Evaluation mechanisms of HK tertiary institutions

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 Kong E-mail: pkfok@cuhk.edu.hk Tertiary Institution evaluation

2. Outline • Cases • University Grant Council (UGC) • Comments Tertiary Institution evaluation

3. Cases • Hong Kong Institute of Education • The Hong Kong Polytechnic University • The Chinese University of Hong Kong Tertiary Institution evaluation

4. Hong Kong Institute of Education • Scoring Worksheet for Academic Staff Performance Appraisal (Annex VII) • Summary of Submission by Appraisee for Academic Staff Performance Appraisal (Annex V) • Performance Criteria and Scoring Models (Annex III) • Minimum Weighting for Each Performance Domain for Academic Staff (Annex IV) Tertiary Institution evaluation

5. HKIEd items • Teaching • Research and scholarly activities Tertiary Institution evaluation

6. 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.) Tertiary Institution evaluation

7. Teaching portfolio (2) • 3) Teaching Performance – Observation of Teaching • Possible sources of evidence may include: • Comments / Feedback from HoD, peer nominated by HoD 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 fieldwork , initiative in practical work, field trips and placement of students in work experience, etc. Tertiary Institution evaluation

8. 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.) Tertiary Institution evaluation

9. 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. Tertiary Institution evaluation

10. Research and Scholarly Activities (2) • 3) Providing Support to Staff in Research • Service to HKIEd • 1) Contributions to Committee Work at Institute / Departmental 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 Tertiary Institution evaluation

11. 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 Tertiary Institution evaluation

12. 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 Tertiary Institution evaluation

13. HKIED Professorial salary Tertiary Institution evaluation

14. HKIEd teaching staff salary Tertiary Institution evaluation

15. Evaluation of CUHK staffs • Annual Departmental Records 2007-08 (See Appendix A) • Activities Undertaken by Individual Teaching Staff (Instructor and above) Tertiary Institution evaluation

16. 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 Tertiary Institution evaluation

17. 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 Tertiary Institution evaluation

18. CUHK evaluation report • Annual Departmental Records 2007-08 (See Appendix A) • Summary of Research (See Appendix B) Tertiary Institution evaluation

19. Items in CUHK record (3) • Service (from August 1 to July 31) • Service to Department/Faculty • Service to College/University • External Service Tertiary Institution evaluation

20. CUHK salary ($) Tertiary Institution evaluation

21. 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 Tertiary Institution evaluation

22. 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 Tertiary Institution evaluation

23. 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 specific 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, performance reward, contract renewal, promotion and sanction) Tertiary Institution evaluation

24. Manpower Quality Review Report Tertiary Institution evaluation

25. 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) Tertiary Institution evaluation

26. RAE • 2 March 2007 announced the results of the Research 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. Tertiary Institution evaluation

27. History of RAEs • The previous three RAEs were carried out in 1993, 1996 and 1999. For RAE 2006, the UGC has raised the standard of assessment. • Roland Chin : • Many of the external assessment panel members are impressed 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 Tertiary Institution evaluation

28. 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) Tertiary Institution evaluation

29. RAE result Tertiary Institution evaluation

30. 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) Tertiary Institution evaluation

31. What is GRF • The majority of the Earmarked Research Grant (ERG) 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. Tertiary Institution evaluation

32. 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 Tertiary Institution evaluation

33. Academic quality • As regards item (a), members have agreed that "academic 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. Tertiary Institution evaluation

34. My comments (1) • "The international expert panels had conducted the research 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?) Tertiary Institution evaluation

35. My comments (2) • The UGC will allocate a total of about $11 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) Tertiary Institution evaluation

36. Importance of publication • Journal articles • Books • International handbook chapters • Conference paper not counted • Local journals not counted • Chinese Journals is not the first priority Tertiary Institution evaluation

37. Importance of RAE • Image of the university • Funding Tertiary Institution evaluation

38. 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) Tertiary Institution evaluation

39. Teaching is important • Only the baseline • Not below this • Distinguished Teaching Award • Not renewing contract in HKIEd Tertiary Institution evaluation

40. Important notes • UGC domination • Research is very important --- CERG and GRF • RAE is the most important • Extremely focus by UST, CUHK, HKU Tertiary Institution evaluation

41. 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 students • Indeed, most institutions assessed according to RAE and (external) research grants Tertiary Institution evaluation

42. Thank you!! Tertiary Institution evaluation