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Public higher education increasingly relies on performance-based funding (PBF) policies to enhance accountability. These policies attempt to steer institutions towards successful outcomes via performance indicators, such as graduation rates. Nationally, PBF policies continue to grow in popularity despite limited evidence that they are effective (Hillman, Tandberg, and Gross, 2014). Motivated by the apparent conflict between the widespread adoption of PBF policies and the lack of evidence that they actually improve outcomes in higher education, this dissertation investigates the perceived impacts of PBF policies. Florida’s public university system serves as the setting for the study due to its uniquely punitive PBF policy design and the model’s non-standardized performance indicators. / Includes bibliography. / Dissertation (Ph.D.)--Florida Atlantic University, 2019. / FAU Electronic Theses and Dissertations Collection

The dissertation comprises of two chapters that use applied econometric techniques to analyze policy related questions that have implications for educational outcomes and one chapter that assesses factors that influence foreign direct investment inflows. In the first chapter I study the impact of equity premiums on the completion numbers of minority students. In the second chapter I assess the impact that state funding cuts for higher education may have on completion numbers across racial and ethnic lines. For the last chapter I study the relationship between intellectual property rights and foreign direct investmentFor chapter one, I study the impact that equity premiums inclusion in performance-based funding models have on the completion numbers of minority students. Using a combination of administrative data over the period 2004 to 2018 with two-way fixed effects methods, I investigate the impact of the premiums on completion numbers of Black, Hispanic, and Native American students. My estimates show that in the short run (up to 2 years post-policy) there are no changes in the completion numbers of at-risk students in adopting and non-adopting states. Secondly, there is heterogeneity in policy effects across ethnicity, in particular Hispanic student completion numbers decrease in adopting states. Thirdly, public institutions become more selective in their admissions of at-risk students post-policy, which may lead to the overall null effects I establish. For chapter two, I investigate whether there exist variations in how state funding cuts for higher education may impact on completion numbers across racial and ethnic lines. Combining administrative data from 1997 to 2018 with two-stage least squares methodology, I test how institutional state funding instrumented by total state funding may influence completion numbers across racial categories. I find that changes in state funding have no significant impact on the completion numbers for each racial category of students. For chapter three, I extend Spatz and Nunnenkamp’s (2003) analysis by using a panel dataset to determine a causal relationship between intellectual property right (IPR) protections and foreign direct investment (FDI) inflows. Using a fixed-effects Poisson model my results shows that IPR is a causal determinant of FDI within the manufacturing industry. My study concludes that as a country improves their IPR protections, the positive impact on FDI within the manufacturing industry, increases at a decreasing rate. / Economics

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<p dir="ltr">In the ever-evolving landscape of higher education research, the intersection of performance-based funding policy, export control laws, and research endeavors presents a complex web of challenges and opportunities. This dissertation explores this intricate interplay through two distinct yet interconnected lenses. The first paper, a law review article, "The Implications of Export Control Laws on Research Universities" scrutinizes the regulatory frameworks governing the dissemination of sensitive technologies and information. Examining the compliance burden, institutional responses, and the balance between national security concerns and academic freedom sheds light on the intricate dynamics shaping research practices. The second paper, "The Impact of Performance-Based Funding Policy on Research and Development at Higher Education Institutions" delves into the ramifications of funding policies that tie financial allocations to predetermined performance metrics. Through empirical analysis, it investigates how such policies influence research priorities, funding distribution, and institutional strategies for innovation. Through a multidisciplinary approach drawing from policy analysis, legal studies, and empirical research methodologies, this dissertation aims to contribute to a nuanced understanding of the complex interplay between performance-based funding policies, export control laws, and research in higher education. Ultimately, it seeks to offer actionable recommendations for policymakers, institutional leaders, and researchers to navigate this intersection effectively and advance knowledge creation in an increasingly interconnected world.</p>

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In der vorliegenden Publikation wird die Entstehung der leistungsbezogenen Hochschulfinanzierung im englischen Universitätssektor untersucht. Leistungsbezogene Hochschulfinanzierung wird in vielen Ländern als geeigneter Lösungsansatz für das Problem der gerechten Verteilung von staatlichen Finanzmitteln an individuelle Hochschulen diskutiert. Das englische Beispiel zeigt sich als sehr lehrreich für die Diskussion um die Umsetzung und die Konsequenzen eines solchen Lösungsansatzes. Der größte Teil der staatlichen Finanzmittel wurde den Universitäten seit Beginn des 20. Jahrhunderts als globale Zuweisung zugeteilt. Die Entscheidung über die Höhe der Summe dieses Geldes wurde ursprünglich von einem nicht-amtlichen Organ, dessen Mitglieder mehrheitlich Akademiker waren, bestimmt. Veränderungen der Mitgliedschaft und Verfahren dieses Organs und dessen Nachfolger-Organe haben wesentliche indirekte Implikationen und direkte Folgen für die Universitäten in England hervorgebracht. Die Verfahren zur Bewertung der Qualität der Leistung einer Universität sowie zur Verteilung von Finanzmitteln entsprechend dieser Leistung stellen das Instrumentarium für einen neuen steuernden Einfluss des Staates dar. Da die Höhe der staatlichen Finanzmittel für die Universitäten indessen seit Anfang der 80er Jahre stark abgenommen hat, müssen die Universitäten sich gleichzeitig erfolgreich auf dem Markt behaupten können. Die Universitäten müssen also innerhalb eines gestalterischen Raumes agieren, der zwischen Markt und Staat -- als die wesentlichen Einflussgrößen -- aufgespannt ist. Das Grundverhältnis zwischen dem Staat und den Universitäten zeigt sich entsprechend als höchst komplex. Dabei müssen die Universitäten eine Managementkompetenz entwickeln, die eine Maximierung an Finanzierung verspricht, während sie gleichzeitig die Grundaufgaben der Lehre und Forschung vor allzu negativen Konsequenzen dieser Wirtschaftsorientierung bewahren soll. Die Publikation belegt anhand einer Fallstudie, dass nicht alle Universitäten hierzu in der Lage sind und, dass die Implikationen und Folgen des sogenannten &amp;quot;Finanzierungsregimes&amp;quot; für deren Aufgabenerfüllung nachteilig sein können. Es wird deutlich, dass die konkreten Verfahren der Hochschulfinanzierung und, hier insbesondere, leistungsbezogene Ansätze nicht allein als technische Lösungen betrachtet werden können, sondern sie sollen nur im Zusammenhang mit einer Vorstellung von der idealen Universität gesehen werden, denn diese Verfahren beeinflussen die Gestaltungsmöglichkeiten einer Universität in direkter und indirekter Weise. / This publication investigates the emergence of performance-based funding in the English university sector. Performance-based funding of higher education institutions is discussed in many countries as an appropriate solution to the problem of distributing public funding to individual universities in a fair manner. The English example proves to be very instructive to the discussion with regards to the implementation, and then the implications, of such a proposal. From the beginning of the 20th century, the majority of public funding was distributed as a lump sum to individual universities in England. Decisions on the amount of funding were originally determined by a non-governmental body, whose members were mainly academics. Changes to this membership and to the procedures of this body have had a number of indirect implications for and direct effects on universities in England. Procedures for assessing the qualitative performance of universities, together with procedures which distribute funding according to this assessment provide the instruments of a new steering-influence utilised by the State, a new form of Public Management. As the amount of public state funding for universities has been reduced drastically since the beginning of the 1980's, universities have had to strive concurrently for funds on the open market. Universities are thus being forced to act within an area defined by the market and the State - the two strongest influences on the university sector. The fundamental relationship between the State and its universities has accordingly become highly complex. Universities, for their part, must develop management competencies, which promise a maximisation of funding, whilst at the same time aiming to protect a university's vital tasks of teaching and research from the more negative consequences of business-orientation. In a concluding case study, some evidence is provided which shows that not all universities are in a position to do this and that the implications and effects of the so-called &amp;quot;funding regime&amp;quot; are disadvantageous, in such cases, for their fulfilment of this entrepreneurial challenge. It becomes clear that the concrete procedures for funding higher education institutions and, in particular, performance-based models cannot been seen solely as technical solutions, but must instead be seen in combination with an idea of the ideal university, since these procedures influence the strategic options of a university both directly and indirectly.