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     Science, Higher Education and Policy (SHEP)

Annex 1 - Advanced Studies on SHEPer

Annex 2 - A proposal for a EU Research Network


SHEP is aimed to foster in-depth research of issues in science and technology, higher education and public policy. The conditions for the social construction of technological systems in both developed and developing societies will be addressed in terms of their impact on the emergence of new social realities in those societies, including Portugal and Europe, and their potential as factors of economic and social development on a global scale. To achieve these goals, science and technological development case studies will be developed worldwide.

The program is centered on the interaction of science and technology and higher education, regarding the learning capacity of people, institutions and their regions to evolve. The emphasis is on issues in which the interaction of technology, humans and institutions are of central importance.

The existing Doctoral Program on Engineering and Public Policy, EPP, at IST-Lisbon (Technical University of Lisbon), allowing double-degrees with Carnegie Mellon University, will act as the main vehicle to foster doctoral research in the areas of this initiative.

Background Information

Science and technology permeates everyday life. It is increasingly central to the socio-economic development of regions, countries, and institutions. The growing investment in formal knowledge activities, by countries and firms, underlines the search for competitive advantages and the establishment of sustainable bases for further development. This trend often combining mixed patterns of competition and collaboration is growingly intertwined to face a fast paced, globalized and uncertain world.

The challenges are immense, notwithstanding if they are global, national or local in nature, as most are to all effects transversal (e.g, global warming). In this setup, policies not only mediate the interface between science and society, but also shape systems, strategies and development patterns; but which public policies for the 21st century? it is well known that emulation of successful policies elsewhere or of simple policy guidelines without understanding their timing and context is insufficient even misleading - to drive for these objectives. The complex attributes of the global world demands a complex and synergetic complementarity of policies and actions.

This entails that science and technology, including related policies, has to be understood in a systemic and evolutionary way, framed internationally while accounting for regional characteristics. In other words, a glonacal evolutionary perspective, based on learned lessons, is of the utmost importance to tackle the challenges of the present and future. Yet, more is required: its study needs to encompass critical systems, amongst which the higher education system, and its associated policies. It is in the higher education system that lay the knowledge institutions per excellence: universities.

These provide formal knowledge through research and teaching, playing a critical role in supporting and defining the scientific, economic, and social enterprise of nations. Both science and higher education rely on similar critical features: learning, through developed activities, funding, and other incentives, to support learning activities, and people, that by learning, being mobile, and a creative force, contribute to the emergence of new knowledge, better institutions, and ultimately, society.

In this framework, western countries and regions of the world have had a long history of development, but the world has changed. While it is true that western regions have a long established accumulated knowledge capacity, their relevance in the world has waned. Emerging regions in Asia and South America are currently striving to improve their knowledge systems and have a much greater role in networked global markets, geopolitics, and societies. The process of globalization itself points out towards a world of networks, of collaboration and competition, demanding adaptation and revision of the public policies of the past.

Public policies are demanded to account for the global scope to foster national, regional and local knowledge dynamics. Science is more international than ever (look at the growing numbers of publications in international journals or of international patents) and so is higher education (branch campuses, international educational hubs). How to inform new public policies to meet the challenges of the 21st century, particularly for emerging regions? How to inform public policies to foment knowledge capacity, creation and dissemination in the global world? How to foster institutional integrity in dealing with complex and uncertain conditions?

Research themes

The Research Program on Science and Higher Education Policy (SHEP) aims to contribute to answer these questions by analyzing in different regions of the world, and always with an international comparative approach, issues of central importance for the definition and information of public policies in science and higher education. This will have a particular focus on emerging regions. These issues will be pursued in an integrative and multidisciplinary approach as follows:

  • The career trajectories of the highly qualified: The analysis of the career trajectories of highly qualified people is important to understand how policies, institutional and career incentives, and other factors impact on individual career choices, networking, and productivity. In this framework, features such as understanding the impact of mobility, internationalization, interdisciplinarity, educational backgrounds and family issues along the career, are important to illuminate the knowledge on how these individuals decision-making and contribution to institutional and regional knowledge building occurs. This will be performed for those developing activities in the higher education sector but also in the business enterprise sector.

  • The role of international science base partnerships: It is important to understand how international science base partnerships (and other science policy policies as well) contribute to reform higher education systems. This will be pursued equally regarding institutional change at universities in terms of structural change, and research and teaching activities and practices. Through an international comparative analysis of several educational hubs, it aims to understand the impact that international science partnerships with lesser or broader scopes of action can have in promoting a more active role of universities in society, including in supporting of the knowledge base of communities and engagement in industry-university relations.

  • Employment policies for the highly qualified: The aim is to understand on a historical perspective supply and demand policies concerning highly qualified people in emerging regions. This is to be contextualized and combined with the scientific and economic structure of the countries/regions under study, and focused on specific sectors of economic activity. The objective is to assess to what extent public policies focused on demand can be pursued in contexts that do not have developed the capacity to absorb highly qualified human resources. This has a clear linkage to public policies focused on the supply side and on the thematic of brain-gain, brain-drain and brain-circulation. Therefore, a complementary analysis is one of the fluxes of highly qualified people and Diasporas.

  • Geographies of knowledge and scientific structures: As knowledge increasingly flows globally, it is essential to understand its geographical poles, its concentration, integration, and engagement drivers. A better understanding of the evolution of collaborations among regions, countries, and institutions, including universities and firms is of particular importance. Through analyzing evolutionary mappings of knowledge production and collaboration one can realize the patterns of change at global level, and how knowledge global flows of are interacting and being constructed by national and regional knowledge bases. In this regard, the analysis needs to take into perspective the engagement of different scientific structures; by looking at how broader or narrower they are set in terms of disciplinary fields.

Implementation Strategy

The existing Doctoral Program on Engineering and Public Policy, EPP, at IST-Lisbon (Technical University of Lisbon), allowing double-degrees with Carnegie Mellon University, will act as the main vehicle to foster doctoral research in the areas of this initiative.

In addition, the possibility for research residences (between 6 and 18 months) in leading research and academic institutions and programs combining S&T expertise with public policies objectives are considered, including MIT, Harvard Kennedy School, EPFL, Tsinghua, Hong Kong University, UNICAMP, USP, UFF and UFRJ. The goal is to engage doctoral students in in-depth research of science, technology and policy issues in leading academic and research institutions in North America, Europe, China and Brazil, involving evidence based analysis and the preparation of case studies in developing and developed countries and regions.

This will be achieved by bringing together new competences at international level and explicitly involving leading research centers and groups worldwide, as follows:

  • Carnegie Mellon University, Dept. of Engineering and Public Policy (EPP)
  • Massachusetts Institute of Technology (MIT), Technology and Policy Program of the Engineering Systems Division
  • École Polytechnique Fédérale de Lausanne (EPFL), Switzerland
  • Harvard Kennedy School, Science, Technology and Public Policy Program (STPP)
  • Tsinghua University, School of Public Policy and Management (SPPM) and Institute of Education
  • University of Hong Kong, Wah Ching Centre of Research on Education in China
  • UNICAMP, Campinas São Paulo, Dept. of Science and Technology Policy (DPCT)
  • Universidade de São Paulo, Center for Technology Policy and Management (PGT)
  • Universidade Federal do Rio de Janeiro (UFRJ), Graduate Program in Public Policies, Strategies and Development (PPED/IE/UFRJ) and National Institute for Science and Technology in Public Policies, Strategies and Development (INCT-PPED)
  • Universidade Federal Fluminense (UFF), Graduate Program in Public Policy (PPGAd)

In addition, STP will be co-sponsored by IRGC Portugal (the International Risk Governance Council-Portugal, as in and framed under the IRGC Academic Network, as described in:

This international research framework enables an enriched environment for collaborative policy analysis and policy formulation, based on previously defined research question with an international dimension. An example of such an activity is the development of multi-site Studios for policy analysis, making use of internet-based technologies and groupware methodologies. Other planned activities consider:

  • Policy Fellowships: It considers a program of fellowships for fieldwork in developing countries, oriented towards the preparation of policy briefs about selected and specialized themes on science and technological development. The ultimate goal is to involve students in short and medium term research periods (2 to 9 months) in emerging and developing regions worldwide.

  • Doctoral Consortium: We aim at fostering an international Doctoral Consortium in order to bring together a few selected Doctoral programs focused on S&T policy into a network of cooperation and exchange of students and academic staff. An annual meeting of the Doctoral Consortium, involving Universities should help addressing common issues, providing a wider international educational environment for students.

  • High level Conferences: It considers the organization of a few high-level conferences over the next years aiming at engaging stakeholders, including policy leaders and corporate managers, along with Universities, research students and policy analysts, to jointly discuss emerging issues in science and technology development policies.

Also, the collaboration with a range of research institutions in the area of social sciences and humanities in Portugal is planned and will help deepening the proposed consortium in order to foster in-depth research on problems in science, technology and public policy in which the interaction of technology, humans and institutions are of central importance. Analyzing the conditions for the social construction of technological systems in both developed and developing societies will be addressed in close cooperation with the following institutions in Portugal:

  • History: Instituto de História Contemporânea, IHC, School of Sciences and Humanities, Universidade Nova de Lisboa;
  • Social studies and sciences: ISCTE, Lisbon University Institute
  • Behavioral sciences: ICS, Institute for Social Sciences
  • Economics and management: School of Business and Economics, Technical University of Lisbon, ISEG

Research Team

Research Director: Hugo Horta, Ph.D (IN+/IST)

Scientific Coordination: Manuel Heitor, Ph.D (PCA, IST)

Other researchers:

Miguel Amaral, Ph.D (PAX; IST)
Joana Mendonça, Ph.D
Muriel Pádua, Ph.D
Miguel Preto, Ph.D (Universidade de Coimbra)
Sandra Hasanefendic, MA

Scientific Advisory Board

Events: Seminars and Conferences

Seminar Series: on-going (since October 2012)

  • Dialogues: Science, Technology and Society
    • A joint initiative of: CIES: Centre for Ideas and Social Studies, ISTCE-IUL and IN+: Centre for Innovation, Technology and Policy Research, IST-UTL
    • What?...A space for interdisciplinary conversations about contemporary issues in science, technology and society that are relevant to people in fields such as science and public policy, history of science and sociology.
    • Who?... those who are working on intersections of science and public policy, as well as those in the natural sciences, engineering and architecture who have serious interest in exploring these areas together with social scientists and humanists.
    • How?...20+20 minutes by invited researchers + 20 minutes discussion

Main Past Events

  • CIHE International Forum of the Association for the Study of Higher Education (ASHE) conference 2012, Las Vegas, USA, 14th-15th of November 2012 (;
  • SPIDER WEB, School for Policies, Innovation and Development Research, UFRJ, Rio de Janeiro, 27th February-1st March, 2013;
  • School of Advanced Studies - Policies, Innovation and Development Research, UFRJ, Rio de Janeiro, 4th March-15th March, 2013.

Planned future events

  • ALTEC 2013 - XV Congresso Latino-Iberoamericano de Gestão de Tecnologia [XV Latin-IberoAmerican Conference on Management of Technology], 29th-31th October 2013
  • School of Advanced Study on SHEPer, Moscow, planned for the Spring of 2014.

In the News

Main Sponsors - Recent Projects

  • Fundação para a Ciência e Tecnologia, Project Career trajectories of doctorates: deepening the knowledge on types of mobility, reference PTDC/IVC-ESCT/3788/2012 (Hugo Horta: Principal Investigator), 155,000 Euros, 2013...

  • Fundação para a Ciência e Tecnologia, Project The Portuguese International Partnership Programs: assessing the role of scientific networks in the knowledge society, reference PTDC/CS-SOC/118487/2010, (Hugo Horta: Member of the team; project based at CIES-IUL), 181,000 Euros, 2011-...

  • Fundação para a Ciência e Tecnologia/European Science Foundation, Project Change in Networks, Higher Education and Knowledge Societies (CINHEKS), reference EuroHesc/0002/2008, (Hugo Horta: national Principal Investigator), 120,000 Euros, 2009-2013.

Publications and other outputs

Editorial work
  • Series in Knowledge in Higher Education books edited by Hugo Horta and Jung Cheol (Seoul National University), which are open to receive book proposals on issues dealing with complex issues where education, research policy and information studies interact. Books will be greatly welcomed by policymakers as well as academic researchers,
  • Hugo Horta is co-editing with Jisun Jung (The University of Hong Kong) and Akiyoshi Yonezawa (Nagoya University) a special issue on “Higher education in East Asia: regional and national evolution and path dependencies” at Higher Education Policy to be due in 2015.

Recent Publications (since 2012)

  • Horta, H., and Patrício, T. “The establishment of an international partnership with world class universities: examining the policy options” (submitted to Minerva)
  • Horta, H., and Martins, R. “From the desert to the sea: evolution and impact of a research group in a university developing its knowledge base” (submitted to the Journal of Asian Public Policy)
  • Horta, H., and Jung, J., “Higher education research in Asia: An archipelago, two continents or just atomization?” (submitted to Higher Education)
  • Horta, H., and Yonezawa, A., “Going places: exploring the impact intra-sectoral mobility on the scientific productivity and communication behaviors in Japanese academia” (submitted to Asia Pacific Education Review)
  • Hoffman, D.M., Blasi, B., Culum, B., Dragsic, Z., Ewen, A., Horta, H., Nokkala, T., and Rios-Aguilar, C., Anatomy of a blind spot: a self-ethnography of international research team dynamics, cooperation and collaboration (Submitted to Higher Education)
  • Heitor, M.V., Horta, H., and Mendonça, J., Developing human capital and research capacity: science policies promoting brain gain (accepted at Technological Forecasting and Social Change)
  • Heitor, M.V., and Horta, H., Democratizing higher education and linking science and higher education policy: the Portuguese reform 2006-2010 (accepted at Higher Education Policy)
  • Jung, J., and Horta, H., Higher education research in Asia: a publication and co-publication analysis, (accepted at Higher Education Quarterly:
  • Heitor, M.V., and Horta, H. (2012). Opening-up higher education in emerging economies: autonomy and integrity on the rise of globalization. International Journal of Chinese Education, Vol. 1, No. 2, 196-234. (;jsessionid=2i03vcpp5cnuf.x-brill-live-01)
  • Horta, H., (2013), “Deepening our understanding of academic inbreeding effects on research information exchange and scientific output: new insights for academic based research”, Higher Education, Vol. 65, No. 4, 487-510. (
  • Horta, H., Dautel, V., and Veloso, F., (2012), "An Output Perspective on the Teaching/Research Nexus: an analysis focusing on the US higher education system”, Studies in Higher Education, Vol. 37, No. 2, 171-187. (
  • Heitor, M., and Horta, H., (2012), ”Science and Technology in Portugal: From Late Awakening to the Challenge of Knowledge Integrated Communities” in Neave, G., and Amaral, A., (Eds) Higher Education in Portugal 1974-2009: A Nation, A Generation, Dordrecht: Springer. (

Recent Conference communications

  • Horta, H., Invited to participate in the Knowledge, Innovation and Education seminar on the topic “Science Policy and mobility of human resources” at the Seoul National University, South Korea, 30th – 31st March 2013.
  • Horta, H., Invited to participate in the round table The global competition for talents and diversity of career paths: what use is being made of doctorate holders' competencies? of the Final conference of the KNOWINNO project on Careers of Doctorate Holders, Brussels, December 2012.
  • Horta, H., Invited to present a lecture entitled Academic inbreeding: what is it and how bad can it be, if at all?, Faculty of Education, The University of Hong Kong, October 2012.
  • Horta, H., Invited to present a lecture entitled Academic inbreeding is a problem or is all about the need for mobility?, Faculty of Education, Chinese University of Hong Kong, October 2012.
  • Horta, H., Communication titled: Mobility studies: what can the survey Careers of Doctorate Holders bring to the table?, at the 3rd International Workshop Sharing Best Practices in R&D and Education Statistics, Lisbon, 23th May 2012 (with Joana Duarte, from the Portuguese Ministry of Education and Science).
  • Horta, H., Communication titled: Exploring internationalisation and intra-sectoral mobility through their impact on scientific productivity and communication behaviours: a perspective from Japan, (with Akiyoshi Yonezawa), at the CESHK Annual Conference 2012, Hong Kong, 25th-26th February 2012.

Sample list of previous publications

  • M. Heitor and M. Bravo (2010), Portugal on the crosstalk of change, facing the shock of the new: People, knowledge and ideas fostering the social fabric to facilitate the concentration of knowledge integrated communities, Technological Forecasting and Social Change, 77, pp. 218-247.
  • M. Heitor (2009), The European Research Universities and the Challenge for Science and Technology in Europe, in: Charles F. Bonser (ed.), Adapting Universities to the Global Society - A Transatlantic Perspective, Münster: LIT-Verlag, February 2009.
  • M. Heitor (2009), Tertiary Education Institutions in Times of Change: A Systems Approach to Institutional Transformation, in "The Future of the Research University: Meeting the Global Challenges of the 21st Century", Kauffman Foundation, 55-67. Also presented at The 2008 Kauffman-Max Planck Annual Summit on Rethinking the Role of the University and Public Research for the Entrepreneurial Age, Munich, June 8-11, 2008.
  • M. Heitor (2008). A system approach to tertiary education institutions: towards knowledge networks and enhanced societal trust?. Science and Public Policy, 35 (8), 607-617.
  • H. Horta, J. Huisman and M. Heitor (2008). Does a competitive research funding encourage diversity in higher education? Science and Public Policy, 35(3), 146-158.
  • P. Conceição, M. V. Heitor and H. Horta (2008), R&D funding in US universities: from public to private support or public policies strengthening diversification?, in J. Enders, B. Jongbloed (eds.), Public-Private Dynamics in Higher Education: Expectations, Developments and Outcomes, pp. 301-328., Bielefeld, Transcript Verlag.
  • J.M. Gago and M. Heitor (2007), A commitment to science for the future of Portugal, in J.M.Gago, ed., The Future of Science and Technology in Europe, Portuguese Ministry of Science, Technology and Higher Education, 403-416.
  • P. Conceição and M.V. Heitor (2007), Diversity and integration of science and technology policies, Technological Forecasting and Social Change, 74, 1-17.
  • P. Conceição and M.V. Heitor (2007), Do we need a revisited policy agenda for research integrity? an institutional perspective, World Conference on Research Integrity, Calouste Gulbenkian Foundation, Lisbon, Portugal, 16-18 September 2007.
  • P. Conceição, J. Ehrenfeld, M. Heitor and P.S. Vieira (2006) Sustainable universities: fostering learning beyond environmental management systems, Int. J. Technology, Policy and Management, Vol. 6, No. 4, 413-440.