OECD Review of Higher Education, Research and Innovation: Portugal

Foreword
Table of contents
Acronyms and abbreviations
Executive summary
	Governance, strategy, and funding in the higher education, research, and innovation system
		Portugal needs a comprehensive and coherent national strategy to guide public higher education, research, and innovation in the mid- to long-term
		Improved co-ordination across government is needed to support the development of a comprehensive policy strategy and priorities
		The future of State Laboratories within Portugal’s research system is unclear
		The resources allocated to higher education, research and innovation are not aligned to an overall strategy, or to policy goals guiding the work of government
		Funding allocation processes at agency level limit the implementation of national priorities
	The missions, profiles and use of resources of higher education institutions
		The profiles and missions of Portugal’s public higher education institutions, viewed as a system, are not well aligned to national and regional needs
		Higher education institutional autonomy and responsibility have expanded, but remain insufficient
		Public spending is provided in a way that hampers sound financial management by higher education institutions
		Funding and steering policies do not encourage institutional profiling and division of labour
	Higher education provision, access and support mechanisms
		Differentiation and flexibility in modes of provision and pedagogical approaches remain limited, jeopardising Portugal’s attainment goals
		Pathways from secondary to higher education limit further widening and social diversification of higher education access
		Financial and academic support for students needs improvement to achieve attainment goals
	Doctoral training
		The funding and delivery of doctoral training is not well configured to prepare doctoral graduates for today’s research roles
		More needs to be done to create quality employment opportunities for doctoral graduates in Portugal
	Academic Careers
		Problems of queuing and in-breeding in academic careers are extensive
		The structure of careers is marked by weak differentiation and limited performance-based rewards
		Low career mobility and late retirement hinder innovation and diversity
	High-skilled employment, co-operation with HEIs and innovation in the business sector
		There is a need to support low and mid-tech businesses to develop their internal innovation capacity
		Mismatches between the supply and demand for qualified staff may be hampering innovation
		Further support for intermediary organisations in low technology industry and service sectors is needed
		The knowledge transfer infrastructure should be strengthened
Chapter 1.  Assessment and recommendations
	1.1. Introduction
	1.2. What does an effective HERI system look like?
	1.3. Governance, strategy and funding in the HERI system
		Policy Issue 3.1. There is no overarching and coherent national strategy to guide the system in the mid to long term
		Policy Issue 3.2. The capacity to develop an overarching strategy and set priorities is hindered by insufficient co-ordination across government
		Policy Issue 3.3. The future role of State Laboratories in Portugal’s research system is unclear
		Policy Issue 3.4. The resources allocated to higher education, research and innovation are not aligned to an overall strategy or the level of ambition of the government
		Policy Issue 3.5. Funding allocation processes at agency level are not adequate to implement national priorities
	1.4. Missions, profiles and resource use in HEIs
		Policy Issue 4.1 Portugal’s balance of higher education institutional missions is imperfectly aligned to its national and regional needs
		Policy Issue 4.2. Higher education institutional autonomy and responsibility have expanded, but remain insufficient
		Policy Issue 4.3. Public spending is provided in a way that hampers sound financial management by higher education institutions
		Policy issue 4.4. Funding and steering policies do not encourage institutional profiling and division of labour
	1.5. Higher education provision, access and support mechanisms
		Policy issue 5.1. Differentiation and flexibility in modes of provision and pedagogical approaches remains limited, jeopardising Portugal’s attainment goals
		Policy issue 5.2. Pathways from secondary to higher education limit further widening and social diversification of higher education access
		Policy issue 5.3. Financial and academic support for students
	1.6. Doctoral training
		Policy issue 6.1. The funding and delivery of doctoral training is not well configured to prepare doctoral graduates for today’s research roles
		Policy issue 6.2. More needs to be done to create quality employment opportunities for doctoral graduates in Portugal
	1.7. Academic Careers
		Policy issue 7.1. Career planning and entry: queuing and in-breeding
		Policy issue 7.2. The structure of careers: weak differentiation and performance-based rewards
		Policy issue 7.3. Career mobility and retirement: low mobility and late retirement
	1.8. High-skilled employment, co-operation with HEIs and innovation in the business sector
		Policy issue 8.1. The Portuguese innovation policy mix needs a careful balance between the support to high and low tech business firms
		Policy issue 8.2. There are emerging opportunities to support business innovation that merit well-designed policies
		Policy issue 8.3. Cluster-based approaches are instrumental to support innovation, including in less developed regions
		Policy issue 8.4. Mismatches between the supply and demand of qualified personnel may be hampering innovation
		Policy issue 8.5. Further support for intermediary organisations in low tech industry and service sectors is needed
		Policy issue 8.6. The Knowledge transfer infrastructure should be strengthened
	Note
Chapter 2.  Conditions for higher education, research and innovation in Portugal
	2.1. Macroeconomic performance
		2.1.1. GDP growth, inequalities and well-being
		2.1.2. Productivity
		2.1.3. Economic structure
		2.1.4. Employment and skills
		2.1.5. Framework conditions for business
	2.2. Overview of the higher education, research and innovation system (HERI) in Portugal
		2.2.1. Overall structure of the HERI system
		2.2.2. The higher education system: inputs, participation, and outcomes
			Funding higher education
			Participation in higher education and equity in access
		2.2.3. Research and innovation: inputs and performance
			Expenditure and funding
			Research and innovation performance
	Notes
	References
Chapter 3.  Governance, Strategy and funding in the HERI System
	3.1. Introduction
	3.2. Context
		3.2.1. Strategic governance of higher education, research and innovation
			Formal policy-making bodies
			Strategic advice and horizontal co-ordination
			Public consultations
			Foresight and policy evaluation
		3.2.1. Strategic orientation for HERI
			Overview and typology of strategic documents relevant to HERI
			National overarching strategic documents
			National strategic documents in HERI policy fields
			Overarching strategies and programmes related to EU requirements
			Strategic documents in the HERI policy fields related to EU requirements
		3.2.2. Funding of HERI activities
			Overall budget process
			Government funding of higher education and academic research
			Financial support to business innovation
	3.3. Assessment
		Policy issue 3.1. There is no overarching and coherent national strategy to guide the system in the mid to long term
			The multiplicity of national agendas and plans stemming from different parts of the system does not create a consistent strategic framework
			Strategies and plans guiding Structural Funds allocation do not compensate for the lack of a national strategy.
			Existing strategies are insufficiently supported by monitoring, evaluation and foresight
			Recent initiatives demonstrate progress in stakeholder engagement
		Policy Issue 3.2. The capacity to develop an overarching strategy and set priorities is hindered by insufficient co-ordination across government
			Policy silos hinder horizontal co-ordination
			There is no high level advisory body to foster horizontal co-ordination across ministry boundaries
		Policy Issue 3.3. The future role of State Laboratories in Portugal’s research system is unclear
		Policy Issue 3.4. The resources allocated to higher education, research and innovation are not aligned to an overall strategy or the level of ambition of the government
			Drastic reductions of state funding for R&D, in contradiction with national and European spending targets
			Instability of funding hinders the ability of HERI organisations to make ambitious mid- to long-term plans
			The EU and national procedures associated to the management of structural funds create a heavy administrative burden and limit flexibility
		Policy issue 3.5. Funding allocation processes at agency level are not adequate to implement national priorities
			Agencies mainly allocate their funding in a bottom-up way without explicit priorities
			The internal organisation of FCT hinders the co-ordination of the different funding instruments
			The framework within which FCT interacts with its line ministry and its beneficiaries hinders its autonomy to act effectively
			The creation of specific research agencies in specific fields can create additional co-ordination challenges and reduce funding efficiency
	3.4. Recommendations
	Notes
	References
Chapter 4.  Missions, profiles and resource use in HEIs
	4.1. Introduction
	4.2. Context
		4.2.1. Higher education institutions and their missions
		4.2.2. Regulation of study places and programmes
		4.2.3. Quality assurance
		4.2.4. Institutional autonomy
		4.2.5. Funding public higher education institutions
		4.2.6. Higher education system-level governance and steering
	4.3. Assessment
		Policy issue 4.1. Portugal’s balance of higher education institutional missions is not fully aligned to its national and regional needs
		Policy issue 4.2. Institutional autonomy and responsibility have expanded, but remain insufficient
		Policy issue 4.3. Public spending is provided in a way that does not support sound institutional financial management
		Policy issue 4.4. Funding and steering policies do not encourage institutional profiling and division of labour
			The national policy framework does not support institutional profiling
			Internal constraints limits profiling
			Weak profiling limits the performance of the nation’s higher education and research system
	4.4. Recommendations
	Notes
	References
Chapter 5.  Higher education provision, access and support mechanisms
	5.1. Introduction
	5.2. Context
		5.2.1. Higher education provision
		5.2.2. Admission system to higher education
		5.2.3. Support for higher education students
	5.3. Assessment: Key points
		Policy issue 5.1. Differentiation and flexibility in modes of provision and pedagogical approaches remains limited, jeopardising Portugal’s attainment goals
		Policy issue 5.2. Pathways from secondary to higher education limit further widening and social diversification of higher education access
		Policy issue 5.3. Financial and academic support for students
	5.4. Recommendations
	Note
	References
Chapter 6.  Doctoral training
	6.1. Introduction
	6.2. Context
		6.2.1. Stock and flow of doctorate holders in Portugal
		6.2.2. Organisation and funding of doctoral training in Portugal
		6.2.3. The destinations of doctoral holders in Portugal
	6.3. Assessment
		Policy issue 6.1. Doctoral training capacity in Portugal
			Thematic focus: diversified training capacity, but little strategic prioritisation
			A hesitant shift towards greater structure and skills focus in doctoral training
			A strong tradition of internationalisation on which to build
			Undiversified and unstable public funding for doctoral training
		Policy issue 6.2. Employment opportunities for doctoral graduates in Portugal
			Few opportunities for doctoral graduates in the academic sector
			Limited absorption capacity of PhDs in the wider economy
			A lack of strategic focus on brain drain and its impacts
	6.4. Recommendations
	Notes
	References
Chapter 7.  Academic careers
	7.1. Introduction
	7.2. Context
		7.2.1. Entry to academic careers: post-docs and early-stage researcher posts
		7.2.2. Academic careers in Portugal
	7.3. Assessment
		Policy issue 7.1. Career planning and entry: queuing and inbreeding
			Limited employment opportunities, precarious contracts and unrealistic expectations
			A new initiative to create academic employment opportunities that carries risks
			Inbreeding already creates its own challenges
		Policy issue 7.2 The structure of careers: weak differentiation and performance-based rewards
			Centralised regulation of staff workloads restricts flexibility and limits specialisation
			Evaluation, pay-setting and promotion procedures do little to reward good performance
		Policy issue 7.3. Career mobility and retirement: low mobility and late retirement
			Limited incentives for mobility between institutions in Portugal
			The Portuguese higher education system fails to attract many international staff
			A tendency for older staff to remain in post
	7.4. Recommendations
	Notes
	References
Chapter 8.  High-skilled employment, co-operation with HEIs and innovation in the business sector
	8.1. Introduction
	8.2. Context
		8.2.1. Business R&D and innovation investment
		8.2.2. Business innovation performance
		8.2.3. Entrepreneurship
		8.2.4. Advanced skills for innovation and upgrading
		8.2.5. Research-industry knowledge exchange
		8.2.6. Knowledge transfer infrastructure
		8.2.7. Government direct and indirect support to business innovation
	8.3. Assessment
		Policy issue 8.1. The Portuguese innovation policy mix needs a careful balance between the support to high- and low-tech business firms
		Policy issue 8.2. There are emerging opportunities to support business innovation that merit well-designed policies
		Policy issue 8.3. Cluster-based approaches are instrumental to support innovation, including in less developed regions
		Policy issue 8.4. Further support for intermediary organisations in low tech industry and service sectors is needed
		Policy issue 8.5. Mismatches between the supply and demand of qualified personnel may be hampering innovation
		Policy issue 8.6. The knowledge exchange infrastructure should be strengthened to improve connections between tertiary education institutions (TEIs) and industry
	8.4. Recommendations
	Notes
	References
		Annex A. Assessment framework
Annex A. Assessment framework