Performance-based Funding Research Articles

Global prescriptions and local adaptations: the role of political culture in shaping governance strategies for university funding

ABSTRACT This article explores the influence of New Public Management (NPM) reforms on local higher education (HE) governance in the context of globalisation, focussing on the funding mechanisms of universities in Hong Kong and Taiwan. Through the development of an analytical framework for governance strategies, the study examines the principles underlying funding allocation and distribution decisions in these regions. The findings show that, although both regions adopt performance-based funding aligned with NPM principles, significant differences emerge due to their distinct political cultures and societal expectations. Taiwan’s strategy is characterised by regulatory oversight driven by societal shifts and electoral pressures, while Hong Kong’s approach is market-oriented, reflecting its British colonial heritage and alignment with industry demands. This study highlights the role of path dependency in shaping localised adaptations of global governance models, demonstrating the diversity and adaptability of HE governance strategies. The paper concludes by proposing directions for further research into the interplay between political culture and HE governance, advocating for the development of context-sensitive frameworks that address evolving governance strategies.

Federations of academic departments: performance-based funding and academic field-level expenditures at Russell group universities

ABSTRACT The widespread adoption of performance-based funding has been a global trend in higher education policy over the past 40 years. While considerable attention has been devoted to studying the relationship between performance-based funding and institutional behavior at the university level, little research has explored the relationship between performance-based funding and institutional decision-making behavior within universities. Conceptualizing universities as federations of academic departments, I used results from the 2014 Research Excellence Framework (REF) exercise to explore the relationship between those results and subsequent spending patterns within Russell Group universities. The most important finding is that this relationship varies based upon both the academic field and the university’s rank in the Times Higher Education World University Ranking (THE-WUR). It also has implications for policymakers around the world as it underscores that policy decisions can have differential impacts not only across universities, but also within universities.

Unpacking the discourse surrounding the impact agenda in the Hong Kong Research Assessment Exercise 2020

Abstract Research with economic utility and social value has been increasingly valued. Such an emphasis can be evidenced by the newly included assessment element of ‘societal impact’ in performance-based research funding (PBRF) schemes in different higher education systems around the world. This paper investigates how the non-academic impact is constructed and perceived in the Hong Kong Research Assessment Exercise (RAE) 2020, taking into account the local socio-cultural characteristics in the context of Hong Kong. Data sources include 13 impact case studies in the education panel submitted for the Hong Kong RAE 2020 and semi-structured interview with 17 education academics in Hong Kong. Findings revealed that the non-academic impact was constructed through a narrative pattern: (1) problem identification: tensions and synergies between local and international discourse; (2) problem resolution: prioritization of the evidence-based applied education research (with funding); (3) resolution dissemination: strategic employment of promotional genre. The paper discusses how decolonization, academic entrepreneurialism and collectivist culture have characterized the framing and understanding of the non-academic impact in the Hong Kong academia, contributing to the discourse on neoliberalism in higher education by providing a nuanced, local perspective on the impact agenda. Policy implications for a more localized and flexible impact agenda are also provided.

Performance-based funding and institutional practices of performance prediction

ABSTRACT Since the financial crisis in 2007–2008, higher education systems across Europe have increasingly become subject to performance-based funding reforms. Performance-based funding in higher education thus constitutes one of the most tangible and widespread examples of how performance data are incorporated into governance instruments in educational governance, and in consequence, how a mundane management practice like budgeting has become a data practice. This article investigates how university managers predict their future performance in the context of budgeting. In order to understand the enacted relations between the present and the future implied in practices of prediction, the article analyzes the meticulous and often invisible practices of prolonging individual data points into the future in two case studies, encompassing long-term budgeting in a Danish and a Norwegian university. The analysis shows that these prolongation practices differ across the two cases, involving serial and continuous temporalities, respectively. However, in both cases, the prolongations are made up of various calculations, regulations, sensations and affectivities, which then become constitutive in the sense that the resulting long-term budgets severely restrict the room for maneuver of managers. The article thus conceptualizes these data practices as preemptively restrictive and prospective decision loops, affecting decision-making in the present.

Decarbonizing Water: The Potential to Apply the Voluntary Carbon Market toward Global Water Security.

The increase in global water insecurity is one of the first perceivable effects of climate change. Two billion people are now without access to safe drinking water, and four billion experience water stress at least once a year, primarily in low per-capita emission countries. This nexus between climate change and water insecurity has significant implications for the global economy, with the water sector contributing 10% of global emissions. Though traditionally a local issue, climate finance mechanisms like the voluntary carbon market (VCM) present opportunities for a global, sustainable, performance-based funding stream to address water insecurity. Since 2010, water-related carbon projects have yielded over 45 million emission reduction credits. Our analysis estimates a global potential of over 1.6 billion tCO2e per year across various water project subsectors. At a $10 per credit average, this could attract over $160 billion in investments over the next decade, enhancing global water security. However, barriers like high intervention costs and limited technologies hinder widespread implementation, creating a tension between standardized and bespoke credits. We present case studies, spanning drinking water initiatives to the wastewater treatment sector that illustrate VCM's role in channeling private sector capital for water security in climate-vulnerable regions.

Historically Black Colleges and Universities and Performance-Based Funding: A Systematic Review of the Literature

This paper examined how performance-based funding (PBF) policies shape institutional performance and student outcomes for public four-year or above historically Black colleges and universities (HBCUs). By conducting a systematic review of the literature, the findings expanded on two main areas, as underscored by the pieces reviewed: (a) how the implementation of PBF policies across states impacts public four-year or above HBCUs, and (b) the intended and unintended consequences of PBF policy on public four-year or above HBCUs. The review of the literature largely indicated that public HBCUs continue to feel the burden of long-term disinvestment and lack of policy planning that is attentive to their histories, mission, and needs. Although researchers are still evaluating the impact of PBF policies on institutional performance and student outcomes based on PBF 2.0, the literature has affirmed that PBF 1.0 has negatively impacted student performance, raising several concerns about the future of HBCUs.

Performance-Based Funding and Certificates at Public Four-Year Institutions

Performance-Based Funding and Certificates at Public Four-Year Institutions

Designing policies that could work: understanding the interaction between policy design spaces and organizational responses in public sector

The goal of this paper is to contribute toward bridging the gap between policy design and implementation by focusing on domains, such as education, healthcare and community services, where policy implementation is largely left to the autonomous decision of public service providers, which are strategic actors themselves. More specifically, we suggest that two characteristics of policy design spaces in which policies are designed, i.e., the level of ideational coherence and the prevailing function of the adopted policy instruments, generate systematic patterns of responses in terms of the extent of compliance with policy goals, the presence of strategic gaming and possible defiance. We illustrate our model through a contrastive case study of the introduction of performance-based funding in the higher education sector in four European countries (France, Italy, Norway, and the United Kingdom). Our analysis displays that policy designs chosen by governments to steer public systems have different trade-offs in terms of responses of the public organizations involved that are essential to effectively implement governmental policies. The model we are proposing provides therefore a framework to understand how these interactions unfold in specific contexts, what are their effects on the achievement of policy goals and how policymakers could exploit their degrees of freedom in policy design to reduce unwanted effects.

The game of academic publishing: a review of gamified publication practices in the social sciences

In the last decades, academic publishing in the Social Sciences has experienced a shift toward research management by non-academic stakeholders and performance-based funding systems (PBFSs). The resulting conditions of knowledge production and dissemination are increasingly described with “game” metaphors. This article provides a literature review of research concerning publishing in the Social Sciences and discusses how gamification becomes a key element. Quantifying publication outcomes to assess and financially incentivize research performance results in a highly competitive playing field where access to goods and services is denied to those who play the game poorly. The pressure to publish leads to unethical behavior and predatory publishing which are two side-effects of gamified practices. The reviewed literature also shows unequal starting conditions in terms of gender and language inequalities, as well as the dominance of the Global North. We conclude that the gamification of publication practices in the Social Sciences leads to stressful and dreadful environments.

Authorship regulations in performance-based funding systems and publication behaviour – A case study of German medical faculties

This article investigates whether German medical faculties with different authorship regulations show different publication patterns. In 2004, the German Research Foundation (DFG) suggested a formula consisting of third-party funding, the cumulated JIF of publications and a fractional counting of publications to counteract the increasing inflation of author counts in medical publications. Whereas the third-party funding and the JIF are generally used in research evaluation without variation, the authorship regulation differs among medical faculties. We therefore compare medical faculties using the DFG model - to credit first and last authors with a higher share than middle authors - with those faculties that apply whole counting. We answer the question whether the faculties with the different counting methods also show different authorship and publication behaviour, i.e., authorship and collaboration patterns, the choice of journals (JIF level) and the citation impact (share of highly-cited papers). Findings indicate a clear trend of increasing co-author numbers and of middle-author papers, irrespective of authorship regulation. Publications with DFG model have only a slightly lower average author count and lower shares of middle-author papers than whole-counted publications. Our findings suggest that the DFG regulation has not resulted in a reduction of the number of authors, which was a major aim. Moreover, the results show that the use of whole counting goes together with higher productivity and higher impact, which may be a good reason to select that model.

Accounting academic leaders’ perceptions on New Zealand’s performance-based research funding system

PurposeUniversities globally have faced the introduction of research performance assessment systems that provide monetary and ranking rewards based on publication outputs. This study aims to seek an understanding of the implementation of performance-based research funding (PBRF) and its impact on the heads of departments (HoDs) and accounting academics in New Zealand (NZ) tertiary institutions. The study explores NZ accounting academics’ experiences and their workload; the relationship between teaching and research in the accounting discipline and any issues and concerns affecting new and emerging accounting researchers because of PBRF.Design/methodology/approachApplying an institutional theoretical lens, this paper explores accounting HoDs’ perceptions concerning the PBRF system’s impact on their academic staff. The research used semi-structured interviews to collect data from NZ’s eight universities.FindingsThe key findings posit that many institutional processes, some more coercive in nature, whereas others were normative and mimetic, have been put in place to ensure that academics are able to meet the PBRF requirements. HoDs suggest that their staff understand the importance of research, but that PBRF is a challenge to new and emerging researchers and pose threats to their recruitment. New academics must “hit the ground running” as they must demonstrate not only teaching abilities but also already have a track record of research publications; all in all, a daunting experience for new academics to overcome. There is also a teaching and research disconnect. Furthermore, many areas where improvements can be made in the design of this measurement tool remain.Originality/valueThe PBRF system has significantly impacted on accounting academics. Central university research systems were established that subsequently applied coercive institutional pressures onto line managers to ensure that their staff performed. This finding offers scope for future research to explore a better PBRF that measures and rewards research productivity but without the current system’s unintended negative consequences.

New Zealand’s bibliometric record in research and development: 1990–2008

Over the last two decades, the New Zealand government has sought to achieve improved outcomes in science and technology through structural reform, rather than increased levels of investment in the sector. How successful has this strategy been? Here we look at New Zealand’s bibliometric output over the last two decades, using the Thompson Reuters Web of Science database. The database reveals that bibliometric productivity has remained static over this time period, with changes in publication rate driven by increasing levels of full–time equivalent staff members, principally through growth in the tertiary sector. Although the citation impact of university publications has increased, the citation impact of the Crown research institutes has grown at a similar, if not faster, rate, suggesting that the performance-based research fund is not responsible for this increase.

Warnings of declining research productivity: Does Italy buck the trend?

Abstract The paper takes a scientometric approach to measure the change in research productivity of Italian academics before the COVID-19 pandemic outbreak. We propose a composite output/input bibliometric indicator and apply it at the field level, conducting a longitudinal analysis. Although the number of academics in the national academic system has decreased, we register very strong growth in both the number of publications and their scholarly impact. The growth in productivity, with only rare exceptions, crosses almost all fields. However, in areas that are traditionally very internationalized (Biology, Physics, and Chemistry), growth is less sustained than overall average, and also the variability of productivity across fields seems reduced. The main reason for this detail would be the smaller margins for improvement in the fields that had already reached high international standing. What emerges from the analysis goes counter to some alarms of declining scientific productivity at the global level. The Italian case is partly explained by the historic adoption of policies aimed at strengthening competitive mechanisms, in particular through the introduction of systems of performance-based research funding, and bibliometric accreditation for professorship.

Sensegiving doesn't always make sense: framing the implementation of performance-based funding in Ohio

ABSTRACT Organizational sensegiving is a framework that details influencing others in an organization’s process of making meaning of new information. In this study, we examined sensegiving through performance-based funding (PBF) discourse of state actors to Ohio citizens. Utilizing critical discourse analysis, 14 media releases were analyzed, focusing on linguistic construction to examine discursive strategies used by public institution presidents and politicians implementing PBF. This study contributes to the existing literature by exploring how state actors are sensegivers to citizens, stating their responses to implementing PBF. We found two contrasting narratives, the crisis, and collective good narrative, at the core of sensegiving PBF.

Research quality criteria in the Creative Arts

ABSTRACT This paper investigates research quality criteria in the Creative Arts (CA). The CA has been introduced into the higher education and research sector over the last three decades. It is thus a relatively new research field and there is little empirical knowledge on how outputs in this field should be evaluated. Our study applies a mixed-method approach to assess the relevance of quality criteria used in performance-based research funding systems (PRFSs) in 10 countries. The results of a qualitative analysis of interviews with artists-academics (N = 67) and Joint Correspondence Analysis show that when art is evaluated in the context of academic research, both the traditional indicators of artistic quality as well as the cognitive and research-related aspects of the arts are believed to be significant. The JCA analysis also showed that the majority of our respondents found both extrinsic quality criteria (related to reputation and prestige) and intrinsic criteria (related to cognition and development) relevant.

Performance agreement through the lens of resource dependence theory

ABSTRACT This study applies resource dependence theory to address the question of how the critical resource dependence relationship emerges in the context of a university’s performance agreement. This study focuses on two Nordic universities that have adopted performance agreements while simultaneously using strong performance-based state funding. Resource dependence involves an asymmetry and power imbalance that leads an organisation to believe that it is dependent on a more powerful organisation that has resources under its control. The theory reveals the central role of performance agreements and their associated instruments in the universities’ relationship with the ministry and within universities. We found minor differences in Nordic university examples indicating the influence of the performance regimes within the management arena and within the material dimensions of university autonomy. Performance agreements and their related instruments are isolated from the other key realities of universities. Understanding the loose coupling between the agreements and the characteristics of universities are needed to enhance universities’ ability to pursue their unique mission in society. Resource dependence theory provides a valuable framework for analysing the dynamics and dependencies that exist between organisations and within loosely coupled organisations, shedding light on the interactions and influences that shape these relationships.

Do research performances of universities and disciplines in England converge or diverge? An assessment of the progress between research excellence frameworks in 2014 and 2021

Performance-based research funding systems (PBRFSs) have been used in selectively distributing research funding, increasing public money accountability and efficiency. Two recent such evaluations in England were called the Research Excellence Framework (REF), which took place in 2014 and 2021, and the research environment, outputs and impact of the research were evaluated. Even though various aspects of the REF were examined, there has been limited research on how the performance of the universities and disciplines changed between the two evaluation periods. This paper assesses whether there has been convergence or divergence in research quality across universities and subject areas between 2014 and 2021 and found that there was an absolute convergence between universities in all three research elements evaluated, and universities that performed relatively worse in REF in 2014 experienced higher growth in their performance between 2014 and 2021. There was also an absolute convergence in the research environment and impact across different subject areas, but there is no significant convergence in the quality of research outputs across disciplines. Our findings also highlight that there has been an absolute convergence in research quality within the universities (between different disciplines in a given university) and within disciplines (between universities in a given subject).

A National Analysis of the Impact of Performance-Based Funding on Completion Outcomes Among Underserved Students

A National Analysis of the Impact of Performance-Based Funding on Completion Outcomes Among Underserved Students

Privileges Fund Management Based on Performance-Based Budgeting Principles

Based on Law Number 13 of 2012 concerning the Privileges of the Special Region of Yogyakarta, it is regulated based on regional government laws. The government provides funding known as the Privileges Fund. This Privileges Fund is managed must realize the principles of good governance, to achieve the goal of privilege in particular, and the goal of the state to prosper society in general. This study uses an empirical juridical method using a statutory approach and a conceptual approach. This study aims to find out how the management of performance-based privilege funds is implemented

Research on financial autonomy and financial management in public higher education

This article examines financial autonomy and management in public higher education, focusing on its definition, significance, key factors, benefits, and challenges. It emphasizes the importance of institutions' control over their financial resources, with factors such as revenue diversification, efficient resource allocation, strategic partnerships, and performance-based funding contributing to financial autonomy. The article discusses the benefits of financial autonomy, including increased flexibility, entrepreneurial culture, and financial sustainability, while also addressing challenges like tuition affordability, marketization concerns, and accountability issues. It explores financial resource management through budgeting, resource allocation, cost control, transparency, and revenue generation. The methods and tools for financial management encompass financial planning, performance metrics, cost analysis, risk management, and technology utilization. The article concludes by offering recommendations for Vietnam, such as strengthening financial planning, diversifying revenue sources, enhancing accountability and transparency, adopting technology, and promoting collaboration. Overall, it provides valuable insights for policymakers and institutions to effectively manage financial resources and ensure the sustainability and quality of public higher education.