1. A Study of the Model and Methodology for Institute Evaluation in CAS Guoliang YANG, Xiaoxuan LI Institute of Policy and Management ， CAS Management Innovation and Evaluation Research Center, CAS

3. 1 Brief Introduction of CAS and Institute Evaluation Practice in CAS

7. Focus on quantitative evaluation Qualitative evaluation Ranking of institutes Classify by categories Annually five year evaluation, annually analysis with midterm adjustment Independently quantitative evaluation and peer-review Integration of quantitative quality assessment and peer-review Combination of self-evaluation & group discussion and evaluation simple external evaluation Combination of performance evaluation with process management and future development Performance evaluation only Development of Evaluation Concepts and Methods in CAS

8. Evaluation Process Communication review Peer review on-site review Quantitative Analysis Self-evaluation Decision Process Decision among group Final decision Framework of Comprehensive Evaluation (2005) Period: 5 years

11. Indicators Ability of developing the S&T productivity Ability of System Renovating Ability of leading innovation Ability of S&T Transferring the outcome Excellent scientists R&D inputs Research infrastructure S&T Outputs Institutional criteria Operational management Cooperation internally & externally Strategic decision Key S&T projects undertaken Pre-research of the cutting-age field Innovative Culture dissemination of science Technology Diffusion International Exchange International Cooperation Ability of Absorbing international resources Based on 24 fundamental indicators Quantitative Monitoring 1 Publications: papers, works 2 Academic talks 3 Awards 4 Patents 5 Copy right of software 6 New medicine, pesticide, new veterinary drugs , new fertilizer , new breed 7 Standards establishment 8 Consultation report 9 Technology transferring 10 Economic benefits of stock-owned enterprise 11 Social and economic benefits of technology transferring 12 graduates education 13 Postdoctoral training and academic visitors 14 Training and science popularization 15 Construction and maintenance large scale research equipment/platform 16 Significant innovation contribution 17 Project 18 Excellent research leaders 19 Infrastructure and capacity 20 Funds 21 Achievement of S&T goal 22 Policy implement 23 Building of innovation culture 24 Education

14. Qualitative Monitoring Quantitative Monitoring Monitoring Result Status Report for each Institute

15. 2 Three-hierarchy Evaluation Model

16. Three-hierarchy Evaluation Model Yearly quantitative and qualitative monitoring Peer review At the bottom hierarchy are indicators that can reflect common characters of the institutes, including annual quantitative & qualitative monitoring. This part is the improvement of former monitoring essentially. The second hierarchy are the key indicators and benchmarks, which reflects the characters of certain category of institute. It can be used in both diagnosing evaluation for individual institute and comparison between institutes of the same category. Newly developed indicators reflect individual characteristics of each institute. The top hierarchy is qualitative evaluation by experts review, and it is also a hierarchy of individual evaluation. Using MPG and RIKEN as references, Each institute will have an advisory committee to provide suggestions for strategies and layouts periodically. This layer is individual for each institute. Quantitative Qualitative Key indicators

17. Key indicators of Pilot Institutes Common indicators: 1 、 S&T Talents 2 、 funding per FTE 3 、 Awards Institute of High Energy Physics Institute of Computing Technology Cold and Arid Regions Environmental & Engineering Research Institute Shanghai Institute of Technical Physics Dalian Institute of Chemical Physics Institute of Microbiology Institute of Physics Invited Speak High-quality papers Undertaking important tasks Outcome Transfer Building and running of large facilities High-quality papers Platform of resource and data Outcome transfer High-quality papers Undertaking Important tasks Platform of resource and data High-quality papers Outcome transfer Engineering Application and Demonstration

19. 3 Conclusions and Discussions

22. Thanks Contact information: www.casipm.ac.cn [email_address]