Looking inside the black box of performance funding for higher education: Policy instruments, organizational obstacles, and intended and unintended impacts

RSF

Volumn 2, Issue 1, 2016, Pages 147-173

  Dougherty, Kevin J ^a   Jones, Sosanya M ^a   Lahr, Hana ^a   Natow, Rebecca S ^a   Pheatt, Lara ^a   Reddy, Vikash ^a  

^a Och Spine at New York Presbyterian Hospitals   (United States)

Author keywords

College quality; Educational accountability; Higher education accountability; Higher education policy; Outcomes based funding; Performance funding; Performance management; Performance based funding; Performance based management; Public accountability; Quality assurance

Indexed keywords

EID: 85037355601     PISSN: 23778253     EISSN: 23778261     Source Type: Journal    
DOI: 10.7758/rsf.2016.2.1.07     Document Type: Article

References (95)

1. Anderson, James E. 2014. Public Policymaking, 8th ed. Boston, Mass.: Wadsworth.
2. Argyris, Chris, and Donald A. Schön. 1996. Organizational Learning II: Theory, Methods, and Practice. Reading, Mass.: Addison-Wesley.
3. Baldwin, Christopher, Estela M. Bensimon, Alicia C. Dowd, and Lisa Kleiman. 2011. “Measuring Student Success.” New Directions for Community Colleges 153(Spring): 75-88.
4. Berkner, Lutz, and Susan Choy. 2008. Descriptive Summary of 2003-04 Beginning Postsecondary Students: Three Years Later. NCES 2008-174. Washington, D.C.: National Center for Education Statistics.
5. Boatman, Angela. 2012. “Evaluating Institutional Efforts to Streamline Postsecondary Remediation: The Causal Effects of the Tennessee Developmental Course Redesign Initiative on Early Student Academic Success.” NCPR working paper. New York: National Center for Postsecondary Research. Accessed February 23, 2016. http://www.postsecondaryresearch.org/i/a/document /22651_BoatmanTNFINAL.pdf.
6. Burke, Joseph C., ed. 2002. Funding Public Colleges and Universities: Popularity, Problems, and Prospects. Albany: State University of New York Press.
7. Burke, Joseph C., and Associates, eds. 2005. Achieving Accountability in Higher Education: Balancing Public, Academic, and Market Demands. San Francisco, Calif.: Jossey-Bass.
8. Complete College America. 2013. “The Game Changers: Are States Implementing the Best Reforms to Get More College Graduates?” Washington, D.C.: Complete College America.
9. Cragg, Michael. 1997. “Performance Incentives in the Public Sector: Evidence from the Job Training Partnership Act.” Journal of Law, Economics, and Organization 13(1): 147-68.
10. Dee, Thomas, and Brian Jacob. 2011. “The Impact of No Child Left Behind on Student Achievement.” Journal of Policy Analysis and Management 30(3): 418-46.
11. Deming, David J., Sarah Cohodes, Jennifer Jennings, and Christopher Jencks. 2013. “School Accountability, Postsecondary Attainment, and Earnings.” NBER working paper no. 19444. Cambridge, Mass.: National Bureau of Economic Research.
12. DiMaggio, Paul J., and Walter W. Powell. 1991. “The Iron Cage Revisited: Institutional Isomorphism and Collective Rationality in Organizational Fields.” In The New Institutionalism in Organizational Analysis, edited by W. W. Powell and P. J. DiMaggio. Chicago: University of Chicago Press.
13. Dougherty, Kevin J., Sosanya M. Jones, Hana Lahr, Rebecca S. Natow, Lara Pheatt, and Vikash Reddy. 2014a. “Envisioning Performance Funding Impacts: The Espoused Theories of Action for State Higher Education Performance Funding in Three States.” CCRC working paper no. 63. New York: Columbia University. Accessed February 23, 2016. http://ccrc.tc.columbia.edu/publications/envisioning-performance-funding-impacts.html.
14. -. 2014b. “Performance Funding for Higher Education: Forms, Origins, Impacts, and Futures.” Annals of the American Academy of Political and Social Science 655(1): 163-84.
15. -. Forthcoming. Performance Funding for Higher Education. Baltimore, Md.: Johns Hopkins University Press.
16. Dougherty, Kevin J., and Rebecca S. Natow. 2015. The Politics of Performance Funding for Higher Education: Origins, Discontinuations, and Transformations. Baltimore, Md.: Johns Hopkins University Press.
17. Dougherty, Kevin J., and Vikash Reddy. 2013. Performance Funding for Higher Education: What Are the Mechanisms? What Are the Impacts? ASHE Higher Education Report. San Francisco, Calif.: Jossey-Bass.
18. Dowd, Alicia C., and Vincent P. Tong. 2007. “Accountability, Assessment, and the Scholarship of 'Best Practice.'” In Higher Education: Handbook of Theory and Research, vol. 22, edited by J. C. Smart. Dordrecht: Springer.
19. Erikson, Robert S., Gerald C. Wright, and John P. McIver. 2006. “Public Opinion in the States: A Quarter Century of Change and Stability.” In Public Opinion in State Politics, edited by Jeffrey E. Cohen. Stanford, Calif.: Stanford University Press.
20. Ewell, Peter T. 1999. “Linking Performance Measures to Resource Allocation: Exploring Unmapped Terrain.” Quality in Higher Education 5(3): 191-209.
21. Ferguson, Margaret. 2013. “Governors and the Executive Branch.” In Politics in the American States, 10th ed., edited by Virginia Gray, Russell L. Hanson, and Thad Kousser. Washington, D.C.: CQ Press.
22. Forsythe, Dall W., ed. 2001. Quicker, Better, Cheaper? Managing Performance in American Government. Albany, N.Y.: Rockefeller Institute Press.
23. Gray, Virginia, Russell Hanson, and Thad Kousser, eds. 2012. Politics in the American States: A Comparative Analysis, 10th ed. Washington, D.C.: CQ Press.
24. Grizzle, Gloria A. 2002. “Performance Measurement and Dysfunction: The Dark Side of Quantifying Work.” Public Performance and Management Review 25(4): 363-69.
25. Hamm, Keith E., and Gary F. Moncrief. 2013. “Legislative Politics in the States.” In Politics in the American States, 10th ed., edited by Virginia Gray, Russell Hanson, and Thad Kousser. Washington, D.C.: CQ Press.
26. Harnisch, Thomas L. 2011. “Performance-Based Funding: A Re-Emerging Strategy in Public Higher Education Financing.” A Higher Education Policy Brief. Washington, D.C.: American Association of State Colleges and Universities.
27. Heckman, James J., Carolyn J. Heinrich, Pascal Courty, Gerald Marschke, and Jeffrey Smith. 2011. The Performance of Performance Standards. Kalamazoo, Mich.: W. E. Upjohn Institute.
28. Heckman, James J., Carolyn J. Heinrich, and Jeffrey Smith. 2011. “Do Short-Run Performance Measures Predict Long-Run Impacts?” In The Performance of Performance Standards, edited by James J. Heckman et al. Kalamazoo, Mich.: W. E. Upjohn Institute.
29. Heinrich, Carolyn J., and Gerald Marschke. 2010. “Incentives and Their Dynamics in Public Sector Performance Management Systems.” Journal of Policy Analysis and Management 29(1): 183-208.
30. Hillman, Nicholas W., Alisa F. Fryar, David A. Tandberg, and Valerie Crespin-Trujillo. 2015. “Evaluating the Efficacy of Performance Funding in Three States: Tennessee, Ohio, and Indiana.” Unpublished paper. University of Wisconsin, Madison.
31. Hillman, Nicholas W., David A. Tandberg, and Alisa H. Fryar. 2015. “Evaluating the Impacts of 'New' Performance Funding in Higher Education.” Educational Evaluation and Policy Analysis. doi: 10.3102/0162373714560224.
32. Hillman, Nicholas W, David A. Tandberg, and Jacob P. K. Gross. 2014. “Performance Funding in Higher Education: Do Financial Incentives Impact College Completions?” Journal of Higher Education 85(6): 826-57.
33. Holbrook, Thomas M., and Raymond J. La Raja. 2013. “Parties and Elections.” In Politics in the American States, 10th ed., edited by Virginia Gray, Russell L. Hanson, and Thad Kousser. Washington, D.C.: CQ Press.
34. Honig, Meredith I. 2006. “Complexity and Policy Implementation: Challenges and Opportunities for the Field.” In New Directions in Education Policy Implementation: Confronting Complexity, edited by Meredith I. Honig. Albany: State University of New York Press.
35. Huang, Y. 2010. “Performance Funding and Retention Rates.” Unpublished paper. Michigan State University.
36. Ivy Tech Community College. 2014. “The Co-Requisite Initiative: An Initial Assessment of Its Impact at Ivy Tech Community College-Central Indiana Region.” Presentation, March 25. Indianapolis, Ind.: Ivy Tech Community College. Accessed February 23, 2016. https://s3.amazonaws.com/jngi_pub/gce14/Co-Requisite+Initiative .pdf.
37. Jenkins, Davis. 2011. “Redesigning Community Colleges for Completion: Lessons from Research on High-Performance Organizations.” CCRC working paper no. 24. New York: Columbia University.
38. Jenkins, Davis, and Nancy Shulock. 2013. “Metrics, Dollars, and Systems Change: Learning from Washington's Student Achievement Initiative to Design Effective Postsecondary Performance Funding Policies.” State Policy Brief. New York: Columbia University, Teachers College, Community College Research Center.
39. Jenkins, Davis, John Wachen, Colleen Moore, and Nancy Shulock. 2012. “Washington State Student Achievement Initiative Policy Study: Final Report.” New York: Columbia University, Teachers College, Community College Research Center.
40. Jones, Dennis P. 2013. “Outcomes-Based Funding: The Wave of Implementation.” Indianapolis, Ind.: Complete College America. Accessed February 23, 2016. http://www.completecollege.org/pdfs/Outcomes-Based-Funding-Report-Final.pdf.
41. Jones, Sosanya M., Kevin J. Dougherty, Jana Lahr, Rebecca S. Natow, Lara Pheatt, and Vikash Reddy. 2015. “Organizational Learning by Colleges Responding to Performance Funding: Deliberative Structures and Their Challenges.” CCRC working paper no. 79. New York: Columbia University.
42. Karen, David, and Kevin J. Dougherty. 2005. “Necessary But Not Sufficient: Higher Education as a Strategy of Social Mobility.” In Higher Education and the Color Line, edited by Gary Orfield, Patricia Marin, and Catherine Horn. Cambridge, Mass.: Harvard Education Press.
43. Kerrigan, Monica R. 2010. “Data-Driven Decision Making in Community Colleges: New Technical Requirements for Institutional Organizations.” EdD diss., Columbia University, Teachers College, New York.
44. Kezar, Adrianna. 2005. “What Campuses Need to Know About Organizational Learning and the Learning Organization.” New Directions for Higher Education 131(Autumn): 7-22.
45. -. 2012. “Organizational Change in a Global, Postmodern World.” In The Organization of Higher Education: Managing Colleges for a New Era, edited by M. Bastedo. Baltimore, Md.: Johns Hopkins University Press.
46. Kezar, Adrianna, William J. Glenn, Jaime Lester, and Jonathan Nakamoto. 2008. “Examining Organizational Contextual Features That Affect Implementation of Equity Initiatives.” Journal of Higher Education 79(2): 125-59.
47. Lahr, Hana, Lara Pheatt, Kevin J. Dougherty, Sosonya M. Jones, Rebecca S. Natow, and Vikash Reddy. 2014. “Unintended Impacts of Performance Funding on Community Colleges and Universities in Three States.” CCRC working paper no. 78. New York: Columbia University.
48. Lake, Tim, Chris Kvam, and Marsha Gold. 2005. “Literature Review: Using Quality Information for Health Care Decisions and Quality Improvement.” Cambridge, Mass.: Mathematica Policy Research.
49. Lambert, Lance. 2015. “State Funding Pushes Up College Standards: Ohio's New Funding Formula Puts a Premium on 'College-Ready' High School Graduates.” Dayton Daily News, August 22.
50. Lane, Jason E., and Jussi A. Kivisto. 2008. “Interests, Information, and Incentives in Higher Education: Principal-Agent Theory and Its Potential Applications to the Study of Higher Education Governance.” In Higher Education: Handbook of Theory and Research, edited by J. C. Smart. New York: Springer.
51. Larocca, Roger, and Douglas Carr. 2012. “Higher Education Performance Funding: Identifying Impacts of Formula Characteristics on Graduation and Retention Rates.” Paper presented to the Western Social Science Association Annual Conference. Oakland, Mich.: Oakland University.
52. Lumina Foundation. 2009. “Four Steps to Finishing First: An Agenda for Increasing College Productivity to Create a Better-Educated Society.” Indianapolis, Ind.: Lumina Foundation. Accessed February 23, 2016. http://www.luminafoundation .org/publications/Four_Steps_to_Finishing_First_ in_Higher_Education.pdf.
53. Marsh, Julie A., Matthew G. Springer, Daniel F. Mc-Caffrey, Kun Yuan, Scott Epstein, Julia Koppich, Nidhi Kalra, Catherine DiMartino, and Art Peng. 2011. A Big Apple for Educators: New York City's Experiment with Schoolwide Performance Bonuses. Santa Monica, Calif.: RAND Corp.
54. Massy, William F. 2011. “Managerial and Political Strategies for Handling Accountability.” In Accountability in Higher Education, edited by B. Stensaker and L. Harvey. New York: Routledge.
55. McDonnell, Lorraine M., and Richard F. Elmore. 1987. “Getting the Job Done: Alternative Policy Instruments.” Educational Evaluation and Policy Analysis 9(2): 133-52.
56. McGuinness, Aims C., Jr. 2003. “Models of Postsecondary Education Coordination and Governance in the States.” StateNote Report. Denver, Colo.: Education Commission of the States.
57. Merton, Roberty K. 1968. Social Theory and Social Structure, revised and enlarged ed. New York: Free Press.
58. -. 1976. Sociological Ambivalence and Other Essays. New York: Free Press.
59. Mettler, Suzanne. 2014. Degrees of Inequality: How the Politics of Higher Education Sabotaged the American Dream. New York: Basic Books.
60. Mica, Adrianna, Arkadiusz Peisert, and Jan Winczorek, eds. 2012. Sociology and the Unintended. New York: Peter Lang.
61. Moynihan, Daniel P. 2008. The Dynamics of Performance Management: Constructing Information and Reform. Washington, D.C.: Georgetown University Press.
62. National Conference of State Legislatures. 2015. “Performance-Based Funding for Higher Education.” Accessed December 16, 2015. http://www.ncsl.org/research/education/performance-fund ing.aspx.
63. Natow, Rebecca S., Lara Pheatt, Kevin J. Dougherty, Sosanya M. Jones, Hana Lahr, and Vikash Reddy. 2014. “Institutional Changes to Organizational Policies, Practices, and Programs Following the Adoption of State-Level Performance Funding Policies.” CCRC working paper no. 76. New York: Columbia University.
64. Nodine, Thad, Andrea Venezia, and Kathy Bracco. 2011. “Changing Course: A Guide to Increasing Student Completion in Community Colleges.” San Francisco: WestEd. Accessed February 23, 2016. http://knowledgecenter.completion bydesign.org/sites/default/files/changing_ course_V1_fb_10032011.pdf.
65. Ohio Board of Regents. 2013. “Draft State Share of Instruction FY2014 with FY2013 Actuals.” Columbus.: Ohio Board of Regents.
66. Pfeffer, Jeffrey, and Gerald Salancik. 1978. The External Control of Organizations. New York: Harper & Row.
67. Pheatt, Lara, Hana Lahr, Kevin J. Dougherty, Sosanya M. Jones, Rebecca S. Natow, and Vikash Reddy. 2014. “Obstacles to the Effective Implementation of Performance Funding: A Multi-State Cross-Case Analysis.” CCRC working paper no. 77. New York: Columbia University.
68. Postsecondary Analytics. 2013. What's Working? Outcomes-Based Funding in Tennessee. Washington, D.C.: HCM Associates.
69. Quint, Janet C., Shanna S. Jaggars, D. Crystal Bynd-loss, and Asya Magazinnik. 2013. Bringing Developmental Education to Scale: Lessons from the Developmental Education Initiative. New York: MDRC. Accessed February 23, 2016. http://www.mdrc.org/sites/default/files/Bringing percent 20Developmental percent20Education per cent20to percent20Scale percent20FR.pdf.
70. Radin, Beryl A. 2006. Challenging the Performance Movement: Accountability, Complexity, and Democratic Values. Washington, D.C.: Georgetown University Press.
71. Reddy, Vikash, Hana Lahr, Kevin J. Dougherty, Sosanya M. Jones, Rebecca S. Natow, and Lara Pheatt. 2014. “Policy Instruments in Service of Performance Funding: A Study of Performance Funding in Three States.” CCRC working paper no. 75. New York: Columbia University.
72. Reindl, Travis, and Dennis P. Jones. 2012. “Raising the Bar: Strategies for Increasing Postsecondary Educational Attainment with Limited Resources.” Presentation to the NGA National Summit on State Government Redesign. Washington, D.C. (December 5, 2012).
73. Reindl, Travis, and Ryan Reyna. 2011. “From Information to Action: Revamping Higher Education Accountability Systems.” Washington, D.C.: National Governor's Association. Accessed February 23, 2016. http://www.nga.org/files/live/sites/NGA/files/pdf/1107C2Calif.CTIONGUIDE.PDF.
74. Rothstein, Richard. 2008a. Grading Education: Getting Accountability Right. New York: Teachers College Press.
75. -. 2008b. “Holding Accountability to Account: How Scholarship and Experience in Other Fields Inform Exploration of Performance Incentives in Education.” Working paper no. 2008-04. Washington, D.C.: Economic Policy Institute. Accessed February 23, 2016. http://www.epi.org/publication/wp_accountability/.
76. Rouse, Cecilia E., Jane Hannaway, Dan Goldhaber, and David Figlio. 2007. “Feeling the Florida Heat? How Low-Performing Schools Respond to Voucher and Accountability Pressure.” Washington, D.C.: Urban Institute.
77. Rutherford, Amanda, and Thomas Rabovsky. 2014. “Evaluating Impacts of Performance Funding Policies on Student Outcomes in Higher Education.” The Annals of the American Academy of Political and Social Science 655(1): 185-206.
78. Rutschow, Elizabeth Z., Lashawn Richburg-Hayes, Thomas Brock. Genevieve Orr, Oscar Cerna, Dan Cullinan, Monica R. Kerrigan, Davis Jenkins, Susan Gooden, and Kasey Martin. 2011. Turning the Tide: Five Years of Achieving the Dream in Community Colleges. New York: MDRC.
79. Sanford, Thomas, and James M. Hunter. 2011. “Impact of Performance Funding on Retention and Graduation Rates.” Educational Policy Analysis Archives 19(33): 1-30.
80. Shin, Jung-Cheol. 2010. “Impacts of Performance-Based Accountability on Institutional Performance in the U.S.” Higher Education 60(1): 47-68.
81. Shin, Jung-Cheol, and Sande Milton. 2004. “The Effects of Performance Budgeting and Funding Programs on Graduation Rate in Public Four-Year Colleges and Universities.” Education Policy Analysis Archives 12(22): 1-26.
82. Shulock, Nancy, and Davis Jenkins. 2011. “Performance Incentives to Improve Community College Completion: Learning From Washington State's Student Achievement Initiative.” A State Policy Brief. New York: Columbia University, Teachers College, Community College Research Center. Accessed February 23, 2016. http://ccrc.tc.columbia.edu/publications/performance -incentives-college-completion.html.
83. Snyder, Martha J. 2011. “Role of Performance Funding in Higher Education's Reform Agenda: A Glance at Some State Trends.” Presentation given at the Annual Legislative Institute on Higher Education, National Conference of State Legislatures. Denver, Colo. (October 2011).
84. -. 2015. “Driving Better Outcomes: Typology and Principles to Inform Outcomes-Based Funding Models.” Washington, D.C.: HCM Strategists.
85. State of Tennessee. 2010. “Complete College Tennessee Act of 2010.” Tenn. Stat. 2010. Nashville: Tennessee Higher Education Commission. Accessed December 16, 2015. http://www.tn.gov/thec/topic/complete-college-tn-act.
86. Stecher, Brian, and Sheila N. Kirby, eds. 2004. Organizational Improvement and Accountability: Lessons for Education from Other Sectors. Santa Monica, Calif.: RAND Corp.
87. Tandberg, David A, and Nicholas W. Hillman. 2014. “State Higher Education Performance Funding: Data, Outcomes, and Causal Relationships.” Journal of Education Finance 39(3): 222-43.
88. Tandberg, David A., Nicholas W. Hillman, and Mohamed Barakat. 2014. “State Higher Education Performance Funding for Community Colleges: Diverse Effects and Policy Implications.” Teachers College Record 116(12): 1-31.
89. Tennessee Higher Education Commission. 2011a. “Outcomes Formula Technical Details.” Presentation. Nashville (May 17, 2011). Accessed December 16, 2015. http://slideplayer.com/slide/4021430/.
90. -. 2011b. “Outcomes Based Funding Formula.” Accessed December 16, 2015. http://tn.gov/thec/article/2010-2015-funding-formula.
91. Umbricht, Mark R., Frank Fernandez, and Justin C. Ortagus. 2015. “An Examination of the (Un)In-tended Consequences of Performance Funding in Higher Education.” Educational Policy: 1-31. doi: 10.1177/0895904815614398.
92. U.S. Census Bureau. 2012. Statistical Abstract of the United States, 2012. Washington, D.C.: Government Printing Office. Accessed February 23, 2016. https://www.census.gov/library/publications/2011/compendia/statab/131ed.html.
93. Wells, Susan J., and Michelle Johnson-Motoyama. 2001. “Selecting Outcome Measures for Child Welfare Settings: Lessons for Use in Performance Management.” Children and Youth Services Review 23(2): 169-99.
94. Witham, Keith A., and Estela M. Bensimon. 2012. “Creating a Culture of Inquiry Around Equity and Student Success.” In Creating Campus Cultures: Fostering Success Among Racially Diverse Student Populations, edited by Samuel D. Museus and Uma M. Jayakumar. New York: Routledge.
95. Zumeta, William, and Alicia Kinne. 2011. “Accountability Policies: Directions Old and New.” In The States and Public Higher Education Policy: Affordability, Access, and Accountability, 2nd ed., edited by Donald E. Heller. Baltimore, Md.: Johns Hopkins University Press.