Two Projects 1 2

University Assessment and Ranking Studies Prof. Dr. Fred Y. Ye Zhejiang University

Two Projects 1 2

1

1.1 1983 (U.S.News) 1991 46

1.1 US News 7

1.1 6

1.2 US News Times

1.2 U.S.News 1987 1994

2001 1 Stanford University (CA) 100 2 Harvard University (MA) 99 3 Northwestern University (Kellogg) (IL) 98 4 University of Pennsylvania (Wharton) 97 5 Massachusetts Institute of Technology (Sloan) 96 6 Columbia University (NY) 93 7 University of California-Berkeley (Haas)91 8 Duke University (Fuqua) (NC) 90 9 University of Chicago 89 10 University of Michigan-Ann Arbor 88

1.2 Times TQA(Teaching Quality Assessment ) RAE(Research Assessment Exercise ) A-Levels( ) SCORE( )

1.3 20 80 1987 9 SCI 2004 9 15 30 3

1.3 1.3.1 1.3.2 (http://www.netbig.com) 1.3.3

1.3.1 2000 7 1998 2000 1998 2 23 5 11 7

1.3.1 2001 6 2001 24 3

1.3.2 1999 4 6 2004 6 19 3

1.3.3 2004 2005 4 13 50 3 11 22

1.3.3 ( ) 2005 10 1 2 3 4 5 6 7 8 9 10

1.3.3 ( ) 2005 10 1 2 3 4 5 6 7 8 9 10

1.3.3 ( ) 2005 10 1 2 3 4 5 6 7 8 9 10

1.3.3 ( ) 2005 100 10 1 2 3 4 5 6 7 8 9 10

1.4 2002 (China Discipline Ranking CDR) 3 229 1336

1.4 2002-2004 80 5 29 25 24 16 15

1.4 ( ) 43 10 5

1.5 Delphi

( ) A 0.1 ISTP 0.62 0.51 0.38 0.5 0.49 0.5 0.33 0.58 0.42 0.35 + 0.33 0.32 0.28 0.24 0.54 + 0.46 0.54 0.46 Nature+Science 0.5 0.29 SCI 0.3 0.2 0.28 0.19 0.27 0.18 0.5 = 0.5 + 0.49 /( + ) 0.51 SCI 0.54 0.51 CSTPC = / 0.46 0.49 0.38 0.55 0.31 0.31 B 0.36 0.39 C 0.39 D 0.15

( ) 0.38 0.51 0.62 A 0.1 0.5 0.49 0.5 0.33 0.58 0.42 B 0.36 0.39 0.28 0.5 0.3 0.2 0.54 + 0.46 C 0.39 0.24 0.29 0.28 0.19 + 0.5 SSCI+AHCI+ + 0.3 ISSHP +CSSCI 0.2 0.5 0.5 SSCI+AHCI 0.54 0.46 CSSCI 0.46 0.54 0.27 0.58 /( + ) 0.42 / 0.62 0.18 D 0.15 / 0.38 0.38 0.55 0.31 0.31

A 0.39 B 0.4 C 0.21 0.2 0.15 0.2 0.15 0.1 0.1 0.1 Nature + Science ( 0.3 + ) SCI+SSCI+AHCI 0.2 CSTPC+CSSCI 0.1 0.1 0.1 + 0.2 0.25 0.25 / 0.3 / 0.2

( ) A 0.1 B 0.23 C 0.39 D 0.18 E 0.1 0.3 0.3 0.2 0.2 + 0.35 0.25 0.15 0.2 0.05 Nature+Science 0.12 SCI 0.05 SCI 0.04 SCI 0.03 ISTP 0.02 CSTPC 0.01 0.05 0.1 0.07 0.06 0.04 0.01 0.15 0.08 0.07 0.06 0.02 0.01 0.01 0.35 0.3 0.15 0.1 0.1 0.5 0.5

( ) 0.3 0.3 A 0.1 0.2 0.2 + 0.35 0.25 B 0.23 0.15 0.2 0.05 + 0.07 SSCI+AHCI 0.07 SSCI+AHCI 0.04 SSCI+AHCI 0.03 ISSHP 0.02 CSSCI 0.01 C 0.39 0.08 0.1 0.07 0.06 0.04 0.01 0.15 0.08 0.07 0.06 0.02 0.01 0.01 0.35 0.3 D 0.18 0.15 0.1 0.1 E 0.1 0.5 0.5

1.5

1.5 1 2 3 CERNET

SSCI/AHCI DIALOG

SSCI+AHCI+ + 1 1 2 0.6 0.4 3 0.5 0.3 0.2 4 0.4 0.3 0.2 0.1 5 0.4 0.2 0.2 0.1 0.1 5

2 1 0.5

1.5 2004 2000-2002 20 1-9 ( )

1 2000 ( ) 1 0.699523032 1 1 1 1 2 0.581771016 4 2 2 2 3 0.507676959 2 3 3 5 4 0.372359008 22 5 4 3 5 0.326534003 5 4 7 14 6 0.315023005 7 7 5 7 7 0.28491199 3 8 6 20 8 0.284707993 12 10 10 6 9 0.242038995 20 11 13 11 10 0.239008993 14 13 14 8 11 0.237387002 16 6 13 12 0.226139009 27 9 18 16 13 0.222041994 15 16 11 18 14 0.203289002 17 17 16 29 15 0.195702001 26 12 29 25 16 0.193598002 13 14 23 17 0.192944989 30 21 4 18 0.188655004 9 27 15 17 19 0.185045004 8 18 9 20 0.184250996 15 19 22

2 2001 ( ) 1 0.700574994 7 2 1 2 2 0.689325988 1 1 2 1 3 0.47210601 4 3 6 3 4 0.404251009 25 5 3 7 5 0.349588007 9 8 4 6 6 0.32922101 3 4 14 8 7 0.324739993 5 6 9 13 8 0.312067002 11 13 5 4 9 0.286044002 19 7 13 12 10 0.269109011 6 14 8 21 11 0.255984992 22 16 7 14 12 0.253973007 20 9 15 26 13 0.242339 2 23 17 20 14 0.226738006 24 10 21 23 15 0.226005003 29 18 5 16 0.224472001 12 11 28 18 17 0.208648995 13 20 20 11 18 0.203407004 26 12 9 19 0.19591701 8 24 25 19 20 0.193213001 17 27 12 22

3 2002 ( ) 1 0.732249022 2 1 2 1 2 0.693718016 1 2 1 3 3 0.445565999 4 3 6 2 4 0.373585999 6 4 4 4 5 0.360009998 7 5 3 5 6 0.312539995 12 7 5 7 7 0.285212994 5 6 10 13 8 0.252878994 11 10 8 9 9 0.252189994 3 9 15 19 10 0.241034001 8 12 12 17 11 0.235957012 17 8 16 20 12 0.228875995 11 9 15 13 0.21251899 22 14 19 16 14 0.204916999 15 11 29 15 0.204806 10 17 14 14 16 0.198001996 13 13 11 17 0.193093985 9 16 29 18 18 0.19224301 21 19 21 12 19 0.189445004 24 21 7 21 20 0.178839996 19 18 24 25

4 2000 1 0.639219999 1 1 1 1 2 0.520367026 2 2 2 4 3 0.406428993 7 4 3 3 4 0.322520018 12 3 7 8 5 0.297982007 3 7 5 10 6 0.280681998 11 15 4 5 7 0.257052004 4 9 8 6 8 0.256724983 5 18 6 2 9 0.214106008 8 11 11 7 10 0.210615993 6 13 9 25 11 0.206121996 13 5 13 22 12 0.195313007 9 6 14 28 13 0.176304996 18 8 12 12 14 0.136511996 20 12 15 23 15 0.123377003 17 10 23 16 0.115985997 10 17 0.100947998 10 19 22 18 0.095462002 16 17 24 19 0.091711998 25 21 20 16 20 0.083399996 29 16 19

5 2001 1 0.683364034 2 1 1 1 2 0.45192799 4 2 3 3 3 0.395004988 6 5 2 2 4 0.364089012 3 4 7 9 5 0.344152004 10 3 6 4 6 0.27451399 5 15 4 13 7 0.270893991 12 8 8 5 8 0.260831982 11 10 5 15 9 0.258556992 1 16 9 6 10 0.244746998 7 11 10 7 11 0.221954003 18 6 14 8 12 0.198653996 9 13 12 11 13 0.182611004 13 14 13 12 14 0.166325003 15 9 17 18 15 0.147579998 17 12 15 29 16 0.137111008 24 7 24 19 17 0.115539007 11 18 0.100186005 20 30 16 23 19 0.081473 26 23 20 20 0.070763998 23 17 26

6 2002 1 0.642506003 1 1 1 1 2 0.481608003 2 2 4 2 3 0.419944018 4 3 2 3 4 0.325185001 3 8 3 10 5 0.28510201 12 6 9 5 6 0.280099988 11 4 11 7 7 0.268469006 10 7 7 14 8 0.266658992 8 12 6 8 9 0.266263008 5 17 5 4 10 0.265096992 9 10 8 6 11 0.234723002 6 16 10 11 12 0.179765001 18 9 15 12 13 0.168034002 13 15 14 13 14 0.167896003 15 14 13 15 15 0.156489998 14 11 17 16 16 0.155111 5 29 18 17 0.118847996 12 18 0.118273005 25 21 16 17 19 0.117335998 7 20 18 20 0.097740002 21 13

1.5 0.5 +0.5

1.5 2001 2001 5 Nature Science 2 ( Science 2 1 ) Nature Science 2001 2002 4 Nature Science 2 1 1 2001

1.5 2001 10

1.5 2000 2001 6 2002 4 2000 11 2001 5 2002 3

1.5 2000 2001 15 2002 8 2000 10 2001 42 2002 83

1.5

1.5

1.5 1 2 3

1.5

1.5

[1]http://www.usnews.com [2].. 2002(2):19-24 [3].. 2001(8):10-16 [4]. 2003. 2003(2):12-22 [5]. 2002. 2002(5):42-45

[6]. 2001. 2001(6):38-50 [7]http://www.netbig.com [8].., 2004(3): 31-40 [9].. 2000(3):13-15 [10].. ( ) 2003(1):66-68

2

1 7 500

2003 Nobel HiCi N&S SCI Performance per faculty Indicator Nobel laureates in physics, chemistry, medicine and economics Highly cited researchers in 21 broad subject categories Articles published in Nature and Science Articles in Science Citation Index-expanded and Social Science Citation Index Academic performance per faculty Weight 20% 20% 20% 20% 20% Total 100%

2004-2005 Criteria Indicator Code Weight Quality of Education Quality of Faculty Research Output Size of Institution Alumni of an institution winning Nobel Prizes and Fields Medals Staff of an institution winning Nobel Prizes and Fields Medals Highly cited researchers in 21 broad subject categories Articles published in Nature and Science* Articles in Science Citation Index-expanded, Social Science Citation Index, and Arts & Humanities Citation Index Academic performance with respect to the size of an institution Alumni 10% Award 20% HiCi 20% N&S 20% SCI 20% Size 10% Total 100%

Alumni. The total number of the alumni of an institution winning Nobel Prizes and Fields Medals. Alumni are defined as those who obtain bachelor, Master's or doctoral degrees from the institution. Different weights are set according to the periods of obtaining degrees. The weight is 100% for alumni obtaining degrees in 1991-2000, 90% for alumni obtaining degrees in 1981-1990, 80% for alumni obtaining degrees in 1971-1980, and so on, and finally 10% for alumni obtaining degrees in 1901-1910. If a person obtains more than one degrees from an institution, the institution is considered once only. Award. The total number of the staff of an institution winning Nobel prizes in physics, chemistry, medicine and economics and Fields Medal in Mathematics. Staff is defined as those who work at an institution at the time of winning the prize. Different weights are set according to the periods of winning the prizes. The weight is 100% for winners in 2001-2004, 90% for winners in 1991-2000, 80% for winners in 1981-1990, 70% for winners in 1971-1980, and so on, and finally 10% for winners in 1911-1920. If a winner is affiliated with more than one institution, each institution is assigned the reciprocal of the number of institutions. For Nobel prizes, if a prize is shared by more than one person, weights are set for winners according to their proportion of the prize. HiCi. The number of highly cited researchers in broad subject categories in life sciences, medicine, physical sciences, engineering and social sciences. These individuals are the most highly cited within each category. The definition of categories and detailed procedures can be found at the website of Institute of Scientific Information. N&S. The number of articles published in Nature and Science between 2000 and 2004. To distinguish the order of author affiliation, a weight of 100% is assigned for corresponding author affiliation, 50% for first author affiliation (second author affiliation if the first author affiliation is the same as corresponding author affiliation), 25% for the next author affiliation, and 10% for other author affiliations. Only publications of article type are considered. SCI. Total number of articles indexed in Science Citation Index-expanded, Social Science Citation Index, and Arts & Humanities Citation Index in 2004. Only publications of article type are considered. When calculating the total number of articles of an institution, a special weight of two was introduced for articles indexed in Social Science Citation Index and Arts & Humanities Citation Index. Size. The weighted scores of the above five indicators divided by the number of full-time equivalent academic staff. If the number of academic staff for institutions of a country cannot be obtained, the weighted scores of the above five indicators is used. For ranking 2005, the numbers of full-time equivalent academic staff are obtained for institutions in, Japan, China, Italy, Australia, Netherlands, Sweden, Switzerland, Belgium, Slovenia, etc.

Nobel laureates. http://www.nobel.se. Fields Medals. http://www.mathunion.org/medals/. Highly cited researchers. http://www.isihighlycited.com. Articles published in Nature and Science. http://www.isiknowledge.com. Articles indexed in Science Citation Index-expanded, Social Science Citation Index, and Arts & Humanities Citation Index. http://www.isiknowledge.com Ref.: http://ed.sjtu.edu.cn/ranking.htm

2 5 50% 88 1300 20% 5% 1000 15 Ref.: http://edu.tom.com/1268/1807/2005330-35760.html

3 1997 ( ) 5

Total Score=0.20A+0.70B+0.10C Criterion Criterion Weight Indicator Indicator Weight Strength of 0.20 Nobel Laureates in faculty 0.40 Innovation(A) Faculty 0.30 Research Fund per Faculty 0.30 Papers in Nature and Science 0.30 Top 1% Subjects in ESI 0.15 Vitality of 0.70 Highly Cited Papers in ESI 0.15 Innovation(B) Citations in ESI 0.10 Papers in ESI 0.10 Patents in DII 0.10 Papers and Citations per faculty 0.10 Impact of 0.10 Ph.D. Awarded Innovation(C) 0.20 Local Index 0.80

Nature + Science 1% ESI ESI

(Nobel) (http://www.nobel.se) (Fac) (ExpRes) PPP http://dellweb.bfa.nsf.gov/top50inst2/default.asp Deutsche Forschung Gemeinschaft http://www.dfg.de/en/ranking/institutions/gesamt.html higher education funding councils HEFC http://www.hefce.ac.uk/publs/hefce http://www.dest.gov.au/highered/statpubs.htm#researpubs Grants-in-Aid for Scientific Research http://www.jsps.go.jp/j-grantsinaid/index.html The Swiss National Science Foundation SNF http://www.snf.ch/en/por/fac/fac_sta.asp http://www.nsfc.gov.cn/nsfc/cen/03/htmlcreated/

Nature Science Nature Science Web of Knowledge (http://www.isiknowledge.com/ ) 1% (%1HiFi) (%1HiCi) ISI Essential Science Indicators ESI http://access.isiproducts.com/sales/ ESI 1996.1.1-2006.12.31 22 1% ESI 1996.1.1-2006.12.31 1% ESI (ESI Citations) ESI (ESI Papers) ISI ESI 1996.1.1-2006.12.31 ISI ESI 1996.1.1-2006.12.31 ISI ESI (Patents) DII Derwent Innovations Index DII

(Ph.D.Award) ARL (http://www.arl.org/stats/arlstat/ ) http://www.hesa.ac.uk/products/pubs/ http://www.dest.gov.au/highered/statistics (Local Index) 1 100 2 99 5 96

( ) (AAU) (ARL) 10 2005 100 300 985 9 3

1 100 2 3 A = B = C = A 0.20+B 0.70+C 0.10 3 i= 1 7 i= 1 2 i= 1 ( 级 标 归 ) ( 级 别 标 权 ) i ( 级 标 归 ) ( 级 别 标 权 ) i ( 级 标 归 ) ( 级 别 标 权 ) i i i i

Ran k UnivName Nation T Rank UnivName Nation T 1 Harvard Univ 83.71186 101 Natl Univ Singapore Singapore 22.10069 2 Stanford Univ 53.13701 102 Tsinghua Univ China 22.08724 3 Univ California - Berkeley 52.33133 103 Univ Leeds UK 22.02306 4 Univ Texas - Austin 51.09047 104 North Carolina State Univ - Raleigh 22.00045 5 Johns Hopkins Univ 50.8794 105 Univ Queensland Australia 21.99931 6 Massachusetts Inst Tech (MIT) 50.17795 106 Univ Geneva Switzerland 21.99694 7 Univ Cambridge UK 46.86898 107 Stockholm Univ Sweden 21.76821 8 Columbia Univ 46.49007 108 Univ Paris 11 France 21.60242 9 Univ Washington - Seattle 45.62964 109 Univ Bonn Germany 21.56985 10 Univ Oxford UK 44.36475 110 Seoul Natl Univ South Korea 21.56683

11 Cornell Univ 43.86071 111 Univ Missouri 21.56386 12 Univ California - Los Angeles 42.60387 112 Univ New South Wales Australia 21.55087 13 Yale Univ 42.01368 113 Univ Barcelona Spain 21.54753 14 California Inst Tech 41.46652 114 Univ Glasgow UK 21.52823 15 Univ Michigan - Ann Arbor 40.12409 115 Univ Nottingham UK 21.12002 16 Univ Chicago 39.94436 116 Brown Univ 21.02391 17 Univ Pennsylvania 39.33634 117 Arizona State Univ - Tempe 20.89698 18 Tokyo Univ Japan 38.50856 118 Univ Bern Switzerland 20.84575 19 Univ Wisconsin - Madison 38.45108 119 Hokkaido Univ Japan 20.56014 20 Univ California - San Diego 38.29446 120 Queen's Univ Canada 20.3761

21 Washington Univ - St. Louis 38.03428 121 Imperial Coll London UK 20.34463 22 Duke Univ 37.91016 122 Univ Auckland New Zealand 20.09189 23 Univ Toronto Canada 36.19581 123 Univ Marburg Germany 20.05304 24 Univ Illinois - Urbana Champaign 36.10742 124 Univ Strasbourg 1 France 19.8943 25 Univ Minnesota - Twin Cities 35.35191 125 Univ Georgia 19.8571 26 Univ Colorado - Boulder 34.42836 126 Peking Univ China 19.80258 27 Kyoto Univ Japan 33.4894 127 Univ Complutense Madrid Spain 19.75232 28 Univ Coll London UK 33.30488 128 Univ Bologna Italy 19.74209 29 Princeton Univ 33.02445 129 Zhejiang Univ China 19.68001 30 Univ Maryland - Coll Park 32.64767 130 Univ Basel Switzerland 19.61776

31 Univ British Columbia Canada 32.17804 131 Natl Taiwan Univ China-tw 19.49852 32 Pennsylvania State Univ - Univ Park 31.2219 132 Univ Cincinnati - Cincinnati 19.3921 33 Rutgers State Univ - New Brunswick 30.05109 133 Univ Newcastle UK 19.34578 34 Univ California - Davis 29.96694 134 Monash Univ Australia 19.08306 35 Univ Vienna Austria 29.63711 135 Univ Southampton UK 19.01917 36 Ohio State Univ - Columbus 29.5511 136 Univ Liverpool UK 19.01084 37 Univ California - San Francisco 29.39715 137 Univ Nebraska - Lincoln 18.8518 38 Univ Pittsburgh - Pittsburgh 28.82532 138 Univ Western Australia Australia 18.78049 39 Univ Arizona 28.75443 139 Univ Turku Finland 18.75498 40 Univ Florida 28.54679 140 Tokyo Inst Tech Japan 18.66355

41 Univ Manchester UK 27.97189 141 Keio Univ Japan 18.64922 42 Northwestern Univ 27.88031 142 Univ Calgary Canada 18.57725 43 McGill Univ Canada 27.71929 143 Univ Hong Kong China-hk 18.54237 44 Osaka Univ Japan 27.28881 144 Cardiff Univ UK 18.46339 45 Tech Univ Munich Germany 27.28779 145 Korea Advanced Inst Sci & Tech South Korea 18.35474 46 Australian Natl Univ Australia 26.49966 146 Univ Leipzig Germany 18.33256 47 Univ Zurich Switzerlan d 26.37025 147 Chinese Univ Hong Kong China-hk 18.15654 48 Univ Munich Germany 26.28799 148 Univ Nacl Autonoma Mexico Mexico 17.88936 49 Univ Helsinki Finland 26.19016 149 Univ Paris 07 France 17.86168 50 Uppsala Univ Sweden 25.86204 150 Univ Miami 17.83504

[1]http://ed.sjtu.edu.cn/ranking.htm [2].. 2006,27(6):23-29 [3].. 2004, 2(3): 24-30 [4].. 2005, 3(2): 71-79 [5].. 2005, 3(3): 57-62