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Fair use or copyright infringement? What academic researchers need to know about ChatGPT prompts

by Anita Toh

As scholarly research into and using generative AI tools like ChatGPT becomes more prevalent, it is crucial for researchers to understand the intersections of copyright, fair use, and use of generative AI in research. While there is much discussion about the copyrightability of generative AI outputs and the legality of generative AI companies’ use of copyrighted material as training data (Lucchi, 2023), there has been relatively little discussion about copyright in relation to user prompts. In this post, I share an interesting discovery about the use of copyrighted material in ChatGPT prompts.

Imagine a situation where a researcher wishes to conduct a content analysis on specific YouTube videos for academic research. Does the researcher need to obtain permission from YouTube or the content creators to use these videos?

As per YouTube’s guidelines, researchers do not require explicit copyright permission if they are using the content for “commentary, criticism, research, teaching, or news reporting,”as these activities fall under the umbrella of fair use (Fair Use on YouTube – YouTube Help, 2023).

What about this scenario? A researcher wants to compare the types of questions posed by investors on the reality television series, Shark Tank, with questions generated by ChatGPT as it roleplays an angel investor. The researcher plans to prompt ChatGPT with a summary of each Shark Tank pitch and ask ChatGPT to roleplay as an angel investor and ask questions. In this case, would the researcher need to obtain permission from Shark Tank or its production company, Sony Pictures Television?

In my exploration, I discovered that it is indeed crucial to obtain permission from Sony Pictures Television. ChatGPT’s terms of service emphasise that users should “refrain from using the service in a manner that infringes upon third-party rights. This explicitly means the input should be devoid of copyrighted content unless sanctioned by the respective author or rights holder” (Fiten & Jacobs, 2023).

I therefore initiated communication with Sony Pictures Television, seeking approval to incorporate Shark Tank videos in my research. However, my request was declined by Sony Pictures Television in California, citing “business and legal reasons”. Undeterred, I approached Sony Pictures Singapore, only to receive a reaffirmation that Sony cannot endorse my proposed use of their copyrighted content “at the present moment”. They emphasised that any use of their copyrighted content must strictly align with the Fair Use doctrine.

This evokes the question: Why doesn’t the proposed research align with fair use? My initial understanding is that the fair use doctrine allows re-users to use copyrighted material without permission from the right holders for news reporting, criticism, review, educational and research purposes (Copyright Act 2021 Factsheet, 2022).

In the absence of further responses from Sony Pictures Television, I searched the web for answers.

Two findings emerged which could shed light on Sony’s reservations:

  • ChatGPT’s terms highlight that “user inputs, besides generating corresponding outputs, also serve to augment the service by refining the AI model” (Fiten & Jacobs, 2023; OpenAI Terms of Use, 2023).
  • OpenAI is currently facing legal action from various authors and artists alleging copyright infringement (Milmo, 2023). They contend that OpenAI had utilized their copyrighted content to train ChatGPT without their consent. Adding to this, the New York Times is also contemplating legal action against OpenAI for the same reason (Allyn, 2023).

These revelations point to a potential rationale behind Sony Pictures Television’s reluctance: while use of their copyrighted content for academic research might be considered fair use, introducing this content into ChatGPT could infringe upon the non-commercial stipulations (What Is Fair Use?, 2016) inherent in the fair use doctrine.

In conclusion, the landscape of copyright laws and fair use in relation to generative AI tools is still evolving. While previously researchers could rely on the fair use doctrine for the use of copyrighted material in their research work, the availability of generative AI tools now introduces an additional layer of complexity. This is particularly pertinent when the AI itself might store or use data to refine its own algorithms, which could potentially be considered a violation of the non-commercial use clause in the fair use doctrine. Sony Pictures Television’s reluctance to grant permission for the use of their copyrighted content in association with ChatGPT reflects the caution that content creators and rights holders are exercising in this new frontier. For researchers, this highlights the importance of understanding the terms of use of both the AI tool and the copyrighted material prior to beginning a research project.

Anita Toh is a lecturer at the Centre for English Language Communication (CELC) at the National University of Singapore (NUS). She teaches academic and professional communication skills to undergraduate computing and engineering students.


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Writing a Book Proposal

by Rachel Brooks and Sarah O’Shea

Professor Rachel Brooks and Professor Sarah O’Shea (editors of the SRHE/Routledge Book series) recently ran a Professional Development Programme event on ‘Writing a Book Proposal’. Sarah and Rachel offered their insights as authors and editors, discussing some questions frequently asked by those thinking of putting a book proposal together; they also include some advice from a publisher’s perspective offered by our colleagues at Routledge. This summary has been compiled and edited by Sinead Murphy, SRHE Manager, Conferences and Events.

Publishing a book is a significant undertaking – so why do it? Writing a book is a means for researchers to provide an in-depth and coherent account of their work, that often isn’t possible in shorter articles or other formats. Books are accepted in social sciences (including higher education research) as appropriate outputs, and provide opportunities to reach a larger, sometimes international, audience for your work.

Before embarking on such a project, it is important to consider the different options available for disseminating your research, and the advantages and limitations of each. Firstly, you may wish to weigh up the distinctions between edited books and monographs:

  • The labour of producing a co-edited book is distributed across a group authors and editors, and the format can facilitate a greater range and diversity of perspectives around a single topic or theme. At the same time, co-edited volumes demand a lot of time and project management from the editor(s), who must also ensure the overall quality of the finished product.
  • Monographs, on the other hand, are generally sole-authored or sometimes involve a small author team, such that the writing can be well-integrated, with ideas and arguments explored in significant depth. A sole-authored book involves a great deal of time, energy, and labour, but is an excellent addition to your CV.

Some of the most innovative books in the field of higher education research are based on doctoral research. However, turning your PhD thesis into a book often requires a substantial amount of work, and there are some specific considerations worth bearing in mind during this process:

  • Thesis chapters do not automatically translate to book chapters – restructuring, rewriting, revision, and addition is often required. Books typically do not, for example, tend to feature the same level of detail around methodological decisions and process as is found in a doctoral thesis. You may also need to ‘slice’ your thesis and explore a specific area or theme more deeply.
  • Consider any overlaps with previously published journal articles. Some publishers may be concerned about what will be novel or original about your book if you have already published extensively from your PhD research, while for others this may not be a significant issue. It’s therefore worth discussing this topic with your target publisher at an early stage, to establish what kind of changes or developments may be expected for a book proposal to be successful.
  • Discuss your publication plans (and/or draft proposal) with your current or former supervisor, or other experienced academics in your department or field. The transition from publishing works in progress and journal articles to publishing books can seem like a big leap, but supervisors – who know your work very well – are generally happy to discuss and advise on this process.

With your initial preparation complete, you may feel ready to approach a publisher. What are the next logical steps?

  • Research your publishing options, and consider not only what would best suit your field and specific topic, but also your motivation for writing the book. Are you, for instance, trying to apply for a job or promotion? If so, which publisher is highly regarded in your field?
  • Once you have decided on your publisher of choice, consider sending an informal e-mail to the editor(s). Your e-mail should provide a brief overview of your idea or focus and seek to gauge some feedback on whether this would appeal to the series – the response you receive can help you to quickly establish whether a publisher is the right fit for your work.
  • Check the different publication options offered – is a paperback option available? Hard copies can be prohibitive in terms of cost to the prospective reader, and so a paperback option could be a key selling point down the track. Are there options for open access – and if so, what are the fees and charges? Some contracts or research projects include funding for these costs.

Once you have conducted this initial research, a publisher may invite you to write a proposal – this is a formal expression of what you hope your book will contain, which provides the basis for the publisher (and others) to make a final decision regarding a potential book contract.

Usually there is a form or template available on the publisher’s website or which they can send you, which must be carefully followed. These forms vary across publisher, so it is important to access this early in your process to tailor your proposal to what the publisher is asking for. While completing this form:

  • Consult examples of successful proposals – colleagues in your department or wider network will often be happy to share.
  • Provide details of your writing or editing experience – this is an opportunity to outline what you have already published from your PhD.
  • The proposed timeline for someone drawing on their finished thesis will be much shorter than that of someone starting from scratch with a new research project. It is important to be realistic about how much writing you have done already, and your existing commitments. A typical timeline may be around one year from the date on which the book contract is signed, but this varies greatly depending on individual circumstances.
  • Many publishers prescribe a minimum and maximum length for the finished book (normally around 80,000 words) but this varies between publishers, and there is increasing variety in length.
  • A book proposal should also include a concise overview expressing the unique selling point of your book, a chapter-by-chapter summary, a list of competing titles in the same area as your proposed book (and what makes your book distinct from these) and the potential market for your book (academics, students, researchers, others?). Some of this can be more challenging with edited collections if you are planning a call for proposals, but both publishers and peer reviewers need to see what you are planning to include to assess the proposal fully.

Some further writing advice from a publisher’s perspective offered by Routledge, but widely applicable across many academic publishers, is:

  • Take your time writing

It is obvious to those assessing a proposal if it has been rushed. Use the proposal as an opportunity to best advertise yourself, your author voice, and your ideas. Ensure you answer all questions on the template provided by the publisher or series editor fully – missing out on questions can imply to the publisher that your idea is not fully developed.

  • Be clear and accessible in your language

While the editor you submit your proposal to at the publisher will work within your subject area, eg education, they are unlikely to be an expert in your specific topic. Make sure you spell out acronyms or technical terms the first time you use them and reference the work you are building upon.

  • Think about the market/intended audience for the book

Publishers need to know that there is a clear route to market for your book, in addition to its academic merit. Make sure you express who you think your reader will be and how they are going to use your book. What are the key objectives of your book, and why is it needed? Making this clear in your proposal shows that you are serious about writing a book and that you have a good awareness of your key market and what else has published in the area.

  • Recommend potential reviewers

The publisher may ask you to recommend peer reviewers as part of the proposal stage, generally requesting that they are at a different institution to you and spanning a range of locations if you are aiming at an international audience. Routledge does not guarantee to contact all of these people – and their peer review process is anonymised so you won’t know this for definite – but they provide another indication of who you are writing for. This can help the publisher search for other potential reviewers and ensure your book is correctly positioned within their publishing programme.

  • Supply abstracts, table of contents, and a description of the book wherever possible

At the formal proposal stage, you should have a good idea of what the book will be about. Supplying this material can be more difficult when it comes to edited collections particularly if you are planning a call for proposals, but the publisher needs to see what you intend to include to assess the proposal fully – as do peer reviewers.

If you are considering proposing a book for inclusion in the SRHE/Routledge Book Series Research in Higher Education, please contact Rachel Brooks (r.brooks@surrey.ac.uk), Sarah O’Shea (sarah.oshea@curtin.edu.au) or Clare Loughlin-Chow (SRHE Director, clare.loughlin-chow@srhe.ac.uk).

Professor Rachel Brooks is Professor of Sociology and Associate Dean for Research and Innovation at the University of Surrey, UK. As well as being co-editor of the Routledge/SRHE book series, she is editor-in-chief of Sociology and an executive editor of the British Journal of Sociology of Education. She has published widely in the sociology of higher education. Recent books include Student Migrants and Contemporary Educational Mobilities (with Johanna Waters); Reimagining the Higher Education Student (with Sarah O’Shea) and Sharing Care (with Paul Hodkinson).

Professor Sarah O’ Shea is a national and international recognised educator and researcher, who applies sociological perspectives to the study of higher education equity. Sarah has also held numerous university leadership positions, which have directly informed changes across the Australian higher education sector, particularly in the field of educational equity. She is a prolific writer, with over 80 publications including books, book chapters, scholarly journal articles, media articles and commissioned reports produced in the last decade.


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The health of higher education studies – cause for optimism?

By Rachel Brooks

How healthy is the area of higher education studies? When we look at the extant literature, there seems to be cause for concern. Scholars have noted: the frequent absence of theory and short-term focus of such research; the proximity of researchers to policy-makers which, it is argued, can make critical distance hard to achieve; and the fragmentation of the field. Higher education research has also been critiqued for occupying a relatively marginal place within the wider discipline of educational research. Nevertheless, I suggest that an analysis of recent data paints a rather different, and more optimistic, picture.

Indeed, there is mounting evidence that higher education research is an increasingly vibrant area of enquiry. In relation to research funding, for example, data from the UKRI’s Gateway to Research on the number of grants awarded from the Economic and Social Research Council (ESRC) and the Arts and Humanities Research Council (AHRC) (Figure 1) indicate that, since the turn of the century, higher education-focussed projects have regularly been funded, albeit still not to the same extent as those that are schools-orientated. The grants from these bodies are relatively large (for the arts, humanities and social sciences), and are typically expected to make a theoretical, not only empirical, contribution.

Figure 1. Number of ESRC and AHRC grants awarded by ESRC and AHRC, with higher education or school in title, 2006-2022, by date of award*

Source: UKRI Gateway to Research database

*The data show only the date of the award, not the years over which the award was spent.

NB Data are available from 2004, but no education grants are recorded for either 2004 or 2005.

Vibrancy within the field of educational studies is also evidenced in data from the most recent national research assessment exercise in the UK (REF2021). As the exercise allowed researchers to be much more selective about the work they submitted for assessment than in previous exercises (ie they were required to submit a minimum of one research output and, across submissions as a whole, an average of 2.5 such outputs per full-time member of staff, compared with a minimum of four submissions per staff member in REF2014), the work submitted is clearly only a relatively small proportion of the overall research conducted within the area. Nevertheless, the data do facilitate comparative judgements over time, as well as giving a good sense about what is considered, by both individuals and institutions, to be high quality work within education. As Table 1 shows, the percentage of outputs submitted to the Education unit of assessment for REF2021 that focussed on higher education, at 14 per cent, was markedly higher than the corresponding proportion in the previous exercise, at nine per cent. A similar increase was evident in relation to the impact case studies submitted for both exercises, with the number of higher education-focussed impact case studies increasing from 15 per cent of all those submitted to the Education unit of assessment in REF2014 to 21 per cent in REF2021 (see Table 2). The increased vibrancy of higher education scholarship was also noted within the final report for the Education unit of assessment, which explicitly remarked on the growth in this area since REF 2014.   

Table 1. Submission to REF2021 Education sub-panel: outputs

 Total number of outputsHE-focussed outputsPercentage
REF201455195029
REF2021527273014

Source: REF2021 database; REF2014 analysis from Cotton et al 2018

Table 2. Submission to REF2021 Education sub-panel: impact case studies (ICS)

 Total number of ICSHE-focussed ICSPercentage
REF20142143215
REF20212264721

Source: REF2021 database; REF2014 analysis from Cotton et al 2018

The third source of evidence for the vibrancy of higher education within educational research is individual journals. The British Journal of Sociology of Education is a well-established international journal, based in the UK, which publishes work across many areas of education from pre-school to adult education and workplace learning. A comparison of the content of articles published in this journal since the turn of the century indicates that the proportion of work focussed on higher education has seen a steady growth, with a particularly large number of articles published over the most recent period (see Figure 2). Alongside this, new higher education journals have emerged over recent years. Policy Reviews in Higher Education, for example, was launched in 2017, with the remit of publishing articles that engage explicitly with topical policy questions and significant areas of higher education policy development.

Figure 2. Percentage of articles focussing on higher education published in the British Journal of Sociology of Education, by issue number: 20 (1999) to 43 (2023)

Source: British Journal of Sociology of Education website

Evidence from these three sources – research funding bodies, the UK’s national research assessment exercise, and education journals – indicates that higher education research now occupies an important place within the wider educational research landscape, and has grown in vibrancy over the past ten to twenty years. Moreover, it appears to have successfully addressed some of the weaknesses identified by scholars a decade or so ago, which were outlined above. The success of higher education researchers in securing grants from prestigious funding bodies suggests that they are no longer dependent on the short-term grants from policy organisations, enabling the exploration of issues in more depth across longer timescales. All three sources of evidence discussed above also indicate that the ‘absence of theory’ is no longer an accurate characterisation of the field. As noted above, UKRI grants typically require grant-holders to make a theoretical contribution, as well as an empirical one, through their work, while a robust conceptual framework is obviously important to work published in high status journals (such as the British Journal of Sociology of Education) and likely to be a consideration for work selected for submission to REF2021, given the relatively low number of submissions required per individual.

The vibrancy of higher education research can be explained by factors at a variety of levels. First, despite the points above about the ‘critical distance’ between researchers and policymakers, it seems very likely that much higher education research is related to the wider national policy context in the UK (and other parts of the world), in which politicians and policymakers have shown a high level of interest in the higher education sector, and taken up an increasingly interventionalist stance. Researchers are likely to be, in part, responding to this political prioritisation. The ongoing massification of higher education in the UK, with around 50 per cent of each cohort going on to degree-level study, may also have driven research activity in this area – with researchers cognisant of the importance of the sector to many people’s lives. As scholars have noted previously, higher education research is also encouraged at the institutional level – not only through the work of academic development units (or similar) – but also through the funding made available by universities to their academic staff to better understand their student populations and/or to pursue pedagogical research, with the aim of improving processes of teaching and learning. Often these are bound up quite closely with the wider policy environment: a desire to use research to improve ‘the student experience’ may be underpinned by market imperatives – for example, to improve an institution’s performance in the National Student Survey. Increased support from professional organisations (such as the SRHE and the network of Early Career Higher Education Researchers) is likely to have also played a role in the stimulation of higher education research. Finally, the ease and low cost of access to research participants (ie students and higher education staff) may also have driven enquiry in this area, in a context where research funding has become extremely competitive. While there are many reasons to be concerned about the focus of researchers’ gaze (ie the state of UK higher education itself), the current vibrancy of higher education studies is, in many ways, to be celebrated.

This blogpost is based on an article that has recently been published in the British Journal of Educational Studies.

Professor Rachel Brooks is Professor of Sociology and Associate Dean for Research and Innovation at the University of Surrey, UK. As well as being co-editor of the Routledge/SRHE book series, she is editor-in-chief of Sociology and an executive editor of the British Journal of Sociology of Education. She has published widely in the sociology of higher education. Recent books include Student Migrants and Contemporary Educational Mobilities (with Johanna Waters); Reimagining the Higher Education Student (with Sarah O’Shea) and Sharing Care (with Paul Hodkinson).


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Reflecting on a second virtual conference…and looking ahead

by Camille Kandiko Howson

I had the honour of being asked to give some closing remarks at the Society for Research into Higher Education’s Annual Conference this year, alongside Prof Chris Millward and the SRHE team. ‘Mobilities in Higher Education’ was the theme of the Society’s second virtual conference. First some reflections.

Mobilities in higher education refer to the movement of students, faculty, and staff within and across national borders for the purpose of pursuing education and research opportunities. This phenomenon has increased significantly in recent years, driven by factors such as globalization, advances in technology, and the growing demand for a highly skilled workforce.

The impact of mobilities on higher education institutions (HEIs) is complex and multifaceted. On the one hand, mobilities can bring benefits such as diversity and internationalization, enhanced research and teaching capabilities, and increased funding and partnerships. On the other hand, mobilities can also pose challenges such as language and cultural barriers, issues with accreditation and recognition of qualifications, and unequal access and participation.

To address these challenges and maximize the benefits of mobilities, HEIs need to develop strategies and policies that support the mobility of students, faculty, and staff. This includes providing adequate support services, facilitating credit transfer and recognition of qualifications, and promoting intercultural competence and global citizenship.

In conclusion, mobilities in higher education are a crucial aspect of the contemporary global education landscape. HEIs need to carefully consider the opportunities and challenges posed by mobilities and develop strategies to support and enhance this phenomenon.

I’ll pause here, because I did not write the previous four paragraphs. I put the title into the ChatGPT open AI chatbot and it spit out the abstract above instantly. This tool launched during the conference week, exciting many delegates and kicking off worries about the future of assessment and feedback in higher education. The possibilities also reminded me why we like to meet up as a community -virtually and physically – to share what is happening and how we can actively shape the future. The conference theme was widely adopted across presentations, showing our desire to come together to learn, teach and research higher education. Now on to my (human) thoughts.

Last year in summarising the conference I highlighted the following:

  • the focus on belonging
  • the increased internationalisation of the programme
  • lack of research on policy in HE in England

The second and third of these themes seemed strong again, and in addition I would note the dominance of the conference theme of ‘Mobilities’ (irony not lost for an on-line conference!). The pandemic has not stopped academics collaborating across institutions. I also noticed powerful research and focus on researchers in conflict-afflicted regions. There was also increased interest in international students – across UG, PGT and PRG levels. Topics included notions of quality and murmurings of geopolitical influences for international students.

Some other themes of note were researchers drawing on contemporary theories (eg the ‘Ideal Student’ research by Billy Wong and Tiffany Chui), moving beyond a Bordieusian dominance. In this vein, I was pleased to see the strength of research involving liaising with target student groups, as partners, in steering groups and in evaluating research.

In credit to the SRHE team, there were great links between papers in sessions, with many feeling more like symposia than separate research papers. It was also amazing to see so many outputs from SRHE-funded research projects being presented.

Reflecting on some of the specific sessions I was able to attend, in Session 2d I was intrigued by the term ‘studiability’: the ability to complete courses on time and with appropriate workload. This is not addressed much in the UK and it would be interesting to see more on this. Another paper explored the recursive relationship between public policy degrees and the jobs graduates go on to do. There were different histories and trajectories across countries – always fascinating insights from comparative research.

A theme across a number of sessions came out in 3b exploring racialised impostor phenomenon, and the importance of role models for students. Similarly, in 11f the impostor phenomenon and explorations of race and gender arose, alongside the importance of students (and others) in self-identifying themselves versus being categorised in identity research. Session 12a had a focus on care leavers, care experienced students and those with caring responsibilities and the challenges working across institutions and social services. This topic was explored in a number of sessions – which is really important in an under-researched area.

These sessions really highlighted the passion researchers have and the change people want to see from their research. And to mention what I did not see much of, there was a lack of research on climate change and cost of living – maybe these current issues have not caught up with the pace of research, or maybe they do not fit well with current research paradigms.

I also did a word cloud analysis of the programme. Interestingly, ‘Students’ trumps ‘Research’ but ‘Academics’ beat ‘Learning’. Make of that what you will. Closing on the theme of mobilities, the top three cities listed in the programme were London, Manchester and Birmingham, and the second most common country in the programme was Australia.

As was mentioned throughout the conference, many of us missed getting together in person. We hope to manage that in some form next year, continuing to build our connections (physical and virtual). And to finish, I asked the ChatGPT bot for the theme for next conference and it suggested: “Innovation, equity and the future of higher education.” Another one to go in the mix, and further (human) ideas welcome.

SRHE member Dr Camille Kandiko Howson is Associate Professor of Education in the Centre for Higher Education Research and Scholarship at Imperial College London. Follow Camille on Twitter @cbkandiko


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Research co-creation may be the key to impact

by Finley Lawson

I have been using a design-based implementation approach to co-creating educational research since 2019 at Canterbury Christ Church University, where a cross-institutional team of teachers, researchers, and school senior leaders grapples with where and how to provide opportunities for students to become ‘epistemically insightful’ (equipped with an understanding of the nature of knowledge within disciplines and across disciplinary boundaries). Previous research by the Centre discovered that pressures within schools dampen students’ expressed curiosity in questions about the nature of reality and human personhood and limit the development of their epistemic insight into how science, religion and the wider humanities relate. We developed the Epistemic Insight Initiative to understand the kinds of interventions, tools, and pedagogies that would address the current challenges posed by a compartmentalised curriculum. The challenge we faced was how we could transform whole-school curriculum practice without removing teacher agency. We wanted to ensure that the intervention(s) met the needs and experiences of each school community, without becoming so contextualised that that the findings and approaches couldn’t be generalised to have wider applicability (and ultimately impact).

Part of our role as universities is to produce (and facilitate the production of) knowledge. As the REF puts it we should be “illustrating the benefits research delivers beyond academia, including how it brings tangible changes to aspects of society and life, and the public value it delivers”. Yet within educational research there is a perceived disjunct between the research undertaken by universities (or professional research organisations) and the research used and undertaken by teachers and practitioners in schools and other educational settings. This is highlighted in practitioner-focused literature where evidence-informed practice is often divided between desk based ‘research’ by teachers as separate from ‘academic research’ conducted by universities or research organisations – a model which emphasises the teachers’ role as a consumer rather than creator of research (Nelson and Sharples, 2017). This divide can also border on a dismissal of teachers’ ability to engage with academic research, by insisting for example that we shouldn’t “expect teachers to learn to read research” and our role as researchers should be to create “teacher-friendly research”, with the implication that this is somehow ‘less than’ academic research (Miller et al, 2010). Why is this divide important for SRHE? We are after all focused on higher education so, apart from a call to consider broader dissemination avenues for our research, why does it matter?

My answer is impact. Not solely, or even primarily, in terms of a ‘REF-able’ impact, but because we know that education research has the power to transform students’ experiences of learning and thus broaden their aspirations for higher education. Whilst there is a wealth of literature on the importance of research engagement within initial teacher education and professional development (for example see Hine, 2013; Hagger and Mcintyre, 2000; Murray et al, 2009), the question of how to ensure that the research ecosystem is reciprocal (i.e. that teachers/practitioners are viewed as knowledge producers not just consumers) is still relatively under discussed. A research ecosystem can be seen as analogous to a natural ecosystem where knowledge is transferred between stakeholders in a process that leads to the emergence of systemic change. The current challenge is to ensure that knowledge flows from teachers/practitioners into the system; Pandey and Pattnaik (2015) discuss this within a university and Godfrey and Brown (2019) within a school but there is less research on bringing these “micro-systems” together into a mutually enriching “macro-system” (although research by Connelly et al (2021) in the Irish context is promising). Educational research is about improving the opportunities and outcomes for those in education. For this to happen the change/intervention must continue to be implemented beyond an individual project, and often within the constraints of existing curricula and assessment frameworks. This means that teachers and educators need to be seen not as a resource for ‘local expertise’ but as a crucial part of the research ecosystem.

The establishment and development of a co-creation relationship across a diverse group of primary and secondary schools has taken about three years and has been led by both teachers and school senior leaders. The linchpin for these relationships has been a shared recognition of the challenges identified within the previous research, and an interest in examining how school students can be better equipped to navigate disciplinary and curricula boundaries. This shared goal means that the school and research centre aims are aligned and therefore the core data collected can be standardised across the schools, but with the addition of contextualised questions that address the specific questions of each school. These local questions alongside school-level data for the core questions are shared with the school to support their practice and development plans. As a research centre we analyse data from across the partner schools, with the advantage that, as the research addresses shared concerns, teacher engagement with the research is high. This ensures a 95% plus response rate across multiple data collection points for each cohort. Teachers and school leaders receive training on the philosophical framework underpinning the research and the learning tools but work in collaboration with the centre to develop lessons and curricula that meet the aims of the research. As researchers we act in a quality assurance role during the intervention development, which means that the teachers are at the forefront of shaping the intervention for their students and within their institutional constraints. This close collaboration means that we address two of the key features required in building research in schools (a) “a willingness to embed the research activity into existing school systems” and (b) “access to sources of expertise and advice” (Sanders et al, 2009). In one school this saw a movement from 10 teachers being involved in the initial curriculum design (plus delivery by 7 members of the senior team) to, in the second year, the entire professional development programme being restructured around research-engaged Professional Learning Communities, where staff undertook their own action-research projects.  Now, in the third year, all staff including support staff are in mixed research teams as part of their professional development.

Sharp et al identify a range of benefits to schools in being research engaged, including teacher retention, raised standards and school development. The biggest impact we have noticed, shared by our partner schools, has been the combined impacts on teacher development/practice and their epistemic agency to investigate the educational questions that matter to them, empowered by an ethos that acknowledges that not every intervention will succeed. 80% of participating teachers in one school agreed that it has improved their understanding of disciplinary methods of their own discipline in relation to one they don’t teach. Across the schools, teachers have changed practice within their teaching and have been empowered to signpost students better to links with other subjects. As researchers, we have seen our work embedded in ways and places that we could not have envisioned and seen a genuine interest from schools to engage in research that required the time and expertise of sometimes the whole staff body (particularly in primary schools). This kind of impact with whole year groups, even whole schools, taking part in research-engaged curriculum interventions and redevelopment would not be possible were we using a ‘traditional’ research model that excluded co-creation. The power of co-creation is that these ‘interventions’, if they can still be called that, will continue far beyond the directly funded projects that started them, because those involved have ownership of what is taking place.

Our role now, outside the continued partnership, is to understand how we, in HE, can use our position to amplify practitioner voices, to share this practitioner research widely within the research landscape. We are still looking for the best way to support those teachers to share their research-engaged practice into teacher education directly (through knowledge exchange opportunities with students on QTS programmes) and with educational researchers. In placing practitioner research within the research landscape, we truly recognise its value within the research ecosystem and can share how generalised interventions/findings can be implemented in practice, in schools or other settings every day. We must ensure that our HE practice includes acting as a knowledge broker, supporting, and enabling the production of knowledge by the communities which HE serves and feeding that back into the wider research environment.

Finley Lawson is the Lead Research Fellow for Outreach and Schools’ Partnership, at the LASAR (Learning about Science and Religion) Research Centre at Canterbury Christ Church University, Kent. His recently-submitted PhD examines the implication of scientific metaphysics for incarnational theology (Christ, Creation, and The World of Science: Beyond Paradox). He is interested in the dialogue between STEM, Religion, and the wider humanities, and how this can be fostered in school curricula. Finley is the Lead Researcher on the OfS-funded Inspiring Minds Project. The co-created research with schools discussed here has been funded by the Templeton World Charitable Foundation and forms part of the wider Epistemic Insight Initiative. As a centre we would like to thank all the schools who have been actively involved in our research but in particular the staff and students at Astor School, Bromstone Primary School, and Wilmington Grammar School for Girls, who have been case study schools during the project and have been involved in publicly sharing their work and experiences.

Email: finley.lawson@canterbury.ac.uk; Twitter: @FinnatCCCU


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Research with international students: reflecting on an SRHE 2022 symposium

by Jenna Mittelmeier, Sylvie Lomer, and Kalyani Unkule

We were pleased to lead a symposium of international authors at the 2022 SRHE conference, focusing on Research with International Students: Conceptual and Methodological Considerations. This was an early session linked for our upcoming open access book of the same name, which we aim to publish in late 2023. This book, as well as our research resource website which led to it, focuses on developing critical considerations for researchers who focus their work on international students and their experiences in higher education.

Research with international students is a significant and growing area of research about higher education. This coincides with and derives from the exponential growth in international student numbers worldwide, making more visible an interest in their lived academic and social experiences. This is also an area that continues to attract newer researchers, particularly doctoral and student researchers who may have a vested interest in this topic as current or former international students themselves, and practitioner researchers who teach and support international students in their professional roles. Research on this topic is interdisciplinary (as with most other higher education research topics), attracting researchers from disciplines including education, sociology, psychology, human geography, business, and beyond.

Despite this growing interest, we note that there have been limited conversations about developing research with international students as a distinct interdisciplinary subfield. Similarly, there have been limited methodological guidance and considerations for how research might critically approach the wide-ranging topics that are being researched in this area. We have written previously about how these omissions perpetuate problems for this subfield and, ultimately, diminish the potential impact of research.

The most significant problem with research in this area is that it tends to frame international students through a deficit lens, depicting them as lower quality students who ‘lack’ skills necessary for success. This is seen through the large numbers of studies which attempt to ‘fix’ or ‘integrate’ international students into expected norms of study in their host institutions, making assumptions about their perceived lack of skills in areas such as critical thinking, language, or writing. International students are also often depicted through research as only experiencing challenges or problems, frequently described as vulnerable rather than capable, managing, or coping. At the same time, research tends to homogenise international students as a collective group or deduce their diversity only to nationality and macro-level cultures. These are among other conceptual concerns we have previously highlighted, which are rooted in limited criticality and nuance through research.

With these issues in mind, our aim in the symposium, as well as through our website and book, was to start a conversation about how research with international students might be designed better, more critically, and more ethically. In particular, we considered the nexus between conceptual criticality and practical methodological designs which can reposition and encourage new discourses about international students. Each of the four presentations highlighted how, within the book, we encourage researchers to develop stronger research designs in the future.

The first paper in the symposium was by Kalyani Unkule, whose presentation represented chapters in our upcoming book where authors re-conceptualise an idea or term that is often taken for granted in research with international students. Here, we argue for the ways that certain ideas within this research topic are often assumed to have a shared, collective meaning, which actually might be more nuanced or complex. Kalyani reflected on the meaning of the word ‘global’ and the tendency for binaries of local and global to limit our thinking in research and practice about international higher education. This is an important critique about the ways that ‘home’ and ‘international’ are seen as opposing binaries in research with international students, ultimately limiting the conceptual nuance of where students’ experiences and histories might intersect these two areas and be more ‘glocal’ in nature.

The second paper was by Tang Heng, whose presentation represented chapters which highlight problematic discourses that shape and frame research with international students. Her chapter focuses on stereotyping and how stereotypes about international students, often through methodological nationalism, are endemic in the ways that research is developed and designed. Tang focused particularly on how theoretical frameworks can perpetuate or relate to stereotyping, but in the book we also focus on other problematic threads through research on this topic: othering, dehumanisation, coloniality, and deficit narratives, among others. This highlights the issues that hold the research subfield back and represent areas for more critical development and reflection in future research.

This was followed by a paper from Vijay Ramjattan, whose presentation represented chapters in the book which show how common stereotypes and discourses about international students might be shifted away from individual deficiencies towards recognition of structural inequalities. Vijay’s presentation focused on deficit framings of language, where international students are often positioned as ‘lacking’ linguistic skills. However, this might be shifted instead to focus on structural oppression of multilingualism and multiple Englishes within institutions. This gives us one example of how researchers can conceptually move away from issues like biases, stereotyping, and deficit narratives by centring the structural roots that cause them.

Finally, the presentation by Samridhi Gupta and Thuy-Anh Nguyen shifted the focus towards practical research designs, demonstrating the section in our book which focuses on how research design choices can purposefully resist existing problems in knowledge creation with (rather than on or about) international students. Their presentation focused on co-designing research with international students, giving practical examples of two research methods which can be designed with students as partners. This demonstrates the ways that methodological choices are fundamentally intertwined with conceptual criticality, highlighting how the method we choose can resist and deconstruct the existing problems set out by previous presenters.

Together, our symposium aimed to open up new reflections and considerations for the historical trajectory of research with international students, considering new ways forward for the research subfield. Both the symposium and our upcoming book aims not to give answers for how to move that path forward, though, but rather to open up questions for individual researchers and the research community more broadly about where we might like to go from here. We ask, then: what should the epistemic space of research with international students look like?

More research resources on this topic can be found at https://researchintlstudents.com/. ‘Research with international students: Critical conceptual and methodological considerations’ will be published open access by Routledge, aiming for late 2023.

Jenna Mittelmeier is Senior Lecturer in International Education at the University of Manchester, in the Manchester Institute of Education (MIE). Her research expertise focuses on the experiences and treatment of international students within the broader internationalisation of higher education.

Sylvie Lomer is Senior Lecturer in Policy and Practice at the University of Manchester, in the Manchester Institute of Education (MIE). Her previous research focused on policies on international students in the UK, and now focuses more broadly on internationalisation in policy and practice in higher education, with a critical approach to pedagogy and policy enactment. 

Kalyani Unkule is Associate Professor at OP Jindal Global University in India. Her research complements her practice in intercultural dialogue and impact-driven projects in higher education internationalisation and spiritual learning.


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Do we want social science, or social science-fiction?

By Paul Temple

Because a lot of its research work involves schools and school-age children, research training at the Institute of Education tends to emphasise issues around confidentiality and anonymity in presenting research findings. Anonymity usually happens anyway in large-scale studies with hundreds or thousands of respondents – the National Student Survey, for example – because the point is to get a picture of what a category of people think, rather than the views of particular individuals. Those of us working on higher education research, however, are often in the position of asking relatively small numbers of informants about their professional views – that is, about the knowledge for which their employer is paying them, unrelated to their private lives. A university finance director could of course decline to be interviewed, but it’s hard to see why there should be a confidentiality problem about their explanation of the university’s resource allocation methodology.

When one of my PhD students was planning a study of the closure of the Ripon campus of York St John University, she assumed everything would have to be anonymised. But why?, I asked her. Yes, the closure was controversial, but that’s now history. Your study, I said, will have far more value if you contextualise it in the real-life settings of York and Ripon; just be sure that your respondents know that what they say will be on the record. But will they talk to me on that basis, she wondered: your problem, I said (correctly, as it turned out), will be getting them to shut up when you want to end the interview. Her thesis was fine, and the then YSJ VC seemed pleased that the institution was considered to be an interesting research subject.

The book by John Brennan et al, The University in its Place (2018), which provides four case studies of anonymised UK universities, took me back to these discussions. Brennan and his co-authors actually provide enough context to make it easy to work out the institutional identities: how many Scottish east coast cities have two universities, one of which (“Aspirational U”) obtained university status in 1994 and has about 5000 students? – no Googling, please. But it is the conceptual reason for anonymization that the authors put forward, aside from wanting “to respect the confidentiality of those to whom we talked” about the “sensitive” matter of university-regional relationships (p48), that I find fascinating. Anonymity was apparently necessary because “it is simply not possible to capture all the day-to-day complexity and uncertainty associated with higher education in practice and in place … [the study] necessarily involves selection, both intended and unintended … [so we cannot] present a complete and fully articulated representation either of particular institutions or places” (p48).

But making a selection is the basis not merely for all social science but for all research, of any kind. Show me a piece of research that isn’t the result of making a selection from the infinite variety of natural and social phenomena that initially confronted the researcher. Having then made a selection, no social scientific study will “capture all the day-to-day complexity” of an organisation, or of anything else. This is simply a logical impossibility, as there will always be more facts to be collected, more detail to be recorded, more details of details to be examined – as surely every PhD supervisor knows: “You’ve done enough, just write the thing up!”. What a researcher must do is focus on the chosen detail and (with an explanation) ignore the rest: you want the finance director to tell you about the resource allocation model, not about “the day-to-day complexity” of managing cash flow. In the cases of Brennan et al, no reasonable person would expect a study of university-regional relationships to include “a complete … representation” of, say, the catering arrangements in a particular institution, any more than an account of university catering would be expected to consider the university’s relations with regional public bodies.

I think that removing through anonymisation the context in which the research subject is embedded reduces the quality of understanding: it makes it harder for the reader to create their own view about what the research is saying – they have to go along with what the researchers say. Actually, anonymisation may mislead the reader if they guess wrong about the identity of the subject: “Funny, this doesn’t sound like Aberdeen!”.

It seems to me that Americans take a much more robust view about these matters than we do in Britain: maybe it’s a result of the First Amendment. George Keller’s ground-breaking book on university planning, Academic Strategy (1983), carried weight because he was describing successes and failures by named individuals in named universities. In the same tradition, Mark Kretovics (2020) doesn’t pull his punches, describing named leadership successes and failures (the failures are the best bits), down to the juicy details of expenses scandals. These accounts make you almost feel as if you’re in the room, not wondering if you’ve even got the right city.

Dr Paul Temple is Honorary Associate Professor in the Centre for Higher Education Studies, UCL Institute of Education.

References

Brennan, J., Cochrane, A., Lebeau, Y. and Williams, R. (2018). The University in its Place: Social and cultural perspectives on the regional role of universiites. Dordrecht: Springer.

Keller, G. (1983). Academic Strategy: The Management Revolution in American Higher Education. Baltimore, MD: The Johns Hopkins University Press. Kretovics, M. (2020). Understanding Power and Leadership in Higher Education: Tools for Institutional Change. New York: Routledge.


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What makes a good SRHE Conference abstract? (some thoughts from a reviewer)

by Richard Davies

Dr Richard Davies, co-convenor of SRHE’s Academic Practice network, ran a network event on 26 January 2022 ‘What makes a good SRHE Conference abstract?’. A regular reviewer for the SRHE Conference, Richard also asked colleagues what they look for in a good paper for the conference and shared the findings in a well-attended event.

Writing a submission for a conference is a skill – distinct from writing for journals or public engagement. It is perhaps most like an erudite blog. In the case of the SRHE conference, you have 750 words to show the reviewer that your proposed presentation is (a) worth conference delegates’ attention, and (b) a better fit for this conference than others (we get more submissions than the conference programme can accommodate so it is a bit competitive!).

Think of it as a short paper, not an abstract

It is difficult to summarise a 5-6000 word paper in 750 words and cover literature, methodology, data and findings. As a reviewer, I often find myself unsatisfied with the result. It is better to think of this as a short paper, that you can present in 15 minutes at the conference. This means focussing on a specific element of your study which can be communicated in 750 words and following the argument of that focus through precise methodology, a portion of your data, and final conclusions. Sure, tell the reviewers this is part of a large study, but you are focusing on a specific element of it. The short paper will then, if well written, be clear and internally coherent. If I find a submission is neither clear nor coherent, then I would usually suggest rejecting because if I cannot make sense of it then I will assume delegates will not be able to as well.

Practical point: get a friend or colleague to read the short paper – do they understand what you are saying? They don’t have to be an expert in higher education or even research. As reviewers, most of us regularly read non-UK English texts, as an international society we are not expecting standard English – just clarity to understand the points the author is making. Whether UK-based or international, we are not experts in different countries’ higher education systems and so do not assume the reviewer’s prior knowledge of the higher education system you are discussing

Reviewer’s judgement

Although we work to a set of criteria, as with most academic work, there is an element of judgement, and reviewers take a view of your submission as a whole. We want to know: will this be of interest to SRHE conference delegates? Will it raise questions and stimulate discussion? In my own area of philosophy of education, a submission might be philosophically important but not explicitly about higher education; as a result I would tend to suggest it be rejected. It might be suitable for a conference but not this conference.

Practical point: check you are explicitly talking about higher education and how your paper addresses an interesting area of research or practice. Make sure the link is clear – don’t just assume the reviewers will make the connection. Even if we can, we will be wary of suggesting acceptance.

Checking against the criteria

The ‘Call for Papers’ sets out the assessment criteria against which we review submissions. As a reviewer, I read the paper and form a broad opinion, I then review with a focus on each specific criterion. Each submission is different and will meet each criterion (or not) in a different way and to varying degrees. As a reviewer, I interpret the criterion in the light of the purpose and methodology of the submission. As well as clarity and suitability for the conference, I also think about the rigour with which it has been written. This includes engagement with relevant literature, the methodology/methods and the quality of the way the data (if any) are used. I want to know that this paper builds on previous work but adds some original perspective and contribution. I want to know that the study has been conducted methodically and that the author has deliberated about it. Where there are no data, either because it is not an empirical study or the paper reports the initial phases of what will be an empirical study, I want to know that the author’s argument is reasonable and illuminates significant issues in higher education.

Practical point: reviewers use the criteria to assess and ‘score’ submissions. It is worth going through the criteria and making sure that you are sure that it is clear how you have addressed each one. If you haven’t got data yet, then say so and say why you think the work is worth presenting at this early stage.

Positive news

SRHE welcomes submissions from all areas of research and evaluation in higher education, not just those with lots of data! Each submission is reviewed by two people and then moderated, and further reviewed, if necessary, by network convenors – so you are not dependent on one reviewer’s assessment. Reviewers aim to be constructive in their feedback and to uphold the high standard of presentations we see at the conference, highlighting areas of potential improvement for both accepted and rejected submissions.

Finally, the SRHE conference does receive more submissions than can be accepted, and so some good papers don’t make it. Getting rejected is not a rejection of your study (or you); sometimes it is about clarity of the submission, and sometimes it is just lack of space at the conference.

Dr Richard Davies is an academic, educationalist and informal educator. He is primarily concerned with helping other academics develop their research on teaching and learning in higher education. His own research is primarily in philosophical approaches to higher educational policy and practice. He co-convenes SRHE’s AP (Academic Practice) Network – you can find out more about the network by clicking here.


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Mapping financial investment flows in digital higher education: a focus on data-rich operations

by Janja Komljenovic

This blog is based on a presentation to the 2021 SRHE Research Conference, as part of a Symposium on Universities and Unicorns: Building Digital Assets in the Higher Education Industry organised by the project’s principal investigator, Janja Komljenovic (Lancaster). The support of the Economic and Social Research Council (ESRC) is gratefully acknowledged. The project introduces new ways to think about and examine the digitalising of the higher education sector. It investigates new forms of value creation and suggests that value in the sector increasingly lies in the creation of digital assets.

Universities worldwide are increasingly interested in digital technologies and how they can support higher education. A recent study by the European University Association found that most European universities are already using or planning to use data-rich products and services, such as artificial intelligence, machine learning, learning analytics, big data, and the internet of things (see Figure 18 on page 36). Indeed, it is precisely these data-rich operations that are central to the idea of the disruptive potential of education technology (edtech), as argued by my colleague, Javier Mármol Queraltó, in the recent UU project report. The discourse of investors and edtech companies promises thoroughly improved higher education based on personalisation, automation and efficiency. But how deliverable are these promises? Who innovates in the space of data-rich operations, for which services and for which users? Who profits? These are some of the questions we address in the Universities and Unicorns project, which aims to understand forms of value and ways of creating it in digital higher education. In this blog post, I will address three possible trends that can be identified from the interim findings of our quantitative analysis. But before proceeding to discuss these trends, I will contextualise our analysis.

We used Crunchbase to build three databases covering 2,012 edtech companies, 1,120 investors in edtech, and 1,962 edtech investment deals. We identified those relevant to the higher education sector, and our data reflects the state of the sector as of July 2021. Based on this analysis, we identified four key service models in the higher education edtech industry. First, the business to business (B2B) model includes digital platforms serving universities and companies, such as virtual learning environments. Second, the business to customer (B2C) model includes platforms targeting individuals directly. Third, the business to business to customer (B2B2C) model serves institutions that use or further develop the platform to reach individuals, such as Massive Open Online Courses (MOOC) or Online Programme Management platforms (OPM). Finally, the business to the customer to customer (B2C2C) model includes platforms that connect individuals, such as skills and knowledge sharing platforms. B2B2C and B2C2C platforms, in particular, act as the kind of infrastructural intermediaries that are so popular in other sectors of our social and economic lives.

Our analysis found that half of all investment went into B2B platforms, followed by investment into B2C, while B2C2C and B2B2C together received just under a quarter of all investment. However, platforms with the fastest pace of increasing investment are those targeting individuals directly or through intermediation, ie B2C and B2C2C models. This might indicate emerging parallel or alternative higher education products and services that compete with traditional university provision, especially in the context of lifelong learning.

Digital platforms that say they incorporate data-rich operations in their products and services are not the priority area for investors. While we noticed an increasing investment in data-rich platforms, it was still only less than a quarter of all investment going into innovating such products. Nevertheless, we identified three possible trends that are especially worthy of our attention: (1) data-rich operations are being innovated largely in B2B platforms; (2) there is notable unevenness in terms of the location of edtech companies and investments in those platforms who innovate in data-rich operations; and (3) there might be potential for monopolies in data-rich innovation. Let’s delve into each of these possible trends.

Almost all investment in the companies developing data-rich operations in their platforms went to the B2B service model. Looking only at higher education institutions as the target customer, already half of the investment supports data-rich innovation. Most of that went into platforms that act as the institutional digital backbone, indicating that the intention might be to support all institutional functions beyond teaching with data-rich operations, such as artificial intelligence, machine learning and various kinds of analytics beyond learning analytics. There seems to be a trend towards data-rich digital ecosystems at universities that harvest all user and other data in the near future.

There is high unevenness in where the investment in data-rich platforms is allocated. Regarding the number of companies, 239 in our database declare that they offer data-rich operations on their platforms. Almost half of those (101) are based in the USA, 21 in the UK and 19 in India. Companies based in Africa are entirely missing from the list. In terms of investment amounts, 88% of all investment in companies offering data-rich services in their platforms went into companies based in the USA, 3% each to those based in Norway and the UK, and 6% to the rest of the world. The discrepancy between the number of companies and investment size indicates that investment amounts are higher in the USA than elsewhere in the world.

Finally, if we compare different indicators of investment in companies that innovate data-rich solutions for higher education institutions, we notice interesting dynamics. Looking at the money raised, half of B2B investment went into those companies with a platform that included data-rich operations. But this is only 30% of deals and 25% of companies. This indicates that the concentration of investment in data-rich operation platforms for higher education institutions goes into a smaller number of companies who get higher investments. We wonder if this signals potential for monopolies in the future. Moreover, if we compare granted patents, we notice that a higher percentage of companies offering data-rich solution platforms own patents (30%) versus those offering other kinds of service or product platforms (10%). Digital platforms are typically still protected by a licence, but that differs from a more restrictive patent protection. We wonder if such discrepancy in patent share might indicate black-boxing of data-rich operations in higher education?

Our research on digitalising higher education is showing the complex impact of digital technology and datafication on the sector. This impact includes potential positive and supportive measures, but also many potentially worrying trends. However, further research is needed into these trends and the role of different actors, particularly financial investors and edtech companies. Please follow our project in which we will share the findings from this further work as it unfolds.

Janja Komljenovic is a Senior Lecturer and co-Director of the Higher Education Research and Evaluation at Lancaster University in the UK. She is also a Research Management Committee member of the Global Centre for Higher Education with headquarters at the University of Oxford. Janja’s research focuses on the political economy of knowledge production and higher education markets. She is especially interested in the relationship between the digital economy and the higher education sector; and in digitalisation, datafication and platformisation of knowledge production and dissemination. Janja is published internationally on higher education policy, markets and education technology.


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What comes next after Covid 19 in re-setting doctoral education?

by Rosemary Deem

Like many other aspects of higher education teaching, supervising and research worldwide, doctoral education in higher education institutions (HEIs) has been massively affected by the pandemic. The effects include campus closures and lost experimental and fieldwork data, rapid transition to online supervision and viva defences, cancelled or online conferences hampering networking, lack of wellbeing, study progress being hampered by lack of suitable non-campus work spaces, home schooling children and poor or no internet connectivity (Else, 2021 ; European University Association Council for Doctoral Education, 2020 ; Jackman et al, 2021; Levine et al, 2021). As we are still in the throes of the pandemic at the time of writing, it is difficult to know whether some of the changes made in haste to doctoral education, such as remote supervision and examinations, will be permanent or not. Some adaptations, such as online seminars and conferences and a move away from physical international mobility to blended or virtual mobility, will probably continue, as they permit international participation without high costs or environmental damage. The legacy for doctoral researchers caught up in the Coronavirus chaos will certainly live on for quite a while, although hopefully over time the shock of the impact of lockdowns, working from home and universities being very selective over who gets an extension or extra funding may gradually fade.  However, for those with their eye on future academic jobs, the precarity regime of HE posts remains sadly intact in many HE systems (Deem, 2021b). The availability of jobs outside academe has also been affected by the pandemic, as countries struggle to manage politics, promote public health and provide support for the business, public and third sectors.

The experience of doing a doctorate in times of Covid-19 has brought both good and less good elements, from acquiring more resilience and online learning skills to experiencing poverty, poor mental health and having a lack of motivation to finish writing a thesis.  Some supervisors have also struggled to support their doctoral researchers alongside other students and their own research, particularly where HEIs have indicated that doctoral education is not a pandemic priority, a short sighted view sometimes brought about by difficult HEI financial situations and recruitment uncertainty. Despite the avalanche of articles about the Covid-related impact on doctoral education and doctoral researchers submitted to journals during 2020 and 2021, there are still many things we  know less about, such as: how part-time doctoral researchers have fared compared with full-time candidates; how STEM and Arts/Humanities/Social Sciences candidates compare in the obstacles they face; or how the doctoral research experiences of women and people of colour differ from those of men or white doctoral candidates. There has been relatively little investigation about how supervisors have been affected by remote supervision and the pandemic (UK Council for Graduate Education, 2021) compared with the literature on the effects on students. It is also hard to tell at this point whether the percentage of doctoral theses referred for further work, or even failed, has changed, as many of those due to submit in 2020-21 have deferred or interrupted their studies and have not yet been examined. There has been some advice offered to institutions on this (Houston & Halliday, 2021 ) but in quite a few countries, national regulations on doctoral study don’t make flexibility in doctoral submission and examination very easy.

We are also beginning to see some big differences in the coping strategies of HEIs. It appears that countries with high degrees of marketisation in their HE systems, and with a significant dependence on international students for income, have not fared particularly well under Covid (Drayton and Waltmann, 2020b ; Le, 2021; Marinoni, Hillijge, and Jensen, 2020 ; Startz, 2020 ), whereas countries with low degrees of marketisation or with previous experience of campus lockdowns, such as in the SARS epidemic, did better (Jung, Horta, & Postiglione, 2020). Furthermore, doctoral education was already in something of a crisis before Covid, with a long running critique of its failings, ranging across: so-called ‘overproduction’ of doctoral graduates relative to academic jobs (Nerad, 2020); completion and dropout rates; access to doctoral programmes for applicants from disadvantaged backgrounds; and quality of doctorates and future employment prospects. The state of mental health amongst doctoral researchers is also now a common concern in many contexts (Deem, 2020a; Hazell et al, 2020; Levecque et al, 2017).  However, tackling all these challenges is not straightforward and there is a tendency to tackle each problem on its own in a single HE system or HEI, without thinking how each different challenge relates to all the others.  

What is needed post-pandemic (assuming the world gets there) is a concerted attempt to undertake, certainly at the institutional level, a more holistic approach, but also an approach which relates to the grassroots as well as institutional hierarchies. Such an approach has already been found to be effective in relation to schemes for increasing the numbers of women who get promoted to full professor (Morley, 2013). This initiative focuses first on looking at and fully supporting the people involved (doctoral researchers and supervisors) whilst ensuring their diversity and wide access to doctoral education for those who could benefit from it. Organisational factors are also important, such as valuing doctoral candidates’ academic and social contribution for its own sake, not as a source of cheap research and teaching labour, making doctoral researchers more visible and more important in their institutions, and ensuring organisational processes and procedures reflect this,. Joined-up change also means taking on board issues related to the kinds of knowledge that are valued in doctoral theses: whether that knowledge is from the global north or south; whether it is interdisciplinary or framed in a single discipline; which language or culture it relates to; and encouraging knowledge which values methodological or empirical foci as much as theoretical knowledge, irrespective of whether or not knowledge has immediate economic or social impact. Such an approach, aligned to a clear strategy and implementation process, could in time transform how doctoral education operates, to everyone’s benefit. This is not a change programme for the faint-hearted but unless something like this is adopted, long after the pandemic is over we will still be talking about doctoral crises and the challenges to be addressed, whilst failing to take a more holistic lens to transforming doctoral education than has so far been the norm in many HE systems and HEIs.  We owe it to our current and future doctoral researchers to attempt to develop a more humanistic and more equality-based approach to doctoral study after the rigours of the Corona virus outbreak.    

SRHE Fellow Rosemary Deem OBE is Emerita Professor of Higher Education Management and Doctoral School Senior Research Fellow, Royal Holloway (University of London), UK. She was the first woman to chair the UK Council for Graduate Education and was a member of three UK Research Assessment Exercise Sub-Panels on Education (1996, 2001, 2008).  An Academician of the Academy of Social Sciences since 2006, she is a co-editor of Higher Education (Springer) since 2013, a member of the Peer Review College of the European Science Foundation and a co-convenor of the Higher Education Network in the European Educational Research Association

References (not embedded via URLs)

Deem, R (2020a) ‘Rethinking doctoral education: university purposes, academic cultures, mental health and the public good’ in Cardoso, S, Tavares, O, Sin, C and Carvalho, T (eds), Structural and Institutional Transformations in doctoral education: social, political and student expectations (pp. 13-42). Cham, Switzerland Palgrave Macmillan/Springer Nature

Deem, R (2021b) ‘The early stage academic and the contemporary university: communities of practice meet managerialism?’ in Sarrico, C, Rosa de Pires, MJ and Carvalho, T (eds), Handbook on Managing Academics Cheltenham Edward Elgar

Marinoni, G., Hillijge, V. t. L., & Jensen, T. (2020 ). The Impact of Covid on higher education around the world:  IAU Global Survey Paris International Association of Universities

Morley, L. (2013). Women and Higher Education Leadership: Absences and Aspirations.

Nerad, M. (2020). Doctoral Education Worldwide:  Three decades of change In M. M. Yudkevich, P. G. Altbach, & H. de Wit (Eds.), Trends and Issues in Doctoral Education Worldwide: A Global Perspective (pp. 33-52). London and Thousand Oaks, California Sage.