environment.Institutions must develop a critical mass and diversity o research in order to offer high quality doctoral education.Critical mass does not necessarily mean a large number of researchers, but rather the quality of the research. In line with thesixth Salzburg Principle, Europe’s universities have developeddiverse strategies to assure critical mass and diversity, buildingtheir areas of strength through focused research strategies andengaging in larger research networks, collaborations or regionalclusters.

2.2. Recruitment, admission and statusStructured programmes should develop recruitmentstrategies that correspond to their particular mission andprofle. Recruitment strategies should be connected to explicit

outcomes, identifying clear proles of the candidates wanted.Such proles should build on the parity of esteem of a rangeof different qualities and ensure equality of opportunity. Inthis manner, recruitment policies could take into accountcriteria such as international recruitment, gender equality,social background or different age groups. Recruitmentshould value the research potential o the candidates overpast perormance and above all the candidates’ potentialto succeed in the programme to which they are beingadmitted.

Admission to a doctoral programme is an institutionalresponsibility, which must include the strong involvement of research staff. Admissions policies must be transparent andaccountable and should reect the research, supervisory and

nancial capacity of the institution. Admissions policies shouldalso provide the appropriate exibility in the choice of supervisor.Transparency and accountability will be strengthened by havinga single, identifable place to apply, at least at programme

level. Admissions should be based on a well-defned, publicset o criteria. Institutions should accept risk in admittingdoctoral candidates and allow them to demonstrate their potential through a monitoring system.

Doctoral candidates should be recognised as early stageresearchers with commensurate rights and duties. Regardlessof legal status, they are to be seen and treated as professionalsas stated in the fourth Salzburg Principle.

2.3. Supervision As stressed in the fth Salzburg Principle, supervision playsa crucial role. Supervision must be a collective eort withclearly defined and written responsibilities of the mainsupervisor, supervisory team, doctoral candidate, doctoralschool, research group and the institution, leaving room for the

individual development of the doctoral candidate. Providingproessional development to supervisors is an institutionalresponsibility, whether organised through formal training or informal sharing of experiences among staff. Developing acommon supervision culture shared by supervisors, doctoralschool leaders and doctoral candidates must be a priority for doctoral schools. Supervisors must be active researchers.

2.4. OutcomesThe main outcome o doctoral education are the earlystage researchers and their contribution to society throughknowledge, competences and skills learnt by undertakingresearch, as well as awareness and openness towards other disciplines. The outcome of their research must testiy to theoriginality o the research and be suitable or disseminationwithin the scientifc community.

2.5. Career developmentCareer support or doctoral candidates must take into

account individual goals and motivations and acknowledgethe wide range o careers or doctorate holders.

While the doctoral candidate is responsible for their career choices given the situation on the labour market, it is theinstitution’s responsibility to provide support structures orproessional development. Oering training in transerableskills, including understanding the ethics o research,is central, and should be a priority for doctoral schools andprogrammes. Professional development of doctoral candidatesincludes awareness about skills attained through doingresearch as well as of the wide range of career choices for doctorate holders. Building ties to the other sectors contributesto bridging the communication gap with potential employersand recruiters.

2.6. Credits Applying the credit system developed for cohorts of studentsin the rst and second cycles is not a necessary precondition

or establishing successul doctoral programmes. Someuniversities consider credits useful for the taught componentsof doctoral education, especially in cross-institutional (joint)doctoral programmes. Credits, however, do not make sense



when measuring the research component or its associateddissemination outputs. Applied wrongly, rigid creditrequirements can be detrimental to the development of independent research professionals. High quality doctoraleducation needs a stimulating research environment driven byresearch enthusiasm, curiosity and creativity, not motivated bythe collection of credits.

2.7. Quality and accountabilityIt is necessary to develop specifc systems or quality assurancein doctoral education based on the diverse institutional

missions and, crucially, linked to the institutional researchstrategy. For this reason, there is a strong link between theassessment of the research of the institution and the assessmentof the research environments that form the basis of doctoraleducation. Assessment of the academic quality o doctoraleducation should be based on peer review and be sensitiveto disciplinary differences.

In order to be accountable for the quality of doctoralprogrammes, institutions should develop indicators basedon institutional priorities such as individual progression,net research time, completion rate, transferable skills, career tracking and dissemination of research results for earlystage researchers, taking into consideration the professionaldevelopment of the researcher as well as the progress of theresearch project.

2.8. InternationalisationInternationalisation strategies should be a tool in increasing

the quality in doctoral education and in developinginstitutional research capacity. Internationalisation indoctoral education is understood and interpreted in differentways, ranking rom internationalisation at home (using theinternational prole of the home institution such as internationaldoctoral candidates, staff, events and guest researchers),collaborative doctoral programmes (with individualmobility – such as co-tutelle) to international joint doctoralprogrammes (joint, integrated curricula, joint committees andjuries, and the joint degree). As stressed in the ninth SalzburgPrinciple, doctoral education should include the possibility for mobility experiences. The choice among these different modelsof internationalisation must be coherent with the researchstrategy of the institution and the individual needs of thedoctoral candidate. The mobility o doctoral candidates mustbe driven by the research project.

The growth of doctoral schools in Europe has been extremelyimpressive. Much has been done to implement reforms andto continuously develop doctoral education. Universities haveproved that they have the will and the expertise to carry outa thorough modernisation of doctoral education, but they stillencounter obstacles to their ambitions.

3.1. FundingThe tenth and nal Salzburg Principle underlines the importance

of sustainable funding. Universities as well as doctoralcandidates are still underfunded. High quality doctoraleducation requires adequate, sustainable and doctorate-specifc unding opportunities.

Making a structured programme a success requires morethan funding for grants or salaries for doctoral candidatesand research equipment. Strategic leadership, supportingstructures and career development all need resources. Thesame goes for the management of the physical space wherethe programmes are located. Experiments with new types of research environments, open ofces, retreats or similar haveproven effective in creating inclusive research communities.Governments and funding organisations should be aware of these needs in their initiatives for doctoral education.

Giving doctoral schools and programmes the sustainableinancial means to recruit candidates would improve thecompetitiveness of European doctoral education. Letting

high quality doctoral schools administer resources for grantsand salaries will strengthen the capacity of doctoral schoolsto engage in flexible recruitment strategies to attract thebest candidates for their profile. Funding schemes thataim at increasing the number of doctoral candidatesshould take into account the quality and capacity o theprogrammes.

3.2. AutonomyInstitutions need autonomy to be able to establish, and beaccountable for, diverse structures with different researchstrategies and strengths. The use of specic tools must bedecided autonomously within the institution in accordancewith the prole of the doctoral programme and the needs of the doctoral candidate.

3.3. Legal frameworkThe national and European legal frameworks must giveinstitutions the possibility to engage in innovative doctoral

programmes and take the necessary institutional responsibilities. Institutions must be able to develop their systems for qualityassurance and enhancement independently within their national frameworks. They must have the reedom to develop

3. clEaring tE obStaclES



their own indicators or quality that correspond with thestandards of the individual disciplines as well as with the overallinstitutional strategy.

National legislation governing joint or dual degrees shouldbe reviewed to acilitate international collaborations. Theaim should be to create a greater degree of coherence andtransparency on the requirements for setting up programmeswith joint or dual degrees.

3.4. Intersectoral collaboration

All stakeholders should engage in measures to acilitate co-operation between providers o doctoral education and thenon-academic sectors to the mutual beneft o all partners. It is essential to create awareness about the qualitieso doctorate holders as well as to build trust betweenuniversities and other sectors. Such trust is, or example,built on ormalised but lexible research and researchtraining collaboration between industry and highereducation institutions, including joint research projects,industrial doctorates or similar schemes.



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-CDEEUA Council for Doctoral Education

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