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Bologna-Office 3rd Forum European Higher Education

Area Vienna, 19 September 2007

READER

3rd Forum European Higher Education Area Area Vienna, 19 September 2007

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INTRODUCTION

This Reader has been prepared for the 3rd Forum European Higher Education Area organised by the

Bologna-Office of the University of Vienna. It compiles extracts of the most important documents on

the nature and design of doctoral studies adopted at both national and European level. Starting with

the most up-to-date documents, the Reader covers the period from the Berlin Communiqué in 2003,

when the third cycle was first addressed in the Bologna context, to the most recent Ministerial

Communiqué adopted in London in May, 2007. It furthermore contains a short overview of the main

regulations on doctoral studies as stipulated by Austrian law.

All original documents can be found on our website http://bologna.univie.ac.at/. Alternatively you

may also follow the links provided throughout the document or listed at the end of the Reader.


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TABLE OF CONTENTS

“Towards the European Higher Education Area: responding to challenges in a

globalised world”

Communiqué of the Conference of European Ministers Responsible for Higher Education,

London, 18 May 2007

p. 3

“Conclusions of the EUA Report on Doctoral Programmes”

EUA, March 2007

p.4

“Doctoral Programmes in Europe”

BFUG Report, Brussels, 20 January 2007

p. 7

“Matching Ambition with Responsibilities and Resources”

Final Conclusions - Preparing Recommendations for the London Communiqué, Bologna

Seminar on Doctoral Programmes, Nice, 7-9 December 2006

p. 17

„Stellungnahme der Österreichischen Rektorenkonferenz zur internationalen

Diskussion über verschiedene Doktoratsformen“

20. November 2006 (GERMAN)

p. 24

“Doctoral Programmes for the European Knowledge Society”

Report on the EUA Doctoral Programmes Project 2004-2005

p. 27

“The European Higher Education Area - Achieving the Goals”

Communiqué of the Conference of European Ministers Responsible for Higher Education,

Bergen, 19-20 May 2005

p. 31

“Conclusions and Recommendations”

Bologna Seminar on “Doctoral Programmes for the European Knowledge Society”, Salzburg,

3-5 February 2005

p. 32

„Das Doktoratsstudium in Österreich. Nationale Positionierung im Kontext

europäischer Entwicklungen“

Gemeinsames Positionspapier des bm:bwk und der ÖRK, Wien, Jänner 2005 (GERMAN)

p. 34

“Realising the European Higher Education Area”

Communiqué of the Conference of Ministers responsible for Higher Education, Berlin, 19

September 2003

p. 37

Austrian law concerning the third cycle (GERMAN) p. 38


“Towards the European Higher Education Area: responding to challenges in a globalised world”

Communiqué of the Conference of European Ministers Responsible for Higher Education, London, 18 May 2007

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“Towards the European Higher Education Area: responding to challenges in a globalised world” Communiqué of the Conference of European Ministers Responsible for Higher Education, London, 18 May 2007 http://www.ond.vlaanderen.be/hogeronderwijs/bologna/documents/

Doctoral candidates

2.15 Closer alignment of the EHEA with the European Research Area (ERA) remains an important

objective. We recognise the value of developing and maintaining a wide variety of doctoral

programmes linked to the overarching qualifications framework for the EHEA, whilst avoiding

overregulation. At the same time, we appreciate that enhancing provision in the third cycle and

improving the status, career prospects and funding for early stage researchers are essential

preconditions for meeting Europe’s objectives of strengthening research capacity and improving the

quality and competitiveness of European higher education.

2.16 We therefore invite our HEIs to reinforce their efforts to embed doctoral programmes in

institutional strategies and policies, and to develop appropriate career paths and opportunities for

doctoral candidates and early stage researchers.

2.17 We invite EUA to continue to support the sharing of experience among HEIs on the range of

innovative doctoral programmes that are emerging across Europe as well as on other crucial issues

such as transparent access arrangements, supervision and assessment procedures, the development of

transferable skills and ways of enhancing employability. We will look for appropriate opportunities to

encourage greater exchange of information on funding and other issues between our Governments as

well as with other research funding bodies.



EUA, March 2007

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“Conclusions of the EUA Report on Doctoral Programmes” EUA, March 2007 http://www.eua.be/index.php?id=128

The Bergen Ministerial Communiqué (May 2005) gave a mandate to the European University Association to prepare a report on the further development of doctoral programmes to be presented to Ministers in 2007. 1. EUA’s 10 Salzburg Principles on Doctoral Programmes (February 2005) that provided the basis for

the Bergen Communiqué text have proved invaluable in setting the scene for the discussions of the last

two years and should continue to provide the broad framework for discussion of doctoral programmes

in Europe.

2. The provision of high quality doctoral programmes and better career opportunities for young

researchers is an essential precondition in meeting Europe’s objectives in terms of strengthening

research capacity and improving the quality and competitiveness of European higher education

internationally. It is therefore crucial for governments and universities to support the further

development of structured doctoral programmes and to seek to improve the status, career prospects

and funding of early stage researchers. As doctoral programmes constitute the key link between the

European Higher Education and Research Areas this requires the attention of both Ministers of Higher

Education working together in the Bologna Process and the necessary coordination with other

responsible Ministries and government agencies at national and European level.

3. The unique character of the third cycle driven by its core component, the advancement of knowledge

through research, needs to be recognized within the Bologna process; at the same time the

implementation of the three Bologna cycles should be seen as a whole, and the inclusion of a research

component as well as of transferable skills development ensured also in the first and second cycles.

4. Universities accept their responsibility for embedding doctoral programmes in institutional

strategies and policies. This involves establishing the appropriate organisational structures in the form

of doctoral, research or graduate schools with effective administration, leadership, and specific

funding that will promote high quality, internationally oriented and networked doctoral programmes.

5. A range of innovative doctoral programmes are emerging across Europe in response to the demands

of a rapidly evolving labour market. These include programmes known as “professional doctorates“, or

practice related doctorates, that focus on embedding research in a reflective manner into another

professional practice, increased university-industry cooperation and more European and international

cooperation. These are new developments for most countries and universities across Europe. Further

discussion of these developments is needed, as well as continued exchange of experience among

universities on questions such as supervision and assessment procedures and the development of

transferable skills.

6. Together with public authorities and other partners at national and European level universities

share a responsibility for creating the appropriate career paths and opportunities for doctoral



EUA, March 2007

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candidates and early stage researchers. This involves providing the appropriate working conditions,

rights and career prospects for young researchers, both in academia and in a range of other sectors.

7. Based upon an EUA survey of doctoral programmes to which 36 BFUG governments responded

attention is drawn to the role of governments and other competent authorities in ensuring that:

• funding for doctoral candidates is stable, covers the full period of the doctoral programme, and

provides sufficient means to live and work in decent conditions;

• funding is sufficiently attractive to encourage suitably-qualified candidates from lower income

groups, as well as sufficiently flexible to support the needs of part time students over a longer

period of study.

8. The EUA survey of national situations with BFUG countries also demonstrates a great diversity in

existing funding channels, mechanisms and modes. As with organizational types, it is to be expected

that diversity in funding sources, channels, mechanisms and modes will become an irreversible trend.

Thus, in order to create a shared vision of doctoral education within the European Higher Education

Area that is attractive and competitive on a global scale:

• more information on funding mechanisms and funding levels of doctoral candidates and

doctoral programmes/schools must be made available;

• increased consultation and co-ordination among the diverse modes and funding bodies

(government ministries, funding councils and other funding bodies) at regional, national and

European level will be increasingly important to ensure optimum funding for the candidate,

and overall quality in doctoral education and training.

9. The European University Association is committed to continuing this debate with its member

universities and other partners, and to providing the necessary support to its members, in particular

through the establishment of a permanent framework for the further development, cooperation and

exchange of good practice between doctoral programmes and doctoral schools across Europe’s

universities.


“Doctoral Programmes in Europe” BFUG Report, Brussels, 20 January 2007

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“Doctoral Programmes in Europe” BFUG Report, Brussels, 20 January 2007 http://bologna.univie.ac.at/index.php?id=16256

IV. The Role of Universities

Universities have the main responsibility for the development of high quality doctoral programmes.

Providing training in and through research is one of their core tasks, both to prepare young

researchers for careers in academia but also increasingly to be able to play a significant role in other

areas of society, be it in the public sector or other research agencies, in industry, commerce or the

service sector. This requires autonomous institutions able to act responsibly, and develop and

implement institutional strategies for doctoral programmes in a number of different areas.

1. Embedding in institutional strategies and policies: organisational structures

One of the key questions being debated in institutions across Europe, and much discussed during the

present project (cf Annex 3) relates to the choice of structures within the institution best suited to

providing high quality programmes. Organisational structures chosen must demonstrate added value

for the institution and for doctoral candidates, in particular in seeking to counteract the isolation of the

early stage researcher from other disciplines, or from the larger peer group, or the larger scientific

community; to improve transparency, quality, and admission and assessment procedures; create

synergies regarding transferable skills development.

Different solutions may be appropriate to different contexts and the choice of structure is a matter for

each institution, based upon the specific institutional aims which these structures are supposed to

meet.

• Recent developments and an analysis of practice across Europe points to the emergence of

doctoral / graduate/ or research schools. The EUA TRENDS V Report (2006) 3 reports

that 30% of European higher education institutions surveyed say they have now established

some kind of doctoral, graduate or research school. This question was also asked in the survey

of Bologna Process member countries carried out specifically for this project4. Out of the 36

countries that responded, 16 countries reported that their institutions have introduced

doctoral, graduate or research schools, alongside existing models such as traditional individual

training or ‘stand alone’ structured doctoral programmes (Table 1).

The responses thus show an increasing trend towards the development of structured programmes and

doctoral/ graduate/ or research schools in addition to individual training. However, a mix of different

organisational types seems to be common practice in most countries. This reflects the need to achieve

a critical mass of doctoral candidates in many cases, but also the existence of disciplinary differences

that need to be taken into consideration in the organisation of doctoral training. (…)

A doctoral, or graduate, or research school is an independent organisational unit with effective

administration, strong leadership and specific funding supporting this structure.



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An analysis of trends across Europe shows two main organisational models emerging as vehicles for

promoting high quality, internationally oriented and networked doctoral/research/graduate schools:

• Graduate school – an organisational structure that includes doctoral candidates and often also

Master students. It provides administrative, development and transferable skills development

support, organises admission, courses and seminars, and takes responsibility for quality

assurance.

• Doctoral/ Research school – an organisational structure that includes only doctoral students.

It may be organised around a particular discipline, research theme or a cross-disciplinary

research area and/ or it is focused on creating a research group/ network and is project-

driven. It may involve one institution or several institutions and organise co-operation among

them.

These models are not mutually exclusive and often have shared characteristics. Countries or

institutions may adopt both models within their systems and/or structures.

The advantages and added value of doctoral/ graduate/ research schools may be summarised as

follows:

- Define a mission or vision shared by all partners that facilitates the process of turning doctoral

candidates into excellent researchers

- Provide a stimulating research environment and promote cooperation across disciplines

- Provide a clear administrative structure for doctoral programmes, candidates and supervisors, and

offering a clear profile and status for doctoral candidates

- Ensure critical mass and help to overcome the isolation of young researchers

- Bring junior and senior researchers together

- Support and facilitate the task of supervising candidates and the role of supervisors

- Organise admission with transparent rules and regulations

- Provide teaching and transferable skills training

- Provide enhanced career development opportunities, including advice on funding opportunities

(scholarships, projects)

- Guarantee quality assurance and monitoring

- Provide a framework allowing the development of codes of practice, procedures and mechanisms

within the university structure and act as a an independent arbitrator or ombudsman where necessary

- Enhance opportunities for mobility, international collaboration and inter-institutional cooperation

2. Access and Admissions

In a fast-changing environment, it is essential to maintain flexibility in admissions to doctoral

programmes, and full institutional autonomy: diversity of institutional missions and context, and the

growing importance of lifelong learning mean that there are good reasons for different access

requirements in different institutions and for different programmes provided fairness, transparency

and objectivity is ensured.

The Bologna commitment that the second cycle gives access (= right to be considered for admission) to

the third cycle should be maintained, but access to the third cycle should not be restricted to this route.



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Higher Education Institutions need to pay greater attention to the social dimension of the third cycle.

Equality of access to the third cycle is a major concern, whether inequality derives from gender,

ethnicity, social or other disadvantage.

3. Supervision and assessment

The question of supervision, monitoring and assessment of doctoral researchers has been a major

topic of discussion for universities in the course of this project. Already an important issue in 2005,

and included in the Salzburg principles, it is crucial that discussion continues, and that universities are

encouraged and supported in the development and dissemination of good practices in the

management of research degrees. Not only recent debates but also the publication of several national

evaluation reports shows that there is a great need to develop new supervision practices in doctoral

training.

Arrangements need to be developed based upon a transparent contractual framework of shared

responsibilities between doctoral candidates, supervisors and the institution, and, where appropriate

other partners as mentioned in the Salzburg Principles. Attention should be paid in particular to

ensuring: multiple supervision arrangements, the continuous professional skills development of

academic staff, and performance reviews of supervisors. Multiple supervision arrangements should be

encouraged also at international level through tutoring and co-tutoring by supervisors from academic

and research institutions in different European countries.

The importance of ensuring good supervision needs to be properly recognised as a task of staff

supervising doctoral candidates, should be included in their workload and task descriptions, and thus

also taken into consideration in academic career structures and decisions on promotion. Some

universities report that it is useful to develop workload models to ensure that a supervisor dedicates

enough time in support of each doctoral candidate.

As doctoral programmes change in response to changes in the labour market, thus also the role of the

supervisor. This has led to a growing awareness of the importance of ensuring professional skills

development for supervisors. This discussion is, however, in its early stages and has not yet begun in

many European countries. The UK successfully introduced professional skills development of

supervisors in 2004 on the basis of a Code of Practice developed specifically for research programmes

by the UK Quality Assurance Agency. Such training is usually organised in an informal way, as one-

day-out meetings, based on case studies, discussions, sharing of good practices and experience.

Innovative ways of motivating supervisors to introduce effective and high quality practices of

supervision also include practices such as annual awards/incentives for the best supervisors.

The final stage of the doctorate, i.e. the assessment of the thesis, is crucial, and assessment procedures

should be based on objective and transparent criteria. Due recognition should be given to the original

research contribution made by the doctoral candidate. Assessment should be done by an expert

university committee with external representation, preferably chosen at international level. The impact

of the supervisor on the outcome of the process should be limited. This does not preclude participation

of the supervisor in the examining body, especially when this is a large body, or when the thesis

defence is public. Models of organisation of the assessment of the thesis and the composition of the



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committee differ significantly from country to country and further discussion at European level is

needed.

4. Transferable skills development

Transferable skills development should be an integral part of first, second and third cycle programmes.

The main goal at the level of the third cycle should be to raise awareness among doctoral candidates of

the importance of both recognising and enhancing the skills that they develop and acquire through

research, as a means of improving their employment prospects both in academia and on the wider

labour market.

Courses should be offered in the context of whatever overarching institutional support structures are

in place at doctoral level. Training can be organised in different ways ranging from traditional courses

and lectures to more student-centered methods, especially through learning by doing at institutional,

inter-institutional and international summer schools or through specialised institutional or inter-

institutional support and personal development centres, as offered in the UK by the UK GRAD

programmes and the UK Council on Graduate Education. An important element of transferable skills

development is bringing together doctoral candidates from different disciplines and different levels (1-

3 year) to encourage interdisciplinary dialogue and foster creative thinking and innovation.

Ensuring that adequate funding is devoted to transferable skills development is crucial. It is likewise

important to ensure that reference to transferable skills development is embedded in institutional

quality assessment procedures. Academic staff involved in skills development should include both

academics that are active in research and understand the need to teach other skills, and external

consultants (e.g. industry, companies). Teaching transferable skills should be recognised in evaluation

and promotion of academic staff involved.

5. Duration

Full time doctoral programmes are usually of 3 – 4 years´ duration. Part time studies take longer. In

most countries time to degree (TTD) tends to be longer than the average duration of funding for

doctoral candidates and programmes. This is an important issue in relation to the funding of doctoral

programmes. It will become increasing important for universities to monitor carefully the

development of time to degree for doctoral candidates. Experience in North America suggests that this

can be done most successfully within the graduate or research school structure.

6. Researcher careers

Universities, together with public authorities in Europe, share a collective responsibility for promoting

attractive research careers and career perspectives for doctoral and postdoctoral researchers (cf also

Section….). This should be done in collaboration with partners outside academia in order to facilitate

the development of clear career paths inside and outside academia, and between academia and other

sectors of employment. It is also the responsibility of universities to create attractive conditions for

research, taking account of the European Researchers’ Charter & the Code of Conduct for the

Recruitment of Researchers.



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7. Including doctoral programmes in institutional strategies for enhancing

Internationalisation

Doctoral programmes are a key component of the discussion on European higher education in a global

context, while at institutional level, attracting the best doctoral candidates from all over the world,

encouraging mobility within doctoral programmes and supporting European and international joint

doctoral programmes and co-tutelle arrangements, are central to the development of any international

strategy. Universities are encouraged to enhance their efforts to support mobility at doctoral level

within the framework of inter-institutional collaboration as an element of their broader international

strategy. International mobility, including transsectoral and transdisciplinary mobility should be

recognised as having an added value for the career development of early stage researchers.

For some institutions and indeed, some smaller countries, mobility may also be a means of training

their own young researchers in disciplines and transdisciplinary research areas where a critical mass of

doctoral candidates, or capacities or infrastructure does not exist or is not available at home.

Higher education institutions, and public authorities at national and European level, should offer

funding instruments facilitating the mobility of doctoral candidates from all 45 Bologna countries, and

with the objective of increasing mobility. Legal, administrative and social obstacles, for example

concerning visas, work permits and social security issues should be addressed by all partners in the

process.

Finally increasing internationalisation inside universities, especially at doctoral level is also important,

and should not be forgotten. Doctoral training is per se international in nature and sufficient

opportunities should be provided for doctoral candidates to engage internationally. This can be done,

for example, through the recruitment of more international staff; the organisation of international

workshops, conferences and summer schools; the development of more European and international

joint doctoral programmes and co-tutelle arrangements. The use of new technologies, such as using

teleconferences, e-learning etc. should also be used to foster the internationalisation of doctoral

programmes.

V. New Developments in doctoral programmes

A range of innovative doctorate programmes are emerging to respond to the changing demands of a

fast-evolving labour market. Employability of doctoral candidates within and outside academic

institutions, as well as individual and societal needs for lifelong education and training, have acted as a

catalyst to the development of new programmes, including professional doctorates, more university -

industrial collaboration based doctorates and increased European and international cooperation, often

leading to joint or European doctorates. Diversity of doctoral programmes and doctorates reflects the

increasingly diversity of the European Higher Education landscape in which higher education

institutions have the autonomy to develop their own missions and profiles and thus their own

priorities in terms of programmes and research priorities.

Nevertheless, all the discussion on different new developments has led to the consensus that there

should be no doctorate without original research and that all awards described as doctorates (no



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matter what their type or form) should be based on a core of processes and outcomes. Original

research has to remain the main component of all doctorates.

Core processes and outcomes should include the completion of an individual thesis (based upon an

original contribution to knowledge or original application of knowledge) that passes evaluation by an

expert university committee with an external representation.

1. Professional Doctorates

Programmes known as “Professional doctorates“, or practice related doctorates, are doctorates that

focus on embedding research in a reflective manner into another professional practice. They must

meet the same core standards as “traditional” doctorates in order to ensure the same high level of

quality. It may be appropriate to consider using different titles to distinguish between this type of

professional doctorates and PhDs.

In order to develop a broad discussion on this topic it will be important to ensure the dissemination of

information from those European countries that have experience in this area, and particularly the UK,

where the number of professional doctorates is growing rapidly across the European higher education

sector.

2. Inter-sectoral collaboration and mobility

Universities are increasingly involved in cooperation at doctoral level with other sectors such as industry, business, independent research organisations or public services. Intersectoral mobility and in particular doctorates earned through intensive university – industry collaboration and the placement of doctoral candidates in industrial and other laboratories enhances university industry cooperation and adds value to the individual researchers concerned, enhancing their experience, skills and employment prospects. Building strong links between universities with other sectors thus ultimately supports efforts to strengthen the transmission of knowledge as a determining factor in innovation.

VI. Status and career development of doctoral candidates and other early stage

Researchers

Ensuring career opportunities for early stage researchers is not the responsibility of higher education

institutions alone but needs to be regarded a collective effort if Europe is to meet its goals. In reaching

these goals a particular emphasis is put on increasing the number of researchers as highly skilled

young researchers make a significant contribution to the production of knowledge and innovation.

Ensuring appropriate working conditions, rights and career prospects for young researchers, both in

academia and in a range of other sectors is thus of the utmost importance and one of the crucial

preconditions for success. This has been underlined in particular in the European Commission’s

Charter for Researchers and Code of Conduct for the Recruitment of Researchers (2005) that stresses

the importance of sustainability and continuity of career development for researchers at all stages of

their career including early stage researchers (doctoral candidates and post-doctoral researchers).



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1. Status of doctoral candidates

Doctoral candidates are early stage researchers who are vital to Europe’s development and, as stated in

the Salzburg principles, should have all commensurate rights. Universities and public authorities in

Europe share a collective responsibility to address the status and conditions of doctoral researchers.

The results of the EUA survey among the Bologna Process member countries focusing on funding of

doctoral candidates and programmes indicates that, out of 36 participating countries, in 22 countries

the status of a doctoral candidate is mixed, which means that doctoral candidates are considered both

as students and employees (Table 2). In 8 countries doctoral candidates are seen only as students and

in 3 countries only as employees. Whatever the status of a doctoral candidate is, it is crucial that s/he

is given all commensurate rights including healthcare, social security and pension rights. (…)

2. Post-doctoral researchers

Appropriate status and working conditions should be also recognised as essential for post doctoral

researchers for whom clear academic structures and a variety of career perspectives are also needed.

Post-doctoral researchers must be recognised as highly skilled professionals with a key role in

developing the European knowledge society, as underlined in the EC Charter and Code of Conduct for

the Recruitment of Researchers. This implies that:

• The duration of the post doctoral phase without a clear career perspective should be limited to

five years;

• They should be eligible to apply for national and international grant schemes to fund their

research;

• Initiatives like the Independent Researcher grant scheme of the ERC should be encouraged;

• If the number of researchers is to rise and be covered by appropriate salaries, governments

should invest more into research and social infrastructure for researchers in order to make the

European Research Area more attractive.

VII. Funding

Ensuring appropriate and sustainable funding of doctoral programmes and doctoral candidates as well

as greater and targeted investment in higher education institutions and their infrastructure is the 10th

and final Salzburg principle, and quite simply needs to be implemented, given the crucial role of

doctoral education and training as the key formative stage of a research career in both academia and

non-academic sectors of employment and that because the attractiveness of a future career in research

is determined largely at the doctoral stage; hence the importance of ensuring status and financial

support of the doctoral candidate, and of offering adequate incentives.

On the basis of the analysis of the questionnaires received from the BFUG member countries it is clear

that scholarships/ fellowships/ grants are the main mode of funding doctoral candidates, although in

about half of the countries, salaries or teaching assistantships are also offered, in the Slovak Republic

only salaries. In most cases, a mix of modes is used to fund doctoral candidates (Table 3). When grants

are made to doctoral programmes, more often these are given to research projects (26) rather than to

higher education institutions (16) (Table 4), but here again, the majority of countries use a mixture of

funding modes. (…)



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On the basis of the analysis of the EUA survey among the Bologna Process member countries it is

recommended that:

• Funding for doctoral candidates should be stable, covering the full period of the doctoral

programme, and provide sufficient means to live and work in decent conditions.

• Funding should be sufficiently attractive to encourage suitably-qualified candidates from

lower income groups, as well as sufficiently flexible to support the needs of part time students

over a longer period of study.

• More information on funding mechanisms and funding levels of doctoral candidates and

doctoral programmes/ schools is needed in order to create a vision of doctoral education

within a European Higher Education Area that is attractive and competitive on a global scale.

• There is an urgent need for greater consultation and coordination at the regional, national and

European levels between government ministries, research councils and other funding agencies

on doctoral education funding and career development.



Final Conclusions - Preparing Recommendations for the London Communiqué, Bologna Seminar on Doctoral Programmes,

Nice, 7-9 December 2006

14

“Matching Ambition with Responsibilities and Resources” Final Conclusions - Preparing Recommendations for the London Communiqué, Bologna Seminar on Doctoral Programmes, Nice, 7-9 December 2006 http://www.eua.be/index.php?id=48&no_cache=1&tx_ttnews%5Btt_news%5D=249&tx_ttnews%5BbackPid%5D=1

II.1. Setting the scene

In formulating the conclusions and recommendations that follow participants underlined the

importance of the uniqueness of the doctoral cycle that provides training by and for research and is

focused on the advancement of knowledge through original research. Participants furthermore

reiterated the crucial role of the doctoral cycle in contributing to meeting Europe’s research goals and

in linking the European Higher Education and Research Areas.

1. While doctoral programmes are unique they should not be considered in isolation but in

relation to the implementation of the three Bologna cycles as a whole: a research component,

and the development of transferable skills, need to be adequately included and developed

throughout the cycles.

2. A range of innovative doctorate programmes are emerging to respond to the changing

demands of a fast-evolving labour market. Employability of doctoral researchers both within

and outside academic institutions, as well as individual and societal needs for lifelong

education and training, have acted as a catalyst to the development of new programmes,

including professional doctorates, more industrial collaboration and increased European and

international cooperation.

3. Doctoral programmes are a key component of European higher education in a global

context; questions of internationalisation and mobility, and the establishment of joint

degrees at doctoral level, are central to institutional strategic development.

4. Greater attention is needed to the social dimension of the third cycle. Equity is a major

concern. Equality of access to, and ability to succeed in, the third cycle must be a

consideration, whether inequality derives from gender, ethnicity, financial situation or other

circumstances.

5. Doctoral programmes are also crucial for fostering innovation and creativity in society, and

it is vital to invest both in high quality disciplinary research and in inter-disciplinary and

intersectoral programmes.

6. The need for greater and targeted investment in the third cycle is clear, and should be

addressed as a matter of urgency. It should not be forgotten, however, that this also implies

investment in the first two cycles. It is important, in particular, to ensure that second cycle

(master) degrees are not only driven by market demand given the integral link between the

second and the third cycle.





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II. 2. The role of higher education institutions

Higher education institutions fully accept their responsibility to develop and deliver high quality

doctoral programmes. This requires autonomous institutions able to develop strategies and policies in

line with their own missions and goals and create the necessary framework conditions at institutional

level that enable critical mass.

2.1 Providing structure and organisation

Accepting responsibility for the provision of high quality doctoral programmes involves introducing

the appropriate structures within institutions. Organisational structures chosen must demonstrate

added value for the institution, in particular in seeking to:

• counteract the isolation of the early stage researcher, from other disciplines, or from the

larger peer group, or the larger scientific community.

• establish transparency of expectations, quality and assessment standards (supervision etc.),

• create synergies regarding transferable skills development (at institutional or at inter-

institutional level)

Different solutions may be appropriate to different contexts and the choice of structure is a matter for

each institution, based upon the specific institutional aims which these structures are supposed to

meet.

Recent developments and an analysis of practice across Europe points to the emergence of two main

models of high quality, internationally oriented and networked doctoral/research/graduate schools as

organisational structures:

• structures including master & doctoral candidates & providing crosscutting administrative,

training and development support, or,

• structures including doctoral candidates only, around a research theme or a cross-

disciplinary area & possibly including several institutions.

2.2 Developing attractive research career perspectives for early stage

researchers

It is similarly the role of higher education institutions to take responsibility for: • Promoting attractive research careers and career perspectives for doctoral

researchers in collaboration with partners outside academia, thus promoting the development of clear career paths inside and outside academia and between academia and other sectors of employment

• Creating attractive conditions for research, in accordance with the provisions of the European Researchers’ Charter & the Code of Conduct for the Recruitment of Researchers

• Concentrating funding to create more effective PhD training Post-doctoral researchers European higher education institutions need to pay attention not only to the career development of doctoral researchers but also to the strategic need to make research careers





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attractive for post-doctoral researchers and to facilitate their career development. Clear academic career structures and a variety of career perspectives in academia as well as in industry, commerce and the public sector are needed, both for individuals and for Europe to compete on the global stage, taking account of the recommendations made under 4.1.

2.3 Ensuring access and admission

In a fast-changing environment, it is essential to maintain flexibility in admissions to doctoral

programmes, and full institutional autonomy: diversity of institutional missions and context, and the

growing importance of lifelong learning, mean that there are good reasons for different entry

requirements in institutions and programmes provided fairness, transparency and objectivity is

ensured;

The Bologna commitment that the second cycle gives access (= right to be considered for admission) to

the third cycle should be maintained, but access to the third cycle should not be restricted to this route.

2.4 Enhancing the internationalisation of doctoral programmes

Mobility is an integral part of doctoral education at many universities. Higher education institutions

should support enhanced mobility at doctoral level within the framework of inter-institutional

collaboration as an element of their broader international strategy. Institutions, but especially public

authorities, need to address legal, administrative and social obstacles, for example concerning visas,

work permits and social security issues.

Both international and transsectoral and interdisciplinary mobility should be recognised as bringing

added value for the career development of doctoral researchers and other early stage researchers.

Joint doctorate degrees, European doctorates and co-tutelle arrangements should be further

developed and considered as an important instrument of international inter-institutional cooperation.

II. 3. Improving the Quality of Doctoral Programmes

3.1 Diversifying doctoral programmes

A number of diverse routes to the doctorate have been developed in Europe in recent years. These

recent developments include doctorates tailored towards specific professions (so-called “professional”

doctorates), joint doctorates and the European doctorate, and a variety of university-industry

collaboration based doctorates.

All awards described as Doctorates should (no matter what their type or form) be based on a core of

processes and outcomes. Original research has to remain the main component of all doctorates. There

should be no doctorate without original research.

Core processes and outcomes should include the completion of an individual thesis (based upon an

original contribution to knowledge or original application of knowledge) that passes evaluation by an

expert university committee with external representation.





17

Professional Doctorates

So-called “professional” doctorates are doctorates that focus on embedding research in a reflective

manner into another professional practice. They must meet the same core standards as ‘traditional’

doctorates in order to ensure the same high level of quality. It may be appropriate to consider using

different titles to distinguish between this type of professional doctorates and PhDs.

In order to ensure a broad discussion on this topic it will be important to ensure the dissemination of

information on the rapidly growing number of professional doctorates – particularly in the UK but also

in other countries - across the entire European higher education sector.

3.2 Supervision, monitoring & assessment

The importance of supervision, monitoring and assessment, as outlined in the Salzburg principles,

must continue to be stressed, and universities encouraged and supported in the development and

dissemination of good practices in the management of research degrees. Arrangements need to be

based upon a transparent contractual framework of shared responsibilities between candidates,

supervisors and the institution, and, where appropriate other partners, as indicated in the Salzburg

recommendations. Attention should be paid in particular to ensuring: multiple supervision, the

continuous professional skills development of academic staff and performance reviews of supervisors.

Multiple supervision should be encouraged, also at international level, through tutoring and co-

tutoring by academic supervisors in different European countries.

Assessment of the thesis should be done by an expert university committee with external

representation. The impact of the supervisor on the outcome of the process should be limited. This

does not preclude participation of the supervisor in the examining body, especially when this is a large

body or when the thesis defence is public.

3.3 Transferable skills development

Transferable skills development, which should already be an integral part of first and second cycle study programmes, is also important in the third cycle, and should be developed in the context of overarching institutional support structures at doctoral level. The main goal should be to recognise and raise awareness among doctoral candidates of the skills they acquire through research, thus improving their employment prospects both in academia and on the broader labour market. Ensuring that adequate funding is devoted to transferable skills development is crucial. It is likewise important to ensure that reference to transferable skills development is included in institutional quality assessment procedures.





18

II. 4. Public responsibility

4.1 Status and conditions of doctoral and postdoctoral researchers

Universities and public authorities in Europe share a collective responsibility to address the status and

conditions of doctoral and post doctoral researchers. Doctoral candidates are early stage researchers

who are vital to Europe’s development and, as stated in the Salzburg principles, should have all

commensurate rights.

Appropriate status and working conditions should also be recognised as essential for post doctoral

researchers for whom clear academic structures and a variety of career perspectives are also needed.

Post-doctoral researchers should be recognised as professionals with a key role in developing the

European knowledge society, as underlined in the European Researchers’ Charter and Code of

Conduct for the Recruitment of Researchers. This implies that:

• The duration of the post doctoral phase without a clear career perspective should be limited

to five years.

• They should be eligible to apply for national and international grant schemes to fund their

research.

• Initiatives like the Independent Researcher grant scheme of the ERC should be encouraged.

• If the number of researchers is to rise and be covered by appropriate salaries, governments

should invest more in research and social infrastructure for researchers in order to make the

European Research Area more attractive.

4.2 Funding

Ensuring appropriate and sustainable funding of doctoral programmes and doctoral candidates as well

as higher education institutions and their infrastructure is the 10th and final Salzburg principle, and

quite simply needs to be implemented, given the crucial role of doctoral education and training as the

key formative stage of a research career in both academia and non-academic sectors of employment

and that because the attractiveness of a future career in research is determined largely at the doctoral

stage. Hence the importance of ensuring status and financial support of the doctoral candidate, and of

offering adequate incentives.

On the basis of the provisional analysis of the questionnaires received from BFUG

members it is recommended that:

• Funding for doctoral candidates should be stable, covering the full period of the doctoral

programme, and provide sufficient means to live and work in decent conditions.

• Funding should be sufficiently attractive to encourage suitably-qualified candidates from

lower income groups, as well as sufficiently flexible to support the needs of part time students

over a longer period of study.

• there is an urgent need for greater consultation and coordination at the national level

between government ministries, research councils and other funding agencies (including

European Institutions) on doctoral programme financing and career development.


„Stellungnahme der Österreichischen Rektorenkonferenz zur internationalen Diskussion über

verschiedene Doktoratsformen“

20. November 2006

19

„Stellungnahme der Österreichischen Rektorenkonferenz zur internationalen Diskussion über verschiedene Doktoratsformen“ 20. November 2006 http://www.reko.ac.at/upload/Stellungnahme.Doktoratsformen.2006__Endfassung_.pdf

1. Definitionen

Da auch im internationalen Kontext die Terminologie zu den verschiedenen Doktoratsprogrammen

nicht einheitlich ist, möchte die Österreichische Rektorenkonferenz zuerst die drei verwendeten

Doktoratsformen und das österreichische universitäre Verständnis dieser kurz umreißen.

Doktorat: Jedes Doktorat wird für eine originäre wissenschaftliche Leistung vergeben (Dissertation),

die die Fähigkeit zur eigenen wissenschaftlichen Forschung und die Beherrschung der

wissenschaftlichen Methoden des Faches beweist. Insofern sind alle Doktorate

wissenschaftliche Doktorate. Die Unterschiede liegen eher in der Motivation der Studierenden

oder in der Thematik und Organisation. Wie schon in der gemeinsamen Stellungnahme der drei

deutschsprachigen Rektorenkonferenzen festgehalten wurde, ist die Promotion das Proprium der

Universitäten.

Wissenschaftliches Doktorat (international häufig als PhD bezeichnet): Dieses Doktorat ist

insbesondere für Studierende, die eine wissenschaftliche Laufbahn anstreben. Häufig wird das

Doktoratsstudium im Anschluss an das Diplom/Magister-Studium begonnen. Das Dissertationsthema

wird in Absprache zwischen DissertantIn und BetreuerIn festgelegt, kann aber auch von der

Universität vorgegeben werden.

Ziel: Wissenschaft als Beruf betreiben

Professionelles Doktorat: Bei diesen Doktoraten liegt der Focus der wissenschaftlichen Thematik

eher im anwendungsnahen Bereich bzw. im Berufsfeld des Doktoranden. Das Studium dient auch der

beruflichen (Weiter-)Qualifikation.

Ziel: Wissenschaft im Beruf betreiben

Erläuterungen: Professionelle Doktorate wurden in Großbritannien in den 1980ern als Reaktion auf

einen Bedarf der Studierenden, der Industrie, der Wirtschaft und des öffentlichen Lebens entwickelt.

Diese Programme, werden häufig von Personen absolviert, die bereits im Berufleben stehen

(gestanden sind) und ihre Karriereperspektiven verbessern möchten. Der Forschungsanteil dieser

Doktoratsprogramme variiert. Sie enthalten einen signifikanten Anteil an Lehrveranstaltungen und

somit spezifische learning outcomes. Professionelle Doktorate in GB haben eigene Titel (nicht PhD

sondern z.B. DBM - Doctor of

Business and Management).

Industrielles Doktorat: Der Terminus bezeichnet kein eigenes Doktorat, sondern

wissenschaftliche Doktoratsstudien, bei denen eine enge Zusammenarbeit mit der Industrie

gegeben ist, z.B. bei der Wahl des Dissertationsthemas, bei der Durchführung der Dissertation, bei der

Betreuung, bei der Finanzierung etc.


„Stellungnahme der Österreichischen Rektorenkonferenz zur internationalen Diskussion über

verschiedene Doktoratsformen“

20. November 2006

20

Erläuterung: Um die Kooperation der Universitäten mit der Wirtschaft und Industrie zu steigern und

weiterzuentwickeln, beschlossen die Regierungen in Schweden und Dänemark industrielle Doktorate

einzuführen bzw. zu fördern. In Dänemark und Schweden werden die Universitäten und

Unternehmen, die ein industrielles Doktoratsprojekt laufen haben, finanziell von Staat und Regierung

unterstützt, wenn die gesetzten Richtlinien erfüllt werden.

In Österreich gibt es insbesondere im technisch-naturwissenschaftlichen Bereich industrielle

Doktorate in diesem Sinn, ohne dass der Ausdruck verwendet wird.

2. Ausgangssituation in Österreich

Österreich kennt formal nur eine Form (wissenschaftliche) von Doktoratsstudien (§51 Abs. 2,

Zl 12 UG 2002). Die Umsetzung des gesetzlichen Rahmens durch Studienpläne und durch die

Praxis ist aber sehr unterschiedlich, so dass – ohne dass der Terminus verwendet wird - zum

Teil zu einem professional doctorate analoge Studienangebote existieren. Es gibt auch Beispiele für

eine Zusammenarbeit mit der Industrie bei der Durchführung von Dissertationen etc. Schließlich soll

noch die Anomalie erwähnt werden, dass bestimmte Diplomstudiengänge (ohne Dissertation) mit

einem Doktortitel abschließen.

3. Empfehlungen für die österreichische Position in der internationalen

Diskussion

Aus den verschiedensten Gründen (u.a. Bologna, Lissabon) sollten möglichst viele (geeignete und

interessierte) Graduierte die Möglichkeit haben, sich weiter in Richtung einer Forschungstätigkeit

oder einer wissenschaftlichen Berufsausübung zu qualifizieren.

• Neben den im engeren Sinn wissenschaftlichen Doktoraten (insbesondere PhD) können die

Universitäten Doktoratsstudien anbieten, die stärker berufsbezogen sind (professional

doctorate). Ob diese Doktorate mit eigenen Titeln bezeichnet werden, muss innerhalb der

Universitäten entschieden werden. Eine gewisse Vereinheitlichung auf nationaler und

europäischer Ebene ist jedoch anzustreben, sollte aber Aufgabe der Universitäten selbst sein

(EUA).

• Professionelle Doktorate verlangen eine vergleichbare wissenschaftliche Leistung

(Dissertation). Das Verhältnis zwischen curricularen Anteilen und eigener wissenschaftlicher

Arbeit kann im Vergleich zum PhD zugunsten der curricularen Anteile verschoben sein.

• Industrielles Doktorat: Da die so genannten industriellen Doktorate eigentlich nur die Form

der Finanzierung ausweisen, jedoch in ihrer Ausführung als wissenschaftliche Doktorate

angelegt sind, vertritt die ÖRK die Ansicht, dass diese nicht als solche differenziert werden. Im

Sinne der Lisbon-Strategy ist eine engere Zusammenarbeit von Universitäten und Industrie

durch gemeinsam geplante, betreute und durchgeführte Dissertationen durchaus anzustreben.

Dabei müssen aber die Qualitätsanforderungen des entsprechenden Doktorates und der

Universität erfüllt werden.

• Um die international und auch nationale angepeilten Kriterien3 von hochwertigen PhD-

Programmen realisieren zu können, möchte die ÖRK nochmals auf Notwendigkeit einer

ausreichenden Finanzierung hinweisen.




21

“Doctoral Programmes for the European Knowledge Society” Report on the EUA Doctoral Programmes Project 2004-2005 http://www.eua.be/index.php?id=128

Executive Summary

Objectives

Doctoral studies are in a process of change today in Europe reflecting the need to adapt research

training to meet the challenges of the global labour market, technological advances, new profiles and

demands of doctoral candidates, and not least, the policy objectives of European governments. To

achieve the ambitious “Lisbon Objectives”, Europe both seeks and needs to increase the number of

researchers and research related careers, and doctoral training programmes can seen as a cornerstone

in reaching such a goal. In the context of the “Bologna Process”, doctoral training has gained recently

greater importance on the European Higher Education Agenda. In the Berlin Communiqué in 2003,

Ministers responsible for Higher Education added a new action line on higher education and research

as two pillars of the knowledge society and emphasised the importance of doctoral programmes as the

‘third cycle’ in the “Bologna Process”.

The European University Association (EUA), as the main representative of higher education

institutions awarding doctoral degrees in Europe, proposed and launched with the European

Commission’s support the present project as a timely initiative to provide some analysis of key issues

facing doctoral training. In doing so, EUA set itself two main objectives: to identify essential conditions

for successful doctoral programmes in Europe; and to promote and encourage cooperation in the

development of doctoral programmes at the European level. 48 universities from across 22 European

countries were selected as project participants from an “open call” issued by the EUA to its university

membership.

Findings

The main findings of the project address three issues: the Structure and Organization of doctoral

programmes; Supervision, Monitoring and Assessment; and Mobility, European collaboration and

joint doctoral degrees. The analysis focuses on connecting these issues with innovations and good

practices in university experience across Europe.

On the structure and organization of doctoral programmes the study shows a considerable diversity

not only across different countries in Europe, but also across universities within the same country and

across faculties within the same university. The following issues are examined: disciplinary differences

in the organisation of doctoral training; various types of doctoral degrees; training in core and

transferable skills; doctoral training and teaching; duration and funding of doctoral training;

recruitment practices; and the profile and status of doctoral candidates. Present “good practices”

identified in the project demonstrate that establishing common institutional guidelines, codes and

regulations, defined clearly at the highest institutional level and providing rules on recruitment,

supervision, exams, evaluation and defence of the thesis, can prove to be a highly beneficial approach

for universities in Europe. Individual study programmes (“apprenticeship model”) are questioned as

being appropriate to meet the new multiple challenges of research training for careers in a competitive




22

labour market, with an increasing tendency in many European countries towards structured

programmes with doctoral candidates grouped in research / graduate / doctoral schools.

Supervision, monitoring and assessment procedures are critically important for the quality of the

experience and training of doctoral candidates. The project focuses on qualification requirements,

responsibilities and duties of supervisors; training of supervisors; workloads of supervisors;

supervision models; doctoral candidates’ progress assessment; requirements for the doctoral thesis

and its defence; and finally, the follow-up “tracking” of doctoral candidates’ career outcomes. The

project shows that universities are aware of the constant need to sustain and improve the quality of

their supervision, monitoring and assessment procedures; innovative practices in such areas as

multiple supervision models, personal development plans for doctoral candidates are being developed

and adapted to differing institutional traditions.

Mobility and European collaboration are an integral part of doctoral training at many universities.

Many doctoral programmes seek to provide appropriate mobility mechanisms to enhance the relevant

research experience of their doctoral candidates, but there are still numerous obstacles of a legal,

administrative, financial, personal and cultural character that limit mobility throughout Europe. Issues

focussed upon in the project include international mobility and inter-institutional collaboration; inter-

sectorial mobility; joint doctoral degrees and the debate on a ”European Doctorate”. Good practices

show that mobility can be an important strategic tool of doctoral training, leading to the wider

research experience and career development opportunities of doctoral candidates in his/her chosen

field, and better research co-operation and networking between institutions

Policy Context

A key innovative feature of the Doctoral Programmes project was the open working dialogue that was

established from the outset between its university partners and higher education policy makers and

practitioners. Project partners took the initiative to link its activities to the policy debate through their

active engagement in a series of major conferences, for example, the Salzburg Conference (February

2005) that was part of the Bologna Process Work Programme 2003 – 2005 and which identified “ten

basic principles” for the future development of doctoral programmes, that fed into the formulation of

recommendations for the “Bologna Process” Ministerial meeting held in Bergen in May 2005. In this

way the project, in spite of its small scale and duration, had an impact on the wider research and

policy-making communities across Europe. The project sought to achieve, therefore, an “evidence-

based” dialogue reflecting upon the present landscape of doctoral training, current practices and

innovations, and issues for reform.

Conclusions

Doctoral programmes are considered to be a crucial source of a new generation of researchers and to

serve as the main bridge between the European Higher Education and Research Areas. As such, they

have become an official and important part of the political agenda in the Bologna process. However,

doctoral training is markedly different from the first and second cycles of higher education. Its main

characteristic, which makes it specific, is that the most predominant and essential component of the

doctorate is research. Doctoral candidates have to prove their ability to perform original and




23

independent research within a scientific discipline or interdisciplinary collaboration. Individuality,

originality and a certain autonomy are important features of the doctorate.

Universities fully recognise that they have responsibility to offer doctoral candidates more than core

research disciplinary skills based on individual training by doing research. They are increasingly

introducing courses and modules offering transferable skills training and preparing candidates for the

careers in various sectors. Crucially, the re-organisation of doctoral training towards structured

programmes and training in a wide range of transferable skills in courses or modules requires

adequate financing. It should be emphasised that reforms of doctoral education are proceeding at

varied paces and, in some countries, the debate on reform is only at the beginning. While the reform of

the first two cycles is well underway across Europe, the transformation of doctoral education presents

a different order of challenge.

The present project, in common with the experience of other studies, points to the need for more

systematic collection of data on doctorate completion rates and career outcomes. For the future

implementation of reforms in doctoral programmes to be carried out effectively, the collection and

analysis of such “key indicator” data will be essential in measuring the success of structured doctoral

programmes in achieving policy objectives.

As a final remark, it is hoped that the present project has worked to increase awareness of the

importance of “joined-up” governmental thinking at the level of improving doctoral programmes and

career perspectives and the need for coordinated action involving higher education institutions,

government ministries for education and research, innovation and technology, national research

councils, and the European Commission.

EUA received the mandate of the Bologna Ministers meeting in Bergen in May 2005 to follow up its

work on doctoral programmes over the next two years. Thus doctoral programmes and research

careers remain at the heart of the Association’s work and the present project will be followed up:

through targeted action within the Bologna process resulting in a report to be presented to the next

Bologna Ministers meeting in London in 2007; through a project focussing on doctoral careers; and

through ‘hands on’ workshops for universities on important issues, for example the organisation of

doctoral/graduate schools in a European context.


“The European Higher Education Area - Achieving the Goals”

Communiqué of the Conference of European Ministers Responsible for Higher Education, Bergen, 19-20 May 2005

24

“The European Higher Education Area - Achieving the Goals” Communiqué of the Conference of European Ministers Responsible for Higher Education, Bergen, 19-20 May 2005 http://www.ond.vlaanderen.be/hogeronderwijs/bologna/documents/

Higher education and research

We underline the importance of higher education in further enhancing research and the importance of

research in underpinning higher education for the economic and cultural development of our societies

and for social cohesion. We note that the efforts to introduce structural change and improve the

quality of teaching should not detract from the effort to strengthen research and innovation. We

therefore emphasise the importance of research and research training in maintaining and improving

the quality of and enhancing the competitiveness and attractiveness of the EHEA. With a view to

achieving better results we recognise the need to improve the synergy between the higher education

sector and other research sectors throughout our respective countries and between the EHEA and the

European Research Area.

To achieve these objectives, doctoral level qualifications need to be fully aligned with the EHEA

overarching framework for qualifications using the outcomes-based approach. The core component of

doctoral training is the advancement of knowledge through original research. Considering the need for

structured doctoral programmes and the need for transparent supervision and assessment, we note

that the normal workload of the third cycle in most countries would correspond to 3-4 years full time.

We urge universities to ensure that their doctoral programmes promote interdisciplinary training and

the development of transferable skills, thus meeting the needs of the wider employment market. We

need to achieve an overall increase in the numbers of doctoral candidates taking up research careers

within the EHEA. We consider participants in third cycle programmes both as students and as early

stage researchers. We charge the Bologna Follow-up Group with inviting the European University

Association, together with other interested partners, to prepare a report under the responsibility of the

Follow-up Group on the further development of the basic principles for doctoral programmes, to be

presented to Ministers in 2007. Overregulation of doctoral programmes must be avoided.


“Conclusions and Recommendations”

Bologna Seminar on “Doctoral Programmes for the European Knowledge Society”, Salzburg, 3-5 February 2005

25

“Conclusions and Recommendations” Bologna Seminar on “Doctoral Programmes for the European Knowledge Society”, Salzburg, 3-5 February 2005 http://www.eua.be/fileadmin/user_upload/files/EUA1_documents/Salzburg_Conclusions.1

7. From the discussions in Salzburg a consensus emerged on a set of ten basic principles as

follows:

i. The core component of doctoral training is the advancement of knowledge through

original research. At the same time it is recognised that doctoral training must increasingly meet

the needs of an employment 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 research training they offer are

designed to meet new challenges and include appropriate professional career development

opportunities.

iii. The importance of diversity: the rich diversity of doctoral programmes in Europe - including

joint doctorates - is a strength which has to be underpinned by quality and sound practice.

iv. Doctoral candidates as early stage researchers: should be recognized as professionals – with

commensurate rights - who make a key contribution to the creation of new knowledge.

v. The crucial role of supervision and assessment: in respect of individual doctoral candidates,

arrangements for supervision and assessment should be based on a transparent contractual framework

of shared responsibilities between doctoral candidates, supervis ors and the institution (and where

appropriate including other partners).

vi. Achieving critical mass: Doctoral programmes should seek to achieve critical mass and should

draw on different types of innovative practice being introduced in universities across Europe, bearing

in mind that different solutions may be appropriate to different contexts and in particular across larger

and smaller European countries. These range from graduate schools in major universities to

international, national and regional collaboration between universities.

vii. Duration: doctoral programmes should operate within an appropriate time duration (three to

four years full-time as a rule).

viii. The promotion of innovative structures: to meet the challenge of interdisciplinary training

and the development of transferable skills

ix. Increasing mobility: Doctoral programmes should seek to offer geographical as well as

interdisciplinary and intersectoral mobility and international collaboration within an integrated

framework of cooperation between universities and other partners.

x. Ensuring appropriate funding: the development of quality doctoral programmes and the

successful completion by doctoral candidates requires appropriate and sustainable funding.


„Das Doktoratsstudium in Österreich. Nationale Positionierung im Kontext europäischer Entwicklungen“

Gemeinsames Positionspapier des bm:bwk und der ÖRK, Wien, Jänner 2005

26

„Das Doktoratsstudium in Österreich. Nationale Positionierung im Kontext europäischer Entwicklungen“ Gemeinsames Positionspapier des bm:bwk und der ÖRK, Wien, Jänner 2005 http://www.reko.ac.at/upload/Positionspapier.pdf

Für die zukünftige Entwicklung des Doktoratsstudiums im Europäischen Hochschul- und

Forschungsraum sollen im Folgenden wesentliche übergeordnete Aspekte angesprochen werden. Die

institutionelle Ausgestaltung der Doktoratsstudien muss allerdings von den Universitäten im Rahmen

ihrer Autonomie selbst wahrgenommen werden.

1. Gestaltung des Studiums:

1.1. Das generelle Ausbildungsziel des Doktoratsstudiums ist die Weiterentwicklung der

Befähigung zu selbständiger wissenschaftlicher Arbeit auf der Grundlage von Diplom-

und Magisterstudien; für die einzelnen Disziplinen und Studien sollen spezifische

Ausbildungsziele definiert werden (learning outcomes).

1.2. In Österreich soll es primär wissenschaftlich orientierte Doktoratsstudien geben. Die

enge Einbindung von Doktorandinnen und Doktoranden in die Forschung bzw. die scientific

community ihres Faches wird angestrebt.

1.3. Die Dissertation kann fachspezifisch unterschiedliche Formen annehmen und z. B. durch

Publikationen in begutachteten Zeitschriften ersetzt werden. Eine

Veröffentlichungspflicht kann von den Universitäten autonom bestimmt werden.

1.4. Die Mindeststudiendauer soll 3 Jahre betragen; berufstätigen Studierenden soll die

Möglichkeit eines Teilzeitstudiums geboten werden.

1.5. Angestrebt wird eine stärkere Strukturierung des Doktoratsstudiums als bisher; sofern

dies fachspezifisch sinnvoll erscheint, kann dies auch zu einer Curricularisierung führen.

1.6. Ein Abgehen von der Einzelbetreuung wird angestrebt, in der Regel soll die Betreuung

durch mehrere Wissenschafterinnen bzw. Wissenschafter erfolgen. Dabei sollen

interdisziplinäre, interuniversitäre sowie internationale Komponenten berücksichtigt werden.

1.7. Die derzeitige gesetzliche Regelung des Zugangs wird zu überdenken sein, dieser soll von

den Universitäten kompetitiv gestaltet werden können und einen Aspekt der institutionellen

Profilbildung darstellen.

2. Finanzierung:

2.1. Auf institutioneller Ebene wird die vermehrte Einrichtung von Doktoratskollegs an

Universitäten angestrebt. Deren Auswahl soll auf Basis eines einheitlichen Evaluierungs-

verfahrens erfolgen.

2.2. Auf der Ebene individueller Förderungen sollen verschiedene Varianten wie z.B. Anstellung

an Universitäten (teaching/research assistantships) oder inner- und außeruniversitär

vergebene Stipendien möglich sein. Die derzeit bestehenden individuellen Förderungen

werden als bei weitem nicht ausreichend eingeschätzt.

2.3. Altersgrenzen für individuelle Förderungen erscheinen nicht immer zielführend gewählt

und sollen im Sinne des Lebenslangen Lernens grundsätzlich überdacht werden.

2.4. Für Institutionen und Personen sollten Förderungen ausschließlich auf Grundlage eines

Wettbewerbs vergeben werden. Der jährliche Finanzierungsbedarf dafür in Österreich wird


„Das Doktoratsstudium in Österreich. Nationale Positionierung im Kontext europäischer Entwicklungen“

Gemeinsames Positionspapier des bm:bwk und der ÖRK, Wien, Jänner 2005

27

von der Österreichischen Rektorenkonferenz derzeit mit rund 20 Millionen Euro

eingeschätzt.

3. Internationalisierung/Mobilität:

3.1. Internationale Kooperationen sind bei verschiedenen Aspekten des Doktoratsstudiums

(Organisation von Doktoratskollegs, Entwicklung von joint degrees, Mehrfachbetreuung,

Evaluierungen) erstrebenswert und sollten weiter ausgebaut werden.

3.2. Disziplinenspezifisch sollte es vermehrte Angebote für Sprachunterricht auf hohem

Niveau (z.B. Verfassen von Publikationen auf Englisch) geben.

3.3. Die Erhöhung der internationalen Mobilität der Doktorandinnen und Doktoranden

wird angestrebt; sie soll gefördert, aber nicht generell verpflichtend sein.

3.4. Die internationale Kompatibilität österreichischer Doktoratsstudien sowie Berufs-

berechtigungen soll in Curricula und Gesetzgebung entsprechende Berücksichtigung

finden.

4. Laufbahnen/Karrieremöglichkeiten

4.1. Der Status der Doktorandinnen und Doktoranden an ihren Universitäten ist von

diesen im Rahmen ihrer Autonomie selbst zu bestimmen.

4.2. Inneruniversitär können Dissertationsvereinbarungen zwischen Doktorandinnen und

Doktoranden, Universitäten und Betreuerinnen und Betreuern abgeschlossen werden, die

etwa zusätzlich zum Eingangsverfahren jährliche Evaluierungen des Studienfortgangs

umfassen.

4.3. Derzeit wird kein Handlungsbedarf in Bezug auf die Habilitation gesehen, ihre Bedeutung

steht jedoch in offensichtlichem Zusammenhang mit zukünftigen Entwicklungen im

Doktoratsstudium. Ein aufgewertetes Doktoratsstudium (PhD-Studium) könnte die

Habilitation ersetzen.

4.4. Die Vermittlung von Schlüsselkompetenzen sollte idealerweise bereits im Diplom- bzw.

Magisterstudium beginnen; im Doktoratsstudium sollte sie auf hohem Niveau fortgesetzt

werden.

4.5. Zur Erreichung von Chancengleichheit von Frauen und Männern in der Wissenschaft

ist bereits in der Dissertations- und post-doc-Phase das Augenmerk auf Maßnahmen zur

Frauenförderung bzw. des Abbaus bestehender Barrieren (Vereinbarkeit von Beruf und

Familie) zu legen.

4.6. Der Schaffung beruflicher Perspektiven für Promovierte, inklusive der Förderung des

wissenschaftlichen Nachwuchses, kommt entscheidende Bedeutung für die Attraktivität des

Doktoratsstudiums zu; die Universitäten, der öffentliche Dienst und die Privatwirtschaft sind

hier gleichermaßen gefordert.

4.7. Die Empfehlungen der European Charter for Researchers für early stage researchers

sollen umgesetzt werden.


“Realising the European Higher Education Area”

Communiqué of the Conference of Ministers responsible for Higher Education, Berlin, 19 September 2003

28

“Realising the European Higher Education Area” Communiqué of the Conference of Ministers responsible for Higher Education, Berlin, 19 September 2003 http://www.ond.vlaanderen.be/hogeronderwijs/bologna/documents/

European Higher Education Area and European Research Area

– two pillars of the knowledge based society

Conscious of the need to promote closer links between the EHEA and the ERA in a Europe of

Knowledge, and of the importance of research as an integral part of higher education across Europe,

Ministers consider it necessary to go beyond the present focus on two main cycles of higher education

to include the doctoral level as the third cycle in the Bologna Process. They emphasise the importance

of research and research training and the promotion of interdisciplinarity in maintaining and

improving the quality of higher education and in enhancing the competitiveness of European higher

education more generally. Ministers call for increased mobility at the doctoral and postdoctoral levels

and encourage the institutions concerned to increase their cooperation in doctoral studies and the

training of young researchers.

Ministers will make the necessary effort to make European Higher Education Institutions an even

more attractive and efficient partner. Therefore Ministers ask Higher Education Institutions to

increase the role and relevance of research to technological, social and cultural evolution and to the

needs of society.

Ministers understand that there are obstacles inhibiting the achievement of these goals and these

cannot be resolved by Higher Education Institutions alone. It requires strong support, including

financial, and appropriate decisions from national Governments and European Bodies.

Finally, Ministers state that networks at doctoral level should be given support to stimulate the

development of excellence and to become one of the hallmarks of the European Higher Education

Area.


Austrian law concerning the third cycle 29

Austrian law concerning the third cycle http://www.bmwf.gv.at/submenue/service/recht/universitaetsgesetz_2002/ http://ris.bka.gv.at

Bundesgesetz über die Organisation der Universitäten und ihrer Studien

(Universitätsgesetz 2002) in der Fassung des Bundesgesetzes BGBl. I Nr.

74/2006

§ 51 Abs. 2:

Z. 12. Doktoratsstudien sind die ordentlichen Studien, die der Weiterentwicklung der Befähigung zu

selbstständiger wissenschaftlicher Arbeit sowie der Heranbildung und Förderung des

wissenschaftlichen Nachwuchses auf der Grundlage von Diplom- und Masterstudien dienen.

Z. 13. Dissertationen sind die wissenschaftlichen Arbeiten, die anders als die Diplom- und

Masterarbeiten dem Nachweis der Befähigung zur selbstständigen Bewältigung wissenschaftlicher

Fragestellungen dienen.

Z. 14. Doktorgrade sind die akademischen Grade, die nach dem Abschluss der Doktoratsstudien

verliehen werden. Sie lauten „Doktorin ...“ oder „Doktor ...“, abgekürzt „Dr. ...“, mit einem im

Curriculum festzulegenden Zusatz, oder „Doctor of Philosophy“, abgekürzt „PhD“.

Z. 26. Der Umfang der Studien mit Ausnahme der Doktoratsstudien ist im Sinne des Europäischen

Systems zur Anrechnung von Studienleistungen (European Credit Transfer System – ECTS,

253/2000/EG, Amtsblatt Nr. L 28 vom 3. Februar 2000) in ECTS-Anrechnungspunkten56 anzugeben.

Mit diesen Anrechnungspunkten ist der relative Anteil des mit den einzelnen Studienleistungen

verbundenen Arbeitspensums zu bestimmen, wobei das Arbeitspensum eines Jahres 1 500

Echtstunden zu betragen hat und diesem Arbeitspensum 60 Anrechnungspunkte zugeteilt werden.

§ 54 Abs. 4:

Die Dauer von Doktoratsstudien beträgt mindestens drei Jahre. Das Studium darf als „Doctor of

Philosophy“-Doktoratsstudium bezeichnet und der akademische Grad „Doctor of Philosophy“,

abgekürzt „PhD“, verliehen werden.

§ 124 Abs. 15:

Ordentliche Studierende, die Doktoratsstudien betreiben, welche mit einem Arbeitsaufwand von

mindestens 120 ECTS-Anrechnungspunkten vor dem In-Kraft-Treten des § 54 Abs. 4 in der Fassung

des Bundesgesetzes BGBl. I Nr. 74/2006 eingerichtet wurden, sind berechtigt, diese Studien bis

längstens 30. September 2017 nach diesen Vorschriften abzuschließen. Ab dem Studienjahr 2009/10

darf eine Zulassung zu einem Doktoratsstudium, dessen Mindeststudiendauer weniger als drei Jahre

beträgt, nicht mehr erfolgen.


Austrian law concerning the third cycle 30

§ 54 Abs. 4 (before the amendment BGBl. I Nr. 74/2006):

Der Arbeitsaufwand für Doktoratsstudien hat mindestens 120 ECTS-Anrechnungspunkte zu betragen.

Beträgt der Arbeitsaufwand mindestens 240 ECTS-Anrechnungspunkte, so darf das Studium als

„Doctor of Philosophy“-Doktoratsstudium bezeichnet und der akademische Grad „Doctor of

Philosophy“, abgekürzt „PhD“, verliehen werden.


31

LINKS Austria: http://bologna.univie.ac.at (Bologna-Office, University of Vienna) http://www.bmwf.gv.at (Federal Ministry of Science and Research) http://www.reko.ac.at (Austrian Rectors’ Conference) Europe: http://www.eua.be (European University Association) http://www.eurodoc.net (European Council of Doctoral Candidates and Young Researchers) Bologna Process Websites: http://www.bologna2009benelux.org (2007-2009) http://www.dfes.gov.uk/londonbologna/ (2005-2007) http://www.bologna-bergen2005.no/ (2003-2005) http://www.bologna-berlin2003.de/ (2001-2003)

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