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DOCTORAL ISSUES

ROBERT T. SUMICHRAST, Feature Editor, Pamplin College of Business,
Virginia Polytechnic Institute and State University

Improving Ph.D. Education through Planning and Incentives

by Richard J. Lutz, The Graduate School, University of Florida

In recent years, a number of environmental forces have caused Ph.D. programs in business schools to downsize enrollments in the face of declining demand, enhance pedagogical training, explore cross-functional integration to pursue topics such as Total Quality Management, and increase the representation of cultural minorities.

The Need for Program Planning

In the face of these various pressures, the University of Florida has adopted a more planful approach to the Ph.D. program. In essence, the dean's office, through the director of graduate studies, created an incentive-based approach to managing the Ph.D. program. Using this approach, we have been able to accomplish a ``rightsizing'' of Ph.D. enrollment at 75% of its historical level, increase the representation of cultural minorities threefold, and substantially enhance the amount of pedagogical training attendant to the ``core'' Ph.D. curriculum. The current thrust is with respect to improving the placement quality of our Ph.D. graduates in the academic market. To accomplish this, we have used a two-pronged approach:

  1. Educating faculty regarding the need for change and waiting for them to ``internalize'' the message.
  2. Creating incentives for departmental Ph.D. program performance.

Internalization. The first feature merely recognizes that nothing will change in Ph.D. education unless the faculty are fully invested in the process. The intensely personal nature of Ph.D. education dooms to failure any ``outside'' initiative that fails to capture the hearts and minds of the faculty mentors who are the engines driving the Ph.D. program.

Incentivization. The second featureŝincentivizationŝis an approach that has served us well at the University of Florida. Essentially, each academic unit begins with a ``base'' budget that allows it to maintain only a minimum-size (``critical mass'') Ph.D. program. Securing additional resources that permit program expansion is contingent on the unit's performance vis-a-vis agreed-upon performance criteria. In the paragraphs to follow, I will describe our incentive-based planning system for Ph.D. education. This model has proved extremely useful and, by presenting it, I hope that other schools may be able to adapt it to their own needs.

The University of Florida Ph.D. Planning Model

Mission. The mission of the University of Florida Ph.D. program is to provide students with advanced training in research methods and substantive knowledge such that they are qualified to assume faculty positions in research-oriented universities or pursue other research careers at the highest levels. Although it is expected that most graduates will pursue academic careers, some may elect to accept research-oriented appointments in industry or government.

Objective. The current objective of the Ph.D. program is to improve overall program quality, as measured primarily by the quality of the initial positions accepted by Ph.D. graduates. The measurement standards are both absolute and relative, that is, in comparison with the placement records of designated peer institutions. Placement quality is ranked as follows:

  1. Top tier university (above peer institutions)
  2. Peer institution
  3. University with Ph.D. program in the student's discipline
  4. Research-oriented university with no Ph.D. program
  5. Strong teaching-oriented university
  6. Well-regarded foreign university
  7. High-level State, Federal or foreign government research post
  8. High-level industry research position
  9. Other

In general, the ranking of placement quality is more closely linked conceptually to the generation (and publication) of knowledge than to dissemination (i.e., teaching) or application of knowledge. Other indicators of program quality include evidence of student research productivity, both at graduation and 5-6 years later. Like all quality-oriented organizations, the Ph.D. program is also committed to continuous renewal and improvement over time.

Strategically, there are two broad mechanisms by which output (i.e., placement) quality can be enhanced: input quality (i.e., student qualifications) and throughput quality (i.e., curriculum and other aspects of doctoral training).

Input strategy. Historically, admissions decisions have been based largely on an assessment of the student's raw intellectual ability, as measured by GMAT/GRE scores (especially the quantitative score), undergraduate grades, and, in some instances, letters of recommendation. Typically, some indication of the ``fit'' between the student's interests and program emphasis is also sought.

In general, the admission decision attempts to forecast the probability of professional success. Typically, the major concern has been the ability of the student to conduct publishable research. Criteria related to probable teaching ability, knowledge of and experience in business, and, in general, the prospects for excellent placement upon graduation, have entered into the admission decision less systematically. These latter criteria are now being given more consideration at the admission stage. An MBA degree and/or significant managerial experience, though not a requirement, is becoming a more valuable indicator of eventual placement quality. Careful consideration is also being given to the ``mix'' of domestic and foreign students in the program, as well as the representation of women and minorities. Our primary ``customers,'' that is, those universities hiring our graduates, operate in an environment of increasing political (and central administration) pressure to have culturally diverse faculties. At the same time, business schools are under increasing scrutiny by, and are increasingly reliant on, the external business community. For businesses to support business schools, they need to be convinced that students (undergraduate and MBA) learn about business from knowledgeable faculty, and that faculty are conducting meaningful research on substantive problems of immediate or potential interest to the business community. The foregoing implies greater emphasis on attracting as students mature individuals with both significant experience and genuine interest in the world of business. This in no way suggests movement away from scholarly potential as the overriding criterion for admission; it does suggest, however, a somewhat broader construal of scholarly research and an adjustment in certain tradeoffs that are made (e.g., a 30-year-old MBA with a 620 GMAT versus an undergraduate math major with a 700 GMAT).

Throughput strategy. It is safe to say that the dominantŝperhaps, soleŝemphasis of the University of Florida Ph.D. program has been on research training. Though many students taught at some point in the program, there was little formal training involved and, in many cases, no direct faculty supervision or mentoring. That situation is changing.

Although classroom teaching experience is not a formal program requirement (because some students opt for non-teaching careers), it is the norm rather than the exception; all students are strongly encouraged to teach as an essential part of their education. More systematic training, supervision, and feedback have been instituted. The emphasis of the program has shifted from a near-exclusive focus on research to the concept of a ``complete faculty professional'' who is strong not only in research but also in teaching, and is sensitive to the other aspects (e.g., university service) of faculty life.

Feedback/benchmarking. In support of this College-level philosophy for Ph.D. education, each of our six academic units (accounting, economics, finance, decision and information sciences, management, and marketing) produced a plan at the unit level. A fundamental aspect of the unit-level plan was the identification of peer institutions to be used for comparative assessment of performance.

The following universities are in the College peer set, and were listed as peers by at least 4 of the 6 academic units: Illinois, Indiana, Iowa, Michigan, Ohio State, North Carolina, and Texas.

These schools form the ``core'' peer group for the Ph.D. program; however, each academic unit obtains placement data from an additional three or four schools that comprise peer institutions at the departmental level. Exhibit 1 shows the nature of the information collected from the peer institutions. Collection of the data are the joint responsibility of the College Director of Graduate Studies and the Graduate Coordinator in each academic unit. The single most important piece of information is placement of graduates annually. Obviously, this information is inclusive and not just their top graduates.

The other data collected help to establish the degree to which programs are comparable in terms of size and support.

Finally, it is useful to obtain other sorts of data, not so much for comparative evaluation, but rather as a source of ideas about new approaches and philosophies, e.g., program brochures, student manuals, curricula, teaching training programs, etc.

In general, internal performance measures are used to supplement the key placement and student research productivity criteria. When the College began reforming the Ph.D. program, improved placement performance was not anticipated immediately. Nevertheless, a number of intermediate indicators were used to track progress toward the ultimate goals. The measures shown in Exhibit 2 are classified into three groups: output, throughput, and input. Within the latter two groups, the measures are further broken down into process and outcome measures.

Academic units are responsible for compiling this information on all graduates and maintaining a database.

Implementation

The approach I have described was initiated about six years ago. During the past two years academic units budgets for Ph.D. sudents were adjusted to reflect their performance relative to the placement objective. Academic units had five years to work toward this objective, and some were more successful than others. Those that performed well received more resources and are able to admit more students or offer higher stipends to admittees and thereby increase their admission "yield" of the best students. The model has worked well thus far.