A study of 25 years of publication outputs in the German academic profession

In the weak evaluation state of Germany, full professors are involved in the traditional social governance partnership between the state, and the self-governing higher education institutions (HEI) and disciplinary associations. Literature suggests that formal and informal governance could trigger changes in academics’ publication behavior by valorizing certain publication outputs. In the article, secondary data from three surveys (1992, 2007 and 2018) is used for a multi-level study of the evolution of academics’ publication behavior. We find a trend toward the “model” of natural science publication behavior across all disciplines. On the organizational level, we observe that a strong HEI research performance orientation is positively correlated with journal articles, peer-reviewed publications, and co-publications with international co-authors. HEI performance-based funding is only positively correlated with the share of peer-reviewed publications. At the level of individual disciplines, humanities and social sciences scholars adapt to the peer-reviewed journal publication paradigm of the natural sciences at the expense of book publications. Considering how the academic profession is organized around reputation and status, it seems plausible that the academic profession and its institutional oligarchy are key contexts for the slow but steady change of academics’ publication behavior. The trend of changing academics’ publication behavior is partly related to HEI valorization of performance and (to a lesser extent) to HEI performance based-funding schemes, which are set by the strong academic profession in the weak evaluation state of Germany.

Performance-Based Evaluation Metrics: Influence at the Macro, Meso, and Micro Level

This chapter aims to critically engage with the performative nature of bibliometric indicators and explores how they influence scholarly practice at the macro, meso, and individual levels. It begins with a comparison between two national performance-based funding systems in Sweden and Norway at the macro level, within universities at the meso level, down to the micro level where individual researchers must relate these incentives to knowledge building within their specialty. I argue that the common-sense “representational model of bibliometric indicators” is questionable in practice, since it cannot capture the qualities of research in any unambiguous way. Furthermore, a performative notion on scientometric indicators needs to be developed that takes into account the variability and uncertainty of the aspects of research that is to be evaluated.

Applicability of Performance-Based Funding Models for Tertiary Education in Small Island Developing States: The Case of Mauritius

<p>Performance-based funding of publicly-provided goods and services is an output-oriented system which is seen by many experts as a better way of improving efficiency and enhancing public accountability than reliance upon an input-based system. From the early 1980s, the goal has shifted in many OECD countries from accounting for expenditures to accounting for results. The shift gained momentum from movements to re-engineer business and reinvent government. Empirical studies of performance-based funding (PBF) systems to date have been largely confined to OECD countries and there is a lack of literature on PBF models with regard to developing countries, including Small Island Developing States (SIDS). This research explores the desirability and applicability of a PBF model for tertiary education in SIDS, with particular reference to Mauritius. This research adopts a pluralist methodology which is based on a literature review, a substantive assessment of the five OECD countries (Australia, Denmark, Sweden, New Zealand and United Kingdom) where PBF models are currently in use in the tertiary education sector, and qualitative interviewing. Thirty-eight respondents were interviewed involving members of the political elites and representatives of the tertiary education sector in Mauritius. Primary empirical materials were triangulated and cross-validated with secondary data gathered from official documents. The results indicated some measure of support for performance-based systems among the respondents in order to promote the quality of tertiary education, enhance research capability and increase accountability for the use of public funds. However, SIDS would face difficulties in developing and implementing PBF systems for tertiary education in the short-term because of a lack of human resource capability, the limited capacity of governments to reward performance due to budgetary constraints, the distinctive characteristics of SIDS (e.g. smallness, a limited number of tertiary education institutions, and vulnerability to natural calamities), and high administrative and compliance costs. An important conclusion from this investigation is that there is no 'perfect' PBF model and unintended consequences are likely from any model adopted. A PBF model for either teaching or research (whether based on peer review, performance indicators or a mix of the two) would not be desirable, feasible or applicable in Mauritius or any other SIDS in the short-term. Three other policy options are considered for enhancing research and teaching performance in the tertiary education sector in the short-term, namely better monitoring and reviewing research performance, an improved quality assurance system, a review of outcomes, or some combination of the three options. In the longer-term, there is the possibility of developing a PBF research indicator model, provided some key preconditions are met, such as stable policy settings and political commitment, adequate human resource capacity and capability, and the separation of budgets for research and teaching.</p>

Applicability of Performance-Based Funding Models for Tertiary Education in Small Island Developing States: The Case of Mauritius

<p>Performance-based funding of publicly-provided goods and services is an output-oriented system which is seen by many experts as a better way of improving efficiency and enhancing public accountability than reliance upon an input-based system. From the early 1980s, the goal has shifted in many OECD countries from accounting for expenditures to accounting for results. The shift gained momentum from movements to re-engineer business and reinvent government. Empirical studies of performance-based funding (PBF) systems to date have been largely confined to OECD countries and there is a lack of literature on PBF models with regard to developing countries, including Small Island Developing States (SIDS). This research explores the desirability and applicability of a PBF model for tertiary education in SIDS, with particular reference to Mauritius. This research adopts a pluralist methodology which is based on a literature review, a substantive assessment of the five OECD countries (Australia, Denmark, Sweden, New Zealand and United Kingdom) where PBF models are currently in use in the tertiary education sector, and qualitative interviewing. Thirty-eight respondents were interviewed involving members of the political elites and representatives of the tertiary education sector in Mauritius. Primary empirical materials were triangulated and cross-validated with secondary data gathered from official documents. The results indicated some measure of support for performance-based systems among the respondents in order to promote the quality of tertiary education, enhance research capability and increase accountability for the use of public funds. However, SIDS would face difficulties in developing and implementing PBF systems for tertiary education in the short-term because of a lack of human resource capability, the limited capacity of governments to reward performance due to budgetary constraints, the distinctive characteristics of SIDS (e.g. smallness, a limited number of tertiary education institutions, and vulnerability to natural calamities), and high administrative and compliance costs. An important conclusion from this investigation is that there is no 'perfect' PBF model and unintended consequences are likely from any model adopted. A PBF model for either teaching or research (whether based on peer review, performance indicators or a mix of the two) would not be desirable, feasible or applicable in Mauritius or any other SIDS in the short-term. Three other policy options are considered for enhancing research and teaching performance in the tertiary education sector in the short-term, namely better monitoring and reviewing research performance, an improved quality assurance system, a review of outcomes, or some combination of the three options. In the longer-term, there is the possibility of developing a PBF research indicator model, provided some key preconditions are met, such as stable policy settings and political commitment, adequate human resource capacity and capability, and the separation of budgets for research and teaching.</p>

Analyzing the Impact of Spanish University Funding Policies on the Evolution of Their Performance: A Multi-Criteria Approach

The relationship between university performance and performance-based funding models has been a topic of debate for decades. Promoting performance-based funding models can create incentives for improving the educational and research effectiveness of universities, and consequently providing them with a competitive advantage over its competitors. Therefore, this paper studies how to measure the performance of a university through a mathematical multicriteria analysis and tries to link these results with certain university funding policies existing in the Spanish case. To this end, a reference point-based technique is used, which allows the consideration and aggregation of all the aspects regarded as relevant to assess university performance. The simple and easy way in which the information is provided by this technique makes it valuable for decision makers because of considering two aggregation scenarios: the fully compensatory scenario provides an idea of the overall performance, while the non-compensatory one detects possible improvement areas. This study is carried out in two stages. First, the main results of applying the proposed methodology to the performance analysis evolution of the largest three Spanish public university, over a period of five academic years, are described. Second, a discussion is carried out about some interesting features of the analysis proposed at regional level, and some policy messages are provided. The “intra” regions university performance analysis reveals some institutions with noteworthy behaviors, some with sustained trends throughout the analyzed period and other institutions with more erratic behaviors, within the same regional public university system despite having the identical funding model. However, the findings “inter” regions also reveal that only Catalonia has developed a true performance-based model, in theory and in practice, which has contributed to achieving excellent results at regional level in both teaching and research.

Social equity in higher education: a wicked problem exacerbated by multiple discourses

Social equity in higher education has been a priority for universities and policy makers throughout Organisation for Economic Co-operation and Development (OECD) nations for more than a decade. Limited improvement is seen among students in under-represented groups which remains a concern and for this reason social equity in higher education is presented as a wicked problem. This article will outline the steady massification of higher education where elitist discourses were largely abandoned, while social equity discourses flourished. The discussion will include key documents that have wielded great influence on discourse including The Bradley Review, Performance-Based Funding (PBF) and the Job-Ready Graduates legislation. After illuminating the Australian political context, this article will define four social equity discourses currently distinguishable in higher education literature: meritocratic, economist, social justice and human potential. Interrogation of these discourses will reveal complexity and divergence that contributes to the wicked nature of improving social equity in higher education.

A performance-based funding da educação básica no Brasil

As diretrizes da Emenda Constitucional n.° Emenda Constitucional n.° 53 que deu uma nova redação ao art. 60 do ato das disposições constitucionais transitórias (ADCT) criando o Fundo de Manutenção e Desenvolvimento da Educação Básica e de Valorização dos Profissionais da Educação FUNDEB, tendo como meta, no período de sua vigência de 10(dez) anos, melhorar a qualidade da educação básica brasileira, com o apoio de todos os entes federativos. Porém os resultados apresentados pelo Programa Internacional de Avaliação de Estudantes (PISA) revela que os investimentos na educação básica demonstra a falta de qualidade e a prática de se definir um projeto que traga resultados satisfatórios na performance-based funding dos nossos alunos. O presente artigo busca trazer uma reflexão sobre a perfomance dos alunos na educação básica, a partir dos resultados do PISA e os valores que foram investidos pelo (FUNDEB) na educação básica, permitindo, ao final, buscar novas possibilidades de melhoramento no desempenho dos alunos brasileiros nos diversos seguimentos educacionais. Para tanto, foram analisados descritivamente dados oficiais do governo no investimento na educação básica, utilizando de abordagens quanti-qualitativa, aplicando o método hipotético-dedutivo, recorrendo a uma forma descritiva concentrado no objeto do investimento na educação básica pelo FUNDEB.