NTU Teaching and Research

Unit Evaluation

EvaluatorManual

Contents

i.A Letter to Evaluators

ii.Legal Basis

iii.Evaluation Procedures

iv.Job Duties for Evaluators

v.Supporting Materials and Forms for Evaluators

vi.Accommodation and Traffic Access

Appendix I. NTUEvaluation Guidelines for Teaching and Research Units

  1. A Letter to Evaluators

Dear evaluators,

Thank you for serving on a teaching and research unit evaluation committee for National Taiwan University (hereinafter “NTU”). We would like to express our sincere gratitude and appreciation to you.

In the interest of bolstering self-improvement,NTU has conducted campus-wide evaluations of teaching and research units since the 1997 Academic Year. We at NTU developed the “Evaluation Guidelines for Teaching and Research Units” (hereinafter the “Guidelines”), which serve as the official rules governing thisquinquennial practice termed ‘self-evaluation of teaching and research units.’ Since the project’s inception, each unit being evaluated has undergone four cycles of evaluation.During this process, we at NTU have been enhancing the evaluation system and building a well-established culture thereof. The results of performance evaluationsand related suggestions also serve as a constructive reference whereby both the units under evaluation and the university can improve their development and academic activities.

To this end, we have prepared this “Evaluator Manual” based on the Guidelinesand the annual evaluation of teaching and research units. Themanual is intended to familiarize evaluators withNTU’s evaluation system, as well as the procedures and schedules thereof.

Despite our efforts to make this manual as explicit and comprehensive as possible, we hope that all users can provide feedback for us to make corrections.

  1. Legal Basis

The history and structure of NTU’s evaluation guidelines:

Over 19 years have passed sincethe system for evaluating the performance of teaching and research units at NTU was introduced in 1997. In that year, the Guidelineswere developed during the second semester of the 1996 Academic Year (which was in the calendar year of 1997).As the legal basis for performance evaluation of teaching and research units at NTU, the guidelines have been amended six times. These amendments were made to facilitate evaluation procedures and conform to the current trends, in compliance with applicable laws and regulations.As such,these units may offerguaranteed quality of courses and researchin order to foster the well-balanced development of the university.

The following shows the purposes of thearticles under the Guidelines.

Table 2-1. Purposes of the Articles under theGuidelines

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Item / Purpose
Article 1 / Rationale
Article 2 / Scope
Article 3 / Level 3 Evaluation Committee
Article 4 / Oversight Committee of Evaluation of University
Article 5 / Oversight Committee of Evaluation of Colleges
Article 6 / Evaluation Committees for Units under Evaluation
Article 7 / Task Forces
Article 8 / Workshops on Evaluation
Article 9 / Cycles of Evaluation (quinquennial, i.e. once every five yearsas a cycle)
Article 10 / Evaluation Items
Items / Purposes
Article 11 / Procedures and Schedules
Article 12 / Evaluation Criteria for Colleges
Article 13 / Classification of Evaluation Results
Article 14 / Application and Guidelines for Joint Evaluation
Article 15 / Application of Evaluation Results
Article 16 / Presentation of Evaluation Results
Article 17 / Source of Financial Support
Article 18 / Handling of Matters Not Provided Herein
Article 19 / Procedures for Enforcement and Amendment

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  1. Evaluation Procedures

The procedures for evaluating the performance of teaching and research units at NTU are set out in Article 11 of the Guidelines. The workflows and schedules are shown in Figure 3-1 and Table 3-1.Procedures relevant to evaluators are indicated by the asterisk (*).

Figure 3-1. Procedures for Performance Evaluations

Procedures relevant to evaluators are indicated by the asterisk (*).

Month / Workflow
July / The Office of Academic Affairs shall investigate which units are to be evaluated.
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August / The Office of Academic Affairs shall convene the first meeting of the Oversight Committee of Evaluation of University and determine which units are to be evaluated and the evaluation procedures.
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September / The heads of thehighest managing units shall submit a list of recommended evaluators for their subordinate units under evaluation to the Office of Academic Affairs for compilation.
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October / The Office of Academic Affairs shall convene the second meeting of the Oversight Committee of Evaluation of University, where the list of recommended evaluators and the payment criteria for evaluation fees will be determined.
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＊November / Each unit under evaluation shall, upon obtaining the consent of evaluators,submit a list of evaluators to be appointed to the Office of Academic Affairs, which will prepare their certificates of appointment.
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Next January / The Office of Academic Affairs shall inform each unit to be evaluated about the subsidies available to them, and thecorresponding budget codes.
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30 days prior to site visit / Each unit under evaluation shall send the certificate of appointment, the Evaluator Manual, and the Written Review Comments on the Self-Evaluation Report & Replies from the Unit under Evaluationto each evaluator. Site visits shall be conducted as scheduled.
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1 week prior to site visit / Evaluators shallprovide their respective units under evaluation with a completed copy of theWritten Review Comments on the Self-Evaluation Report. These units shall reply to the evaluators beforethe first day of the site visit.
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Within 30 days upon site visit / Evaluators shall submit the Final Evaluation Report to the Oversight Committee of Evaluation of Colleges for approval.
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Within 30 days upon presentation of the Final Evaluation Report / Each unit under evaluation shall submit a completed copy of theReview Comments & Improvement Plans to theOversight Committee of Evaluation of Colleges for review.
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Next August / The Oversight Committee of Evaluation of Colleges shall submit two documents (a “Final Evaluation Report” and a “Review Comments & Improvement Plans”), along with a review summary, to the Office of Academic Affairs for compilation.
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Next September / The Office of Academic Affairs shall coordinate plans to address the issues proposed by NTU with the highest managing units.
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Next October / The Office of Academic Affairs shall compile the Final Evaluation Report and the Review Comments & Improvement Plans and submit these documents to the Oversight Committee of Evaluation of University and related parties.
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Within 1 year upon site visit / Each unit under evaluation shall submit the Final Report on Improvement Measures Taken to the Oversight Committee of Evaluation of University for review. Upon being reviewed, the report shall be submitted, along with areview summary, to the Office of Academic Affairs for compilation. The compiled documents shall be passed onto the Oversight Committee of Evaluation of University and related parties (next October).

Table 3-1.Evaluation Schedule

Procedures relevant to evaluators are indicated by the asterisk (*).

Time (year/month) / Events / Requirements / Forms
July 2016 / The Office of Academic Affairs shall confirm the planned evaluation with the units to be evaluated for the next academic year via mail. / Each unit to be evaluated shall inform the Office of Academic Affairs about its willingness to undergo the evaluation, or apply for joint/early/extended evaluation by submitting supporting documents. / Each unit to be evaluated shall confirm the Confirmation Sheet for Evaluation Schedule
August 2016 / The Oversight Committee of Evaluation of University shall convene the 1st meeting to discuss the annual evaluation, including details of the planned evaluation and which units are to be evaluated. The Office of Academic Affairs shall send a copy of the meeting minutes to the units to be evaluated and their respective colleges.
The Office of Academic Affairs shall direct the units to be evaluated to prepare for performance evaluations as scheduled and send applicable forms to them.
The Office of Academic Affairs shall direct the dean of each college, the President for Academic Affairs or the Executive Vice President for Academicsand Research to confirm the list of recommended evaluators proposed by each unit to be evaluated. The evaluators for Level 1 research centers shall be nominated by the Executive Vice President for Academics and Research. The evaluators for Level 1 teaching units shall be nominated by the President for Academic Affairs. The evaluators for Level 2 units shall be nominated by the head of the highest managing unit.
With regard to applications for joint/early/extended evaluation, the Office of Academic Affairs shall notify the unit to be evaluated about the results of review of such applications by the Oversight Committee of Evaluation of University. / Each unit to be evaluated shall confirm the results regarding the normal/joint/early/extended evaluation.
Each unit to be evaluated shall prepare for evaluation as per the approved Evaluation Schedule.
Each unit to be evaluated shall send a list of recommended evaluators to the dean of each college, the President for Academic Affairs or the Executive Vice President for Academics and Research for confirmation. Each unit to be evaluated shall then send the confirmed list to the Office of Academic Affairs for compilation and to the Oversight Committee of University of Evaluation for approval. / Evaluation Schedule; List of Recommended Evaluators (blank)
October 2016 / The Oversight Committee of Evaluation of University shall convene the 2nd meeting to determine the convener of the evaluation committees for the units to be evaluated, the list of evaluators, and the payment criteria for evaluation fees.
The Office of Academic Affairs shall notify the units to be evaluated and their respective colleges about the aforesaid meeting minutes via mail. This shall include the approved list of recommended evaluators, payment criteria for evaluation fees, list of evaluators to be appointed, and evaluation schedule as well as related instructions.
The Office of Academic Affairs shall direct the Personnel Department, the Office of Research and Development, the Undergraduate Academic Affairs Division, the Curriculum Division, and the Graduate Academic Affairs Division to update the data in theSelf-evaluation Reports (Tables 2-1, 2-2, 4-6, 4-7 and 4-8). / With regard to the list of recommended evaluators, each unit to be evaluated shall confirm the results of review by the Oversight Committee of Evaluation of University, and go through the appointment procedures based on the list.
November 2016 / The approved lists of evaluators to be appointed shall be compiled, and the Chinese- and English-language versions of theircertificates of appointment shall be prepared.
The Office of Academic Affairs shall estimate the amount ofsubsidies offered by NTU. The calculation shall be made based on the number of evaluators to be appointed, travel distances, and the number of days of site visits.
The Office of Academic Affairs shall notify each unit under evaluation about the updated data in the Self-evaluation Report for the 2016 Academic Year (including Tables 2-1, 2-2, 4-6, 4-7 and 4-8), and update the online versions on the website dedicated to performance evaluation simultaneously. / The units to be evaluated shall notify the Office of Academic Affairs about the evaluator lists approved by respective colleges or the heads of the managing units.
Each unit under evaluation shall make updates based on relevant data about the Self-evaluation Report provided by the Office of Academic Affairs. / List of Evaluators to Be Appointed; Self-evaluation Report
December 2016 / The Office of Academic Affairs shall direct the President to approve the budget regarding the subsidies for each unit to be evaluated for the 2016 Academic Year.
The Office of Academic Affairs shall propose a program on training staff members working for the performance evaluations for the 2016 Academic Year.
The Office of Academic Affairs shall prepare the Chinese- and English-language versions of certificates of appointment, and send them to each unit to be evaluated, which shall pass on these documents to the evaluators. / Each unit to be evaluated shall confirm the content of the Chinese- and English-language versions of the certificates of appointment, and issue them to evaluators.
January 2017 / The Office of Academic Affairs shall inform each unit to be evaluated for the 2016 Academic Year about the subsidies available, and the corresponding budget codes.
The Office of Academic Affairs shall organize workshops to train staff members working for the performance evaluations of teaching and research units. (between January and March, 2016) / The units to be evaluated shall confirm the subsidies available to them offered by NTU.
The units to be evaluated shall send representatives to take part in workshops on performance evaluation.
By May 2017 / Each unit under evaluation shall complete the Self-Evaluation Report within 30 days upon the site visit. Upon being approved by the head of the managing unit, the report shall be submitted, along with the Certificate of Appointment, the Evaluator Manual, and the Written Review Comments on the Self-Evaluation Report & Replies from the Unit under Evaluation, to each evaluator.
In addition, the Self-Evaluation Report shall be submitted to five supervisors (i.e. the President, the Executive Vice President for Academics and Research, the Executive Vice President for Administrative Affairs, the President for Academic Affairs, and the President for Research and Development) for review. / Self-Evaluation Report
* By June 2017 / The Office of Academic Affairs shall direct the units under evaluation to notify their respective evaluators to complete the Final Evaluation Report within 30 days upon the site visit. The completed report shall be submitted to the Oversight Committee of Evaluation of Colleges for review. Upon being reviewed, the report shall be submitted, along with a review summary, to the Office of Academic Affairs for compilation, which will pass on all relevant documents to the Oversight Committee of Evaluation of University for approval. / The units under evaluation shall direct their respective evaluators to complete and return the Written Review Comments on the Self-Evaluation Report & Replies from the Unit under Evaluation to them within one week prior to the site visit. The units under evaluation shall respond to the comments from the evaluators before the first day of the site visit.
The units under evaluation and their respective evaluation committees shall finish the site visit before June 30. The evaluators shall present an oral summary of the evaluation results during the end-of-visit meeting on the last day of site visit. / Written Review Comments on the Self-Evaluation Report & Replies from the Unit under Evaluation
* July 2017 / The Office of Academic Affairs shall direct the units under evaluation to complete the Written Review Comments on the Self-Evaluation Report & Replies from the Unit under Evaluation by late August, and submit the form to the Oversight Committee of Evaluation of Colleges for review. Upon being reviewed, the report shall be submitted, along with a review summary, to the Office of Academic Affairs for compilation, which will pass on all relevant documents to the Oversight Committee of Evaluation of University for approval. / Before going through the procedures listed below, each unit under evaluation shall complete the Final Evaluation Report within 30 days upon the site visit, according to the format required by the Office of Academic Affairs. The beginning of the report shall include asummary of the evaluation results.
Final reports on the performanceevaluation of departments/institutes/degree programs and Level 2 research centers shall be submitted to the Oversight Committee of Evaluation of Colleges for review. The reviewed documents shall be passed on to the Office of Academic Affairs for compilation.
Final reports on the performanceevaluation of colleges, the School of Professional and Continuing Studies, and Level 1 research centers shall be submitted to the heads of their respective managing units for review. The reviewed documents shall be passed on to the Office of Academic Affairs for compilation.
The electronic files shall also be submitted to the Office of Academic Affairs for compilation. / Final Evaluation Report
August 2017 / Each unit under evaluation shall complete the Written Review Comments on the Self-Evaluation Report & Replies from the Unit under Evaluation by late August and submit the form to the Oversight Committee of Evaluation of Colleges for review. Upon being reviewed, the report shall be submitted to the Office of Academic Affairs for compilation (the procedures for submission of the Final Evaluation Report also apply in this case).
September 2017 / The Office of Academic Affairs shall direct related parties to convene a campus-wide coordination meeting to help the units under evaluation resolve problems and propose improvement measures. / Each unit under evaluation shall send representatives to take part in the coordination meeting with related parties,and solve problems or discuss the improvement measures to be taken.
October 2017 / The Office of Academic Affairs shall compile the Final Evaluation Report, and the Review Comments & Improvement Plans from each unit under evaluation for the 2016 Academic Year. Upon being compiled, the documents shall be submitted to the Oversight Committee of Evaluation of University to be discussed at the 2ndcommittee meeting for the 2017 Academic Year.
The Office of Academic Affairs shall prepare a List of Evaluation Results, and obtain the approval from the President before publishing it on the homepage of the NTU website, and the page dedicated to performance evaluations on the website of the Office of Academic Affairs.
April 2018 / The Office of Academic Affairs shall direct each unit under evaluation to complete the Final Report on Improvement Measures Taken for the 2016 Academic Year, and submit the completed report to the Oversight Committee of Evaluation of Collegesfor review. Upon being reviewed, the report shall be submitted, along long with a review summary, to the Office of Academic Affairs for compilation, which will pass on all relevant documents to the Oversight Committee of Evaluation of University for approval.
By June 2018 / Each unit under evaluation shall submit acompleted copy of the Final Report on Improvement Measures Taken to the Oversight Committee of Evaluation of Colleges for review and to the Office of Academic Affairs for compilation (the procedures for submission of the Final Evaluation Report also apply in this case).
October 2018 / The Office of Academic Affairs shall submit the compiled Final Report on Improvement Measures Taken of each unit under evaluation for the 2016 Academic Year to the Oversight Committee of Evaluation of University to be discussed at the 2nd committee meeting for the 2018 Academic Year.
  1. Job Duties for Evaluators
  2. Preliminary Review:
  3. Self-evaluation Report:Each unit under evaluationwill send a Self-evaluation Report, along with a Preliminary ReviewComments form,30 days before the site visit to evaluators for priorwritten review.
  4. Returning the Preliminary Review Comments form: Evaluators shall fill out the form detailing suggestions and questions and return it to their respective units under evaluation within oneweek prior to the site visit. These units shall answer the questions from the preliminary review duringthe site visit.
  5. Site visit:
  1. Each unit under evaluation will arrange a site visit (of at least 2 days). Evaluators are advised to reserve time in advance for full participation.
  2. The schedule for a site visit usually includes the following:

(1) Introduction to the college and its subordinate unitunder evaluation