Submitted in fulfillment of the requirements for the Master’s Degree in Public Management, Department of Public Management & Economics, Durban University of Technology, Durban, South Africa, 2016. / In order to eradicate the legacy of the apartheid past, the South African democratic government adopted a development approach to local government. This necessitated a commitment on the part of local government, through the Integrated Development Plan (IDP), to facilitating community participation by finding ways to meet economic, social and material needs, as well as improving quality of life. The IDP can only be well received and implemented if there is an effective public participation process to ensure that the needs and aspirations of the people are met. This research focused primarily on evaluating community participation in the IDP process through the use of the case study of Umzumbe Municipality in the KwaZulu-Natal province. Furthermore, the research answers the following questions: to what extent do communities participate in the IDP process?; what were the challenges facing communities with regard to participation in the IDP process?; and what was the role of ward councillors and ward committees in promoting community participation in the IDP process? In order to answer these questions, an empirical study was conducted using quantitative research methodology. The case study approach was used in this study in order to obtain detailed views of respondents and issues relating to the objectives of the study. Using the quantitative research methodology, the study employed a questionnaire to collect information linked to community participation. Three hundred and ninety respondents from ten wards in the local municipality were randomly sampled. In addition, ten ward councillors were requested to participate in the study in order to explore the factors influencing community participation in the study area. The questionnaires were developed and approved by the Durban University of Technology’s ethics committee before the commencement of the study. Data was then collected. The results of the study, conclusions and recommendations are provided in a way that will enable the reader to draw his or her own conclusions on the value of this study. The study was worth undertaking since the challenges of community participation for local economic development and the IDP enhance service delivery. The results of the study should expand the knowledge base of rural community participation in the IDP process in Umzumbe Municipality. The findings of this study should benefit the municipality by highlighting the challenges of community involvement in the IDP process. The envisaged outcome of this study is the development of a theoretical framework for rural community participation in the IDP process in local government. Findings from the study point to the profusion of poor or non-participation of the community in the IDP process. The study shows sour relationship between ward councillors, ward committee members and community members. Based on the findings of the study, the following recommendations have been made: upgrade levels of education/capacity development for ward councillors, ward committee members and community members; poverty alleviation and economic development to create employment; encourage youth and adults to engage in public forums; encourage the involvement of all stakeholders in the identification of development initiatives; co-ordination and information sharing sessions; and systems of monitoring and evaluation should be put in place to monitor community participation in the IDP process, with guidelines for the implementation of community participation initiatives. / M

本文旨在探討台灣省政府消滅貧窮政策「小康計畫」的制定經過及執行情形，各章要 點如下： 第一章─緒論；先闡明公共政策的意義及小康計畫的實施經過，次說明本文的研究動 機、目的、研究方法、分析架構、研究範圍和所受限制。 第二章─政策的形成；先說明「小康計畫」政策形成的背景，次說明台灣省貧窮問題 的狀況及政府當局對該問題的體認，並探究貧窮問題進入政府議程的過程。 第三章─政策的規劃與合法化；說明政策規劃的內涵。次分別探究「小康計畫」政策 規劃和合法化的過程。 第四章─政策的執行；分別說明「小康計畫」政策執行的機構、經費、人員、貢目， 並以統計數字說明執行的實際效果。 第五章─政策的評估；先說明政策評估的必要性和重要性，次就政策形成、政策規劃 和化法化、政策執行第三個過程，檢討台灣省消滅貧窮政策。 第六章─結論；依據前述各章的分析說明與檢討，提出研究心得與建議意見，期能有 助於政府爾後制定社會福利政策的充實與改進。

La criminalità organizzata ha aumentato la propria presenza nell’economia legale attraverso l’infiltrazione in aziende, generando così delle conseguenze negative per il sistema economico e alterando le relazioni tra attori economici. Molti paesi europei hanno adottato dei sistemi di recupero di capitali illeciti, ma l’Italia è la sola che prevede anche il recupero di aziende come misura di contrasto efficace. La politica di recupero dei capitali illeciti dovrebbe ridurre l’infiltrazione della criminalità organizzata nelle aziende, ma ad oggi è assente una valutazione la politica di recupero delle aziende infiltrate da gruppi criminali. Questa tesi intende valutare la politica di recupero delle aziende infiltrate dalla criminalità organizzata in Italia. L’analisi riguarda la valutazione dell’efficacia, efficienza e impatto di questa politica e, attraverso lo studio di nove casi, propone un nuovo quadro di analisi che combina diversi metodi (es. analisi degli indici di bilancio) e fonti (es. casi giudiziari e bilanci). Lo studio dei casi mostra che il recupero delle aziende è efficace se l’amministratore giudiziario ha esperienze manageriali; è efficiente se i procedimenti di recupero sono brevi e l’azienda viene destinata ad uso sociale; ed ha un impatto positivo se i media e le associazioni locali si interessano alle sorti dell’azienda. / By misusing legitimate businesses, organised crime is increasingly present in legal economies, generating serious consequences for legal systems and distorting relationships among legal actors. Several European countries have adopted asset-recovery regimes, but Italy is the only one that foresees the confiscation of companies as an effective countermeasure. Taking profits out of crime should curtail its infiltration into legitimate businesses, but there are no evaluations of the recovery of companies once infiltrated by organised crime. This study aims to evaluate the recovery of confiscated companies infiltrated by organised crime in Italy. It measures the effectiveness, efficiency and impact of this policy, and, analysing nine cases to assess the achievement of the policy objectives, proposes a new analytical framework that combines different methods (e.g. financial ratio analysis) and sources (e.g. judicial files and balance sheets) to evaluate asset-recovery policies. The results from case studies show that the recovery of companies is effective if the legal administrator has managerial skills; it is efficient if the proceedings are short and the company is disposed to social reuse; and it has a positive impact if media and local associations show an interest in the company.

Dans un contexte de croissance effrénée de la demande mondiale d'énergie et de pression environnementale pour lutter contre le réchauffement climatique, cette thèse étudie une des technologies envisagées pour réduire les émissions de dioxyde de carbone (CO2) : la capture et le stockage géologique du carbone (CSC). Nous étudions principalement l’application de cette technologie à la production des bioénergies (BCSC) car ce procédé permet d’épurer l’atmosphère tout en fournissant un substitut énergétique non polluant aux énergies fossiles. La première partie de ce travail analyse le potentiel économique et environnemental de la technologie de BCSC. Tout d'abord, une évaluation économique et environnementale de la BCSC dans le secteur de la production de bioéthanol en France est conduite.Ensuite, grâce à un modèle bottom-up d’optimisation TIAM-FR, nous étudions le potentiel global et régional de cette technologie dans le secteur de l'électricité. Enfin, les incitations économiques à mettre en place pour assurer son développement sont mises en évidences. Dans la deuxième partie, un modèle d'équilibre général calculable est utilisé pour évaluer les politiques environnementales. Nous construisons le modèle théorique en introduisant les technologies de CSC et de BCSC ainsi qu’une large variété d’instruments économiques. Le modèle est ensuite calibré pour comparer l’efficacité économique des instruments de politique environnementale à un niveau mondial et à un niveau français. / In a context of unbridled growth of global energy demand and environmental pressure in the fight againstglobal warming, this thesis studies one of the proposed technologies to reduce carbon dioxide (CO2)emissions: carbon capture and geological storage (CCS). We therefore consider the application of thistechnology to the production of bioenergies (BCCS) because this technology allows purifying theatmosphere while providing a clean energy alternative to fossil fuels. The first part of this work analyzesthe economic and environmental potential of BCCS. First, an economic and environmental assessment ofBCCS in the bioethanol production in France is conducted. Then, using the bottom-up optimization modelTIAM-FR, we study the global and regional potential of this technology in the electricity sector. Finally,the economic incentives that need to be provided to ensure BCCS deployment are highlighted. In thesecond part, a general equilibrium model is used to evaluate environmental policies. We construct thetheoretical model by introducing the CCS and BCCS as well as a wide range of economic instruments.The model is then calibrated to compare the effectiveness of environmental policy instruments at a globallevel and at a French level.

This thesis presents three empirical analyses in the economics of Higher Education within the United Kingdom. The first analysis evaluates the impact of student funding reforms on participation and course choice, through the use of a difference-in-differences strategy with heterogeneous treatment effects. The results show that students who received the largest increase in study costs were less likely to move further away and also more likely to study a subject with lower graduate wage premia due to the significant reduction in the risk of investing in higher education. Students who received the largest increase in up-front financial support were more likely to attend a university further away. The second question addresses whether undergraduate subject choice is affected by changes in the expected benefits and opportunity costs of investing in HE through variation in the labour market. Students who reside in areas of high unemployment are found to be less likely to choose subjects with the largest graduate wage and employment premia. This suggests that students may be afraid of failure in challenging labour markets and instead choose to study subjects with a greater chance of success. However, lower socioeconomic status students are more likely to study subjects with the highest graduate wage and employment premia. This suggests that the students who may be the most aware of the costs, are also the most aware of the benefits. Finally, the third analysis investigates whether students who are socioeconomically disadvantaged incur a further penalty in terms of degree attainment. The results show that the most disadvantaged students outperform their advantaged counterparts. This may be due to pre-university attainment being an imperfect measure of ability in the most disadvantaged students, or that students who have had to overcome the most challenges to attend university are better-equipped and more determined to succeed.

Submitted by Rosivalda Pereira (mrs.pereira@ufma.br) on 2017-07-21T18:30:29Z No. of bitstreams: 1 FranciscoPereiraFilho.pdf: 677526 bytes, checksum: 9a90865bac048ff31a5a296498fe5874 (MD5) / Made available in DSpace on 2017-07-21T18:30:29Z (GMT). No. of bitstreams: 1 FranciscoPereiraFilho.pdf: 677526 bytes, checksum: 9a90865bac048ff31a5a296498fe5874 (MD5) Previous issue date: 2017-06-26 / The study deals with the political evaluation of the Basic Education Policy articulated to Professional Education, specifically at the Federal Institute of Education, Science and Technology of Maranhão (IFMA). It elaborates a historical retrospective of the public policies in relation to the basic education, having as axis guiding the structural duality existing between the formation of propedeutic character directed to the elites and the instrumental education provided to the popular classes. It contextualizes the foundations of omnilateral and polytechnic education, and of the unitary school of Marx and Gramsci. It characterizes the conceptions and principles that determined the formulation of this Policy in IFMA. It is based on a qualitative research that uses bibliographical and documentary research, based on several legal documents (laws, decrees, mainly Decrees nº 2.208/1997 and 5.154/2004) and on institutional documents of the IFMA (pedagogical project, Development plan, regiments, etc.). According to the data analyzed, the articulation between the High School and Professional Education in the IFMA presents limitations in its execution, mainly in relation to teacher training, lack of laboratories and contingency of resources. It complements that even with the limitation of these inputs, the IFMA through its guidelines needs to invest heavily in the qualification of the teaching staff for the pedagogical practice, based on the polytechnics and omnilaterality aiming at the training of its students. / O estudo aborda sobre a avaliação política da Política de Educação Básica articulada à Educação Profissional, especificamente no Instituto Federal de Educação, Ciência e Tecnologia do Maranhão (IFMA). Elabora uma retrospectiva histórica das políticas públicas em relação à educação básica, tendo como eixo orientador a dualidade estrutural existente entre a formação de caráter propedêutico dirigida às elites e a educação instrumental proporcionada às classes populares. Contextualiza os fundamentos da educação omnilateral e politécnica, e da escola unitária de Marx e Gramsci. Caracteriza as concepções e princípios que determinaram a formulação dessa Política no IFMA. Fundamenta-se como uma pesquisa de abordagem qualitativa que utiliza a pesquisa bibliográfica e documental, baseando-se em diversos documentos legais (leis, decretos, principalmente os Decretos nº 2.208/1997 e 5.154/2004) e em documentos institucionais do IFMA (projeto pedagógico, plano de desenvolvimento, regimentos, etc.). Salienta, com os dados analisados, que a articulação entre o Ensino Médio e a Educação Profissional no IFMA apresenta limitações na sua execução, principalmente em relação à formação dos professores, falta de laboratórios e contingenciamento de recursos. Complementa que mesmo com a limitação destes insumos, o IFMA através de suas diretrizes, precisa investir fortemente na qualificação do corpo docente para a prática pedagógica, baseada na politecnia e na omnilateralidade almejando a formação cidadã dos seus discentes.

This thesis aims to unpack the impact the legalization of street vending and the subsequent regulation had on sidewalk vendors. Although legalization occurred state-wide through Senate Bill 946 in September of 2017, the rules and regulations for vending were passed at a city-level, and I am focusing on the City of Los Angeles specifically. Through interviews with government officials, non-profit partners and advocates, and vendors from different parts of the City, I analyze information around the policy itself, its history, and the impact it has and is expected to have on vendors and their businesses. While vendors have been central to advocacy and the policy process, the creation of a permitting system in the City of Los Angeles has been less transparent. By interviewing stakeholders, relying on existing economic, political, and sociological literature, and gathering opinions from vendors themselves, I develop various policy recommendations to further empower vendors and integrate them into Los Angeles’ formal economy. I recommend a permitting model that is backward-mapped and stems from the needs of and feedback from vendors in order for it to be more aligned with the goals and needs of vendors themselves.

自民國八十七年起，我國政府所實施的「公務人員每月二次週休二日制」是「週休二日制」完全施行之前的漸進過渡階段。為符合我國國情之需要，此一政策經由徐圖漸進的政策過程，配合社會生活型態的變遷，以儘可能減少對於人民生活的衝擊。然而在週休二日制政策的研議時期、決策過程、漸進實施階段，及未來可能的政策方向上，仍然具有許多可供商議之處，作為一個影響社會生活型態與國家經濟發展甚鉅的制度變遷過程，其中的一步一履必須謹慎而行。 本研究試圖評估公務人員每月二次週休二日制在實施一年之後對政府機關運作的影響，希望透過此一主題的研究，瞭解該制在開始執行的第一年成效如何。針對不同性質的部門，如配合實施每月二次週休二日制之機關、因業務性質特殊仍依規定維持全年無休之機關、以及與民眾關係密切而採五天半或六天服務之機關，經由多元指標的運用，深入瞭解並評估其所受到制度變遷之衝擊，進而探究其適應新制度成敗之原因，以評估每月二次週休二日制為我國公部門之行政運作所帶來的效益何在。 為同時考量本研究之定位與研究者能力所及之範圍，本研究採行「個案研究法」，以評估政府機關在民國八十七年所實施的每月二次週休二日制對其行政運作之影響。因此本研究就近選擇研究對象，集中於「台北市」選取作為研究對象的若干個案，抽樣的方式是依據不同地區的各類型機關以兼顧地域人口分佈上的差異性。所選擇之個案計有台北市政府人事處、仁愛醫院、信義區衛生所、大安區公所、士林區公所、台北監理所、萬華第二戶政事務所、內湖戶政事務所、北投戶政事務所等九個。 於本研究中，社會大眾在資訊不足及社會成本均攤的認知情境下，對於公部門資源的索取遠大於其所能適當使用的數量，民眾仍處於短視近利的心態，未曾顧慮到行政資源因其苛求而揮霍無度的狀態。在民眾、公務人員及高層決策官僚的三角關係□，民眾看似因恣行民意而身受榮寵，實則虧負正當使用社會資源的義務，同時成為潛在的受害者與加害者。 決策官僚於其中仍不得不肩負部分的責任。儘管受限於政治生態及民意高漲的社會現況中，廢革前任市長所留下的諸多施政措施(諸如各項加強為民服務政策)極有可能遭外界解讀為政黨輪替後的政策傾軋，但是，妥協於民意往往必須以犧牲專業知識及整體社會利益為代價，最後更將因與之妥協而適足以害之。決策者當務之急應是與民眾進行溝通，使民眾進一步瞭解現況之下的利弊得失，進而爭取民意對於政策改革的支持。人民的眼睛能否雪亮以洞察世理，為政者的坦誠以對具有舉足輕重的價值。 公務人員在此三角關係中處於相對弱勢的地位，既無決定政策走向的權力，也無法有效反應其深刻的感觸與體驗，然而，對於政府機關週休二日的實務現況之瞭解卻也無人能出其右。易言之，公務人員眼見行政資源濫用，人力於雙週週六遭受閒置，於單週週六卻有不足，工作量的不平均與工作時間的紊亂徒增公務人員的工作壓力，甚而抹煞了當初週休二日制良善的政策立意。 制度的更迭遞嬗是為了改善社會現狀而起，在此新制度取代舊制度的過程裡，不時地回顅與檢討將幫助我們踏出更為穩重的下一步。每月二次週休二日制的實施在多方勢力競逐之下拍板定案，正如政府機關延長為民服務所需的人力安排一直是在員工紛亂的工作時間表中倉促成軍。新舊制度交替之際，民眾對於政府機關始終存在著無盡的要求與課責，位居前線服務的公務人員則對於不當政策導致行政資源濫用的情形大肆撻伐，身居高位的決策者卻須在瞭解實情的狀況下與民粹政治妥協。從此一執行評估中可以明白見到週休二日制政策的執行過程中仍有許多可以改善之處，有賴決策高層體察實情後積極整合民眾及基層公務人員的真實需要。 目錄 第一章 緒論 1 第一節 工時制度的國際性變遷 2 第二節 我國實施週休二日制的演變背景 6 第三節 研究問題 16 第四節 研究方法與限制 20 第二章 實施週休二日制的相關經驗 27 第一節 週休二日制的實施方式 28 第二節 週休二日制對經濟發展的影響 32 第三節 週休二日制對教育和生活層面的改變 38 第三章 研究分析架構 42 第一節 文獻檢閱 42 第二節 評估的意義與執行評估的應用 48 第三節 分析架構的設計 52 第四章 週休二日與政府內部管理對策 62 第一節 人事安排的異動 65 第二節 員工請假的情形 80 第三節 員工休閒活動的規劃 88 第四節 週休二日制與內部管理對策的綜合分析 95 第五章 週休二日運作結果分析 99 第一節 台北市政府為民服務政策的運作現況 99 第二節 員工工作滿足感 106 第三節 民眾滿意度 116 第四節 機關生產力的改變 124 第五節 週休二日實施結果的綜合分析 128 第六章 結論 132 第一節 研究成果發現 132 第二節 研究成果對週休二日制的意涵 137 第三節 研究建議 151 參考書目 186 圖表目次 圖3-1 研究面向其間相關圖 55 表1-1 六縣市實施週休二日制經歷 9 表1-2 研究個案表 24 表2-1 各國公私部門實施週休二日制先後之比較 28 表2-2 各國法定工時及週休制度之比較 31 表2-3 多放假一天對總體經濟產值的影響 34 表2-4 日本實施週休二日制推動過程 34 表2-5 我國歷年三十人以上企業週休制之變動 35 表2-6 日本歷年三十人以上企業實施週休制之比例 36 表2-7 民間企業規模別週休制之比較 36 表3-1 我國報紙對於週休二日制的不同意見 44 表4-1 研究問題的操作化指標及資料蒐集方式 62 表4-2 員工問卷回收率 63 表4-3 民眾問卷回收率 64 表4-4 受訪者基本資料 65 表4-5 仁愛醫院單雙週週六辦公情形統計表 67 表4-6 信義區衛生所單雙週週六辦公情形統計表 68 表4-7 台北市各區戶政事務所單雙週週六辦公情形統計表 69 表4-8 台北市各區戶政事務所週六各項戶籍案件登記統計表(88.7-12) 69 表4-9 台北市各區戶政事務所週六各項戶籍案件登記統計表(88.1-3) 70 表4-10 台北市各區公所單雙週週六辦公情形統計表 70 表4-11 全體受訪員工對人事安排改變的意見 71 表4-12 人事處員工對於人事安排改變的意見 72 表4-13 仁愛醫院員工對於人事安排改變的意見 73 表4-14 信義區衛生所員工對於人事安排改變的意見 73 表4-15 台北監理所員工對於人事安排改變的意見 74 表4-16 大安區公所員工對於人事安排改變的意見 74 表4-17 士林區公所員工對於人事安排改變的意見 75 表4-18 萬華第二戶政事務所員工對於人事安排改變的意見 75 表4-19 內湖戶政事務所員工對於人事安排改變的意見 76 表4-20 北投戶政事務所員工對於人事安排改變的意見 76 表4-21 受訪員工對於週休二日制的建議 78 表4-22 受訪民眾對於週休二日制的具體建議 78 表4-23 員工請假的改變情形 81 表4-24 台北市政府人事處員工請假的改變情形 83 表4-25 仁愛醫院員工請假的改變情形 83 表4-26 信義區衛生所員工請假的改變情形 84 表4-27 台北監理所員工請假的改變情形 84 表4-28 大安區公所員工請假的改變情形 85 表4-29 士林區公所員工請假的改變情形 85 表4-30 萬華第二戶政事務所員工請假的改變情形 86 表4-31 內湖戶政事務所員工請假的改變情形 86 表4-32 北投戶政事務所員工請假的改變情形 87 表4-33 員工休閒活動的安排情形 88 表4-34 台北市政府人事處員工休閒活動的安排情形 91 表4-35 仁愛醫院員工休閒活動的安排情形 92 表4-36 信義區衛生所員工休閒活動的安排情形 92 表4-37 台北監理所員工休閒活動的安排情形 92 表4-38 大安區公所員工休閒活動的安排情形 93 表4-39 士林區公所員工休閒活動的安排情形 93 表4-40 萬華第二戶政事務所員工休閒活動的安排情形 94 表4-41 內湖戶政事務所員工休閒活動的安排情形 94 表4-42 北投戶政事務所員工休閒活動的安排情形 94 表5-1 台北市大安區公所單雙週週六辦公情形統計表 100 表5-2 台北市士林區公所單雙週週六辦公情形統計表 101 表5-3 工作滿足感的改變情形 107 表5-4 台北市政府人事處工作滿足感的改變情形 110 表5-5 仁愛醫院工作滿足感的改變情形 110 表5-6 信義區衛生所工作滿足感的改變情形 111 表5-7 台北監理所工作滿足感的改變情形 111 表5-8 大安區公所工作滿足感的改變情形 112 表5-9 士林區公所工作滿足感的改變情形 112 表5-10 萬華第二戶政事務所工作滿足感的改變情形 113 表5-11 內湖戶政事務所工作滿足感的改變情形 113 表5-12 北投戶政事務所工作滿足感的改變情形 114 表5-13 受訪員工對於全面實施週休二日制的意見統計 114 表5-14 民眾對週六上班的瞭解程度 117 表5-15 民眾對週休二日後機關服務的評價 117 表5-16 民眾對週休二日後機關服務品質的評價 118 表5-17 民眾對週休二日後人員服務態度的評價 118 表5-18 民眾於週休二日洽公狀況 119 表5-19 民眾對週六服務品質的評價 120 表5-20 民眾對機關洽公便利性的評價 120 表5-21 民眾對洽公時間的評價 121 表5-22 民眾對全面實施週休二日後洽公時間的意見 122 表5-23 民眾對全面實施週休二日的意見 122 表5-24 民眾對何時全面實施週休二日的意見 123 表5-25 機關生產力的改變情形 124 表5-26 台北市政府人事處機關生產力的改變情形 125 表5-27 仁愛醫院機關生產力的改變情形 125 表5-28 信義區衛生所機關生產力的改變情形 125 表5-29 台北監理所機關生產力的改變情形 126 表5-30 大安區公所機關生產力的改變情形 126 表5-31 士林區公所機關生產力的改變情形 126 表5-32 萬華第二戶政事務所機關生產力的改變情形 127 表5-33 內湖戶政事務所機關生產力的改變情形 127 表5-34 北投戶政事務所機關生產力的改變情形 127 表6-1 各國政府機關放假日數之比較 147 附錄目次 附錄一 民眾問卷 159 附錄二 員工問卷 161 附錄三 訪談記要 163

This dissertation examines the role of public investments in inducing small firms to develop risky, early-stage technologies. It contributes to expanding our understanding of the consequences of research, innovation, and entrepreneurship policies and programs by investigating in more depth the effect of the Small Business Innovation Research (SBIR) program on the innovation effort, ability to attract external capital, and other metrics of post-entry performance of small business start-ups using a new sample and estimation approach. Unlike prior R&D subsidy studies that concentrated almost exclusively on European countries, this dissertation focused on small business start-ups in the United States using a new scientific survey of new firms. It integrated the Kauffman Firm Survey (KFS) from the Ewing Marion Kauffman Foundation with the SBIR recipient dataset from the U.S. Small Business Administration (SBA) and used advances in statistical matching to achieve better comparability between the treated and control groups of small business start-ups. The integrated KFS-SBA dataset, which contains both recipient and non-recipient small firms, and statistical matching allowed us to empirically construct the counterfactual outcomes of SBIR recipients. This dissertation balanced the pre-treatment characteristics of SBIR recipients and non-recipients through propensity score matching (PSM). It constructed the comparison sample by identifying non-recipients with nearly identical propensity scores as those of SBIR recipients. Consistent with the propensity score theorem, observations with the same distribution of propensity scores have the same distribution of observable characteristics. PSM made the comparison and treatment samples homogenous except in SBIR program exposure, making the fundamental assumption of ignorability of treatment assignment more plausible. Using the realized outcomes of observationally similar non-recipient start-ups as the counterfactual outcomes of SBIR recipients, we found empirical evidence of the input additionality effect of the SBIR program. Had they not applied for and granted SBIR R&D subsidies, recipient start-ups would have spent only $185,000 in R&D, but with SBIR their R&D effort was significantly increased to $663,000, on average. The treatment effects analyses also found a significant positive effect of SBIR on innovation propensity and employment. However, it appears that public co-financing of commercial R&D has crowded-out privately financed R&D of small business start-ups in the United States. A dollar of SBIR subsidy decreased firm-financed R&D by about $0.16. Contrary to prior SBIR studies, we did not find any significant "halo effect" or "certification effect" of receiving an SBIR award on attracting external capital. However, we discovered a different certification effect of the SBIR program: SBIR grantees are more likely to attract external patents. This finding also confirms that innovation requires a portfolio of internal and external knowledge assets as theorized by David Teece and his colleagues. This dissertation's empirical results may be relevant to the Small Business Administration, SBIR participating agencies, the U.S. Congress, other federal, state and local policymakers, small high-tech start-ups, and scholars in the field of science, technology, and innovation policy.

This dissertation examines the role of public investments in inducing small firms to develop risky, early-stage technologies. It contributes to expanding our understanding of the consequences of research, innovation, and entrepreneurship policies and programs by investigating in more depth the effect of the Small Business Innovation Research (SBIR) program on the innovation effort, ability to attract external capital, and other metrics of post-entry performance of small business start-ups using a new sample and estimation approach. This study integrated the Kauffman Firm Survey from the Ewing Marion Kauffman Foundation with the SBIR recipient dataset from the U.S. Small Business Administration and used advances in the micro-econometrics of program evaluation to empirically construct the counterfactual outcomes of SBIR recipients. We found empirical evidence of the input additionality effect of the SBIR program. The treatment effects analyses also found a significant positive effect of SBIR on innovation propensity and employment. However, it appears that public co-financing of commercial R&D has crowded-out privately financed R&D of small business start-ups in the United States. A dollar of SBIR subsidy decreased firm-financed R&D by about $0.16. Contrary to prior SBIR studies, we did not find any significant “halo effect” or “certification effect” of receiving an SBIR award on attracting external capital. What we discovered is a different certification effect of the SBIR program: SBIR grantees are more likely to attract external patents. This finding confirms that innovation requires a portfolio of internal and external knowledge assets as theorized by David Teece and his colleagues.