长期以来，各州一直在寻求一种既能稳定地为高等教育机构提供资金，又能促使高等教育机构提高生产力和效率的方法。 多年来，田纳西州和全国各地高等教育机构的资金分配主要基于入学人数。 这意味着激励的主要政策目标是增加入学率，而不是提高学位的效率。 In an attempt to increase degree completion, Tennessee incorporated a small, but robust performance funding piece to the enrollment‐based formula in 1979 to reward institutions for success in meeting certain state goals for higher education. 这些目标包括更高的毕业率和就业率、学生满意度和其他变量。

This “enrollment‐plus” funding formula produced moderate results over its years of use. 当机构达到某些基准或超过同行平均水平时，它们就会通过这一绩效指标获得更多的国家资助。 但机构行为的变化并没有如预期的那样发生。 州政府官员希望制定一个更有效的资助公式，其中包括结果衡量，使州政府能够利用其促进政策成果的能力，而不是将投入作为主要的资助指标。

As part of the Complete College Tennessee Act (CCTA) of 2010, Tennessee introduced an outcomes‐based funding formula model that does just that, rewarding institutions for the production of outcomes that further the educational attainment and productivity goals of the state Master Plan. The outcomes chosen represent broad activities across various types of institutions from research‐heavy four‐year universities to community colleges filling workforce development needs. 这些衡量结果被分为学生进步、学位产生、效率和其他重要的机构功能等类别。 The outcomes are weighted according to institutional mission, reflecting an institution’s Basic Carnegie classification. 具有类似使命的机构具有相同的权重，为将类似机构组合在一起提供了一个框架。 Metrics that play a larger role in institutional mission are weighted more heavily in that institution’s formula.

基于结果的模型不再包括学生注册数据。 Instead, two sets of outcomes were identified — those for four‐year universities and those for two‐year community colleges — that best reflected the purposes of each type of institution. Outcomes for universities include progression (at 24, 48 and 72 hours), bachelors’, associates’, masters’ and doctoral degrees, research and service, student transfer, degrees per 100 full‐ time enrolled student and graduation rate. 社区学院的成果包括升学（12、24和36学时）、双录取、副学士学位和证书学位、就业安置、补救和发展教育、学生转学和劳动力培训。 学生进步衡量学分的积累，从而纳入课程完成情况。 For the purposes of this narrative, the examples provided focus on outcomes for four‐year colleges and universities only.

 

结果包括在大学公式中 

学生累积24小时	学士及副学士学位
学生累积48小时	硕士和教育专家学位
学生累积72小时	博士及法律学位
研究及服务开支	每100 FTE的度数
转学至少12个学分	Six‐Year Graduation Rate

 

结果包括在社区大学公式中 

学生累积12小时	双招生学生	工作岗位
学生累积24小时	协会授予	转出12学分
学生累积36学时	证书授予	补救和发展成功
劳动力培训	每100个FTE的奖励

 

德克萨斯大学马丁分校（中等硕士学位）和德克萨斯大学诺克斯维尔分校（研究水平很高）的机构成果示例  

利用这些结果，收集每个指标的数据。 For universities, all data except for Research
and Service is pulled from THEC’s Student Information System. Individual institutions report these data files
to their respective system that then submits a file for all institutions to THEC. The three most recent years of data are analyzed and a three‐year average for each outcome for each institution is calculated. For instance, in this example, UT Martin conferred an average of 1024年 Bachelor’s degrees each academic year over the period of 2008‐09 to 2010‐11. During the same period, UT, Knoxville conferred an average of 4182年 bachelor’s degrees a year.

衡量结果的例子	UTM	UTK
学生累积24小时	1532年	4150年
学生累积48小时	1356年	4530年
学生累积72小时	1292年	4734年
学士及副学士	1024年	4182年
硕士/教育专家学位	125	1578年
博士/法律学位	0	483
研究及服务	4114767年	141663538年
12小时后转出	273	774
每100 FTE的度数	15.6	20.7
Six‐Year Graduation Rate	56.1	67.6

 

Premium for Sub‐Populations UTM UTK Institutional Outcome Premium Example for UT Martin (Masters Medium) & UT Knoxville (Research Very High)

Next, a premium is awarded to institutions for success on several outcomes for certain sub‐populations. Institutions report the number of adults and students from low‐income families — identified as sub‐ populations of focus for the state — who meet the progression and undergraduate degree completion metrics during the academic year. 对这些结果征收40%的溢价，以认识到向这些人群提供的额外援助以及这些人群成功实现国家目标的重要性。 这意味着，如果UTK授予成人100个学位，这些学位实际上反映在模型中，就好像在那段时间内授予了140个本科学位。 In this example, the successes of adults and low‐income students increases the average number of undergraduate degrees conferred at UTK to 4934年 and at UTM to 1332年 over the three‐year period. 

Premium for Sub‐Populations	UTM	UTK
学生累积24小时	1895年	4566年
学生累积48小时	1689年	5018年
学生累积72小时	1625年	5320年
学士及副学士	1332年	4934年
硕士/教育专家学位	125	1578年
博士/法律学位	0	483
研究及服务	4114767年	141663538年
12小时后转出	273	774
每100 FTE的度数	15.6	20.7
Six‐Year Graduation Rate	56.1	67.6

然后对这些数据进行缩放，使测量结果的影响具有可比性。 例如，据报道，大多数大学的研究和资助资金以数百万美元计。 为了确保这个结果不会不成比例地影响公式计算，它被缩小了。 相反，结果较小的结果，如每100个FTE的学位，则按比例增加。 所有机构的比例因子都是一样的。

 

UT Martin（硕士中等）和UT Knoxville（研究非常高）的机构成果权重示例

The outcome data is then weighted to reflect institutional mission, indicating both the priority of that outcome at a particular institution and — in the case of universities — an institution’s Carnegie Classification. 每个机构的优先级较高的结果被赋予更高的权重。 在这个例子中，UTK被卡内基基金会列为高研究博士大学。 正因为如此，学位授予率、研究率和毕业率的权重很高，而升学率则不是。 The weights applied to measures for UTM reflect its classification as a Master’s Medium university, with more emphasis on undergraduate and master’s level degrees, but less on graduation rate and no weight on doctoral degrees. 社区学院的权重是根据校长对机构使命的投入而制定的。 大学和社区学院的权重是通过公式审查委员会与博彩平台领导协商制定的。 

基于机构使命的权重	UTM	UTK
学生累积24小时	3%	2%
学生累积48小时	5%	3%
学生累积72小时	7%	5%
学士及副学士	30%	15%
硕士/教育专家学位	15%	15%
博士/法律学位	0%	10%
研究及服务	10%	15%
12小时后转出	10%	5%
每100 FTE的度数	15%	10%
Six‐Year Graduation Rate	5%	20%

 

UT Martin（硕士中等）和UT Knoxville（研究非常高）的机构最终结果示例

然后将缩放后的数据乘以每个机构的权重，得出每个机构的最终结果。 These data are then summed to produce the “total weighted outcome” for each institution. 这里，UTM的估计总加权结果为952，而UTK的估计总加权结果为4546。 The steps presented — from actual data for each outcome collected by the institution, to applying a premium to certain results for certain subpopulations, to then scaling that data to make the disparate outcomes mathematically comparable — are the same for every institution. The only difference in how the total weighted outcome is calculated is based on the institution‐specific weighting structure.

最终结果衡量标准示例	UTM	UTK
学生累积24小时	56.9	91.3
学生累积48小时	84.4	150.5
学生累积72小时	113.7	266.0
学士及副学士	399.7	740.1
硕士/教育专家学位	62.5	788.8
博士/法律学位	-	966.7
研究及服务	20.6	1062年。2
12小时后转出	27.3	38.7
每100 FTE的度数	116.7	103.3
Six‐Year Graduation Rate	70.1	338.1

 

Final Steps of the Outcomes‐Based Funding Formula

After a total weighted outcome is calculated for each institution, these values are monetized by multiplying them by the Southern Regional Education Board’s average faculty salary of similar Carnegie Classification institutions. The result is the “Outcome Based Performance” value for each institution. 接下来，计算固定成本。 固定成本包括每个机构的维护和运营、公用事业、租金和设备更换的资金。

Maintenance and operation and utilities are calculated by multiplying the institution’s education and general square footage by pre‐determined fixed rates. 租金费用根据各机构的实际租金支出计算，而设备更换费用按设备库存总额的10%计算。 The sum of the “Outcome Based Performance” value and the “Fixed Costs” for each institution is the “Formula Subtotal.”

Lastly, “质量保证” scores for each institution are applied. These scores represent the achievements of institutions in meeting the additional Performance Funding program metrics — including general education course assessments, job placement rates and student satisfaction studies, among others. 通过在这些基准上取得成功，机构可以额外获得公式小计的5.45%。 These “质量保证” Subtotals are then summed with the “Formula Subtotal” to reach the “Total Formula Calculation”. The “Total Formula Calculation” for each institution is summed to calculate the total appropriation request for all formula units.

 

结论

The outcomes based model provides several distinct advantages to an enrollment‐based methodology. 结果模型是基于生产力的，并通过将财政激励分散到更多的变量中来提供更大的稳定性。 与绩效基金不同，基于结果的公式没有年度目标或基准。 因此，它不会因未能实现预定目标而惩罚机构。 此外，通过利用该公式作为鼓励提高生产力的政策工具，加强了与总体规划的联系。

有关资助公式的更多信息可在THEC主页上找到。 在这里，你可以找到包含上述所有大学和社区学院的所有步骤的最新资助公式； the “Dynamics Model,” a tool meant to allow stakeholders to interact with the model and see the effects of hypothetical outcomes changes on future appropriations; and an extensive PowerPoint providing a deeper discussion of the history of funding in Tennessee and the current outcomes‐based funding formula.

Please visit TN.gov / THEC to download these reference materials and other related files.