tertiary institution evaluation1 evaluation mechanisms of hk tertiary institutions fok, ping kwan (...

Tertiary Institution evaluation 1

Evaluation mechanisms of HK tertiary institutions

FOK, Ping Kwan (霍秉坤 )

Department of Curriculum of Instruction, Faculty of Education, The Chinese University of Hong KongE-mail: [email protected]


Outline Cases University Grant Council (UGC) Comments


Cases Hong Kong Institute of Education The Hong Kong Polytechnic University The Chinese University of Hong Kong


Hong Kong Institute of Education Scoring Worksheet for Academic Staff Performance Appraisal

(Annex VII) Summary of Submission by Appraisee for Academic Staff Per

formance Appraisal (Annex V) Performance Criteria and Scoring Models (Annex III) Minimum Weighting for Each Performance Domain for Acade

mic Staff (Annex IV)


HKIEd items Teaching Research and scholarly activities


Teaching portfolio (1) 1) Teaching Performance – Student Evaluation 2) Teaching Performance – Innovations in Teaching

(e.g ability to demonstrate a reflective self-critical attitude to teaching, willingness to innovate and improve his/her teaching, preparation [including originality of approach and planning] of lectures and tutorials, etc,

innovative use of teaching resources and choice of teaching methods and strategies, willingness to employ new teaching materials / resources, appropriate introduction and use of multimedia and other educational technologies etc.)


Teaching portfolio (2) 3) Teaching Performance – Observation of Teaching

Possible sources of evidence may include: Comments / Feedback from HoD, peer nominated by H

oD and/or peer nominated by the staff member Any relevant data available to the reviewer / DRC

4) Supervision of Practicum (e.g. quality of supervision on practicum, projects and/or fi

eldwork , initiative in practical work, field trips and placement of students in work experience, etc.


Teaching portfolio (3) 5) Scholarship of Teaching and Learning

a) Contributions to teaching / learning related projects e.g. TDG projects, and the quality of the involvement / projects completed

b) Teaching materials for use by the Institute or schools, such as CD-Rom, video, teachers’ manuals, teaching packages, children’s texts, etc.

6) Professional and Pastoral Care to Students (e.g. relations with students, genuine care and support for students,

sensitivity to needs of students, a demonstrated willingness to make oneself available for consultation to students and to assist individual students in times of need, ability to interact with and inspire students, encourage students to enquire and search for ideas / information in other venues e.g. library, etc.)


Research and Scholarly Activities (1) 1) Contributions to Research

Projects (External funded projects can include QEF, EMB, RGC funded projects from which research output arises.)

2) Research Output (e.g. articles in refereed journals, book chapters / books

published, commissioned reports such as Education and Manpower Bureau Commissioned Reports, original music score, artwork, design etc.)

NOTES: For each multiple-authored work, the applicant should indicate his/her percentage contribution to each work.


Research and Scholarly Activities (2) 3) Providing Support to Staff in Research

Service to HKIEd 1) Contributions to Committee Work at Institute / D

epartmental Level or Faculty Responsibilities / Representing the Institute on external committees

2) Contributions to Programme/Curriculum Development, Programme Management, and/or Review Exercises

3) Participation in New Initiatives / Special Projects / Self-funding activities


Service to HKIEd – Scoring Model

Contributions to Committee Work at Institute / Departmental Level or Faculty Responsibilities

Contributions to Programme Development, Programme Management, Review Exercises

Participation in New Initiatives / Special Projects


Professional and Community Contribution

1) Recognition by and Contributions to the Community and / or the Profession Possible examples of evidence may include:

Contributions to public committees Consultancies to government and non-government bodies Appointment as External Examiner / Assessor / Advisor / Teaching

Consultant Positions of responsibility in professional bodies Engagement in public debate (e.g. in media)

2) Participation in the Establishment of School Networks / Services to Schools, Involvement in School Development / Consultancy Activities


HKIED Professorial salary

Min Max

Academic Chair Professor 107,800 133,600 (average)

Professor 72,100 108,200

Associate Professor 58,200 87,300

Assistant Professor 46,200 69,300


HKIEd teaching staff salary

Min Max

Teaching Senior Teaching Fellow / Senior Instructor

39,300 60,900

Teaching Fellow I / Instructor I

28,700 44,500

Teaching Fellow II / Instructor II

21,100 30,600


Evaluation of CUHK staffsAnnual Departmental Records 2007-08

(See Appendix A) Activities Undertaken by Individual

Teaching Staff (Instructor and above)


Items in CUHK record (1)

1. Teaching (from August 1 to July 31) Classroom Teaching (corresponding course

evaluation results)

Postgraduate Supervision and Examination

Teaching-Other Contributions


Items in CUHK record (2) Research and Scholarship (from July 1 to

June 30) In filling out items 2(a) to 2(c), the teacher should

cut and paste below the information provided by the RAO for Appendices C and D of the Annual Departmental Records.

Publications Research Grants Research and Scholarship-Other Contributions


CUHK evaluation report

Annual Departmental Records 2007-08

(See Appendix A)

Summary of Research (See Appendix B)


Items in CUHK record (3)

Service (from August 1 to July 31) Service to Department/Faculty

Service to College/University

External Service


CUHK salary ($)Teaching Posts Point

Research Assistant Professor RAP 1-4, ($34,950-47,175)B 1-2 ($47,990-54,320)

Research Associate Professor B 3-6 ($55,145-67,390)

Assistant Professor B 1-5 ($47,990-64,125)

Associate Professor B 6-9 ($67,390-77,145)

Professor 2 B 10-12 ($81,205-82,030)

Professor 1 A 1-7 ($85,280-104,670)

Professor of a subject or specialty Commencing A 8 ($107,795)


Hong Kong Polytechnic University Manpower Quality Review

For academic staff For non-academic staff

Frequency To be carried out annually

Operation Conducted by a committee

Head of department Two senior staff members in the department

Staff members are not required to fill in any forms, submit any document or attend any interviews

Based on readily available information


Information based on (academic staff) Results of SFQ Peer review Submissions of iRAE and RAE Results of applications for external funding Any critical incidents which have occurred in the year

--- significant incidents that may have affected or influenced the actual performance of the staff member and significant contributions, achievements or innovative practices of the staff made to the Department / University


Outcomes of Review Staff normally will not be informed of the results (unless need

follow up actions) Head of department needs to record the results of Review Only confirm if the staff is performing satisfactorily. No specif

ic grading will be given Enable head of departments to

Review the roles and / or responsibilities of staff members in general Consider the workload of staff members in general Recognise development needs of staff in general Plan manpower Identify which staff should be appraised by the Staff Appraisal System

in the coming year Identify candidates for various HR functions (e.g. salary review, perfor

mance reward, contract renewal, promotion and sanction)


Manpower Quality Review Report


The dominance of UGC UGC

Excellent Results from the Research Assessment Exercise (RAE) 2006

RAE guideline (see appendix C)

Teaching quality assessment

RGC report CERG / GRF

(RGC report)


RAE 2 March 2007 announced the results of the Rese

arch Assessment Exercise (RAE) 2006 Dr Alice Lam (林李翹如 ), Chairman of UGC,

"The UGC is pleased to learn that all UGC-funded institutions have made great strides in their research performance since the last RAE in 1999. Many of our colleagues are internationally known top notch researchers and this reflects the effort of our institutions in excelling in research over the years.“

RAE 2006 results will be factored into the 'Research' portion of the institutions' recurrent grants.


History of RAEs The previous three RAEs were carried out in 199

3, 1996 and 1999. For RAE 2006, the UGC has raised the standard of assessment.

Roland Chin : Many of the external assessment panel members are i

mpressed with the performance of our institutions. They think that we compared well with top higher education institutions in Europe and North America. Some members think that Hong Kong has demonstrated an emergence of intellectual prominence in many research disciplines


The RAE result RAE 2006: Research Indices (See Appendix D)

http://www.ugc.edu.hk/eng/ugc/publication/prog/rae/rae.htm

RAE example (See Appendix E)




RAE resultPanel CityU HKBU LU CUHK HKIEd PolyU HKUST HKU Total

1. Biology 95.00% 92.50% -- 78.79% 25.00% 72.73% 95.16% 85.61% 85.29%

2. Health Sciences

-- 100.00%

-- 90.23% -- 58.42% -- 94.44% 86.84%

3. Physical Sciences

98.96% 93.75% -- 95.16% 29.17% 87.25% 92.61% 94.62% 91.57%

4. Electrical & Electronic Engineering

75.16% -- -- 88.46% -- 85.19% 98.44% 92.97% 86.34%

5. Computer Science /IT

74.19% 69.64% -- 88.75% 29.17% 68.75% 82.64% 68.75% 74.06%

6. Engineering 83.93% -- -- 97.50% -- 67.59% 89.58% 82.05% 80.69%

7. Built Environment

71.74% -- -- 50.00% -- 53.37% 75.00% 65.99% 60.91%

8. Law 74.81% 50.00% -- 100.00% -- -- -- 86.48% 81.03%

9. Business Studies & Economics

73.08% 80.96% 84.14% 88.41% 3.67% 65.09% 80.90% 81.04% 76.72%

10. Social Sciences

75.83% 63.52% 80.36% 88.18% 25.00% 44.83% 89.29% 81.47% 75.16%

11. Humanities 65.34% 79.00% 68.37% 82.85% 44.92% 40.25% 80.21% 80.95% 67.63%

12. Creative Arts, Performing Arts & Design

48.08% 66.67% -- 82.81% 27.94% 52.34% -- 86.11% 57.18%

13. Education 12.50% 54.31% -- 71.44% 23.83% -- -- 75.83% 49.34%

Total : 75.66% 75.24% 76.35% 86.95% 30.49% 62.62% 87.12% 85.47% 76.29%


CERG / GRF Grant Project Funding (see Appendix E) All year CERG / GRF results (see Appendix C by

UGC) 2008-09 CERG results (2008-09 funding result PDF)


What is GRF The majority of the Earmarked Research Grant (ER

G) of the Research Grants Council (RGC) is allocated in response to competitive bids for grants for academic research projects. GRF stands for "General Research Fund" and is the major annual funding exercise of the RGC to support academic research in the UGC-funded institutions. All GRF proposals are subject to a rigorous peer review process via the RGC's four subject panels supported by an international network of expert referees. The closing date for applications is usually the end of October.


Criteria for Consideration of Competitive Bids

The following criteria are used in considering competitive bids : academic quality institutional commitment contribution to academic/professional development potential for social, cultural or economic

application availability of, and potential for, non-RGC funding


Academic quality As regards item (a), members have agreed that "acade

mic quality" should cover :

- scientific and scholarly merit of the proposal; - qualifications and track record of the investigator(s) - originality; - feasibility within the time-scale of the proposal.


My comments (1) "The international expert panels had conducted the re

search assessments in a fair and rigorous manner," Dr Lam added. (Fok: Is it really fair and rigorous? Not able to conclude)

Prof Chin cautioned readers of the RAE results that, "We should not read the data out of context. It is neither fair nor appropriate to compare directly the institutions' performance in research. We need to give due regard to the different roles, missions, discipline focus, and history of the institutions.“ (FOK: Really no comparison?)


My comments (2)The UGC will allocate a total of about $1

1 billion to institutions for research during the 2005-08 triennium. This figure includes research grants administered by the Research Grants Council and part of the recurrent grants provided by the UGC to the institutions supporting research activities. (Fok: Important implications)


Importance of publication Journal articles Books International handbook chapters Conference paper not counted Local journals not counted Chinese Journals is not the first priority


Importance of RAE Image of the university Funding


Importance of CERG / GRF Every year: a very keen competition (RGC website)

Financial implication Media

The first priority (Chair Professor) The first priority (allocation of rooms) Financial support for staffs (CUHK & HKIEd)


Teaching is important Only the baseline Not below this Distinguished Teaching Award

Not renewing contract in HKIEd


Important notes UGC domination Research is very important --- CERG and GRF RAE is the most important Extremely focus by UST, CUHK, HKU


Differences between institutions Not the formalities that counted

HKIEd has the most detailed procedures and well-structured

CUHK and Poly U are not having very clear instruction

Not working according to the said items HKIEd fired someone who had over 70 marks HKIEd fired someone who had good comments from stude

nts Indeed, most institutions assessed according to RAE and (e

xternal) research grants


Thank you!!

tertiary institution evaluation1 evaluation mechanisms of hk tertiary institutions fok, ping kwan (...

Documents

teaching e

scholarship of teaching

teaching packages

hisher teaching

b teaching materials

choice of teaching methods

placement of students

individual students