Responsible assessment of research and researchers

The University of Helsinki’s policy on the responsible assessment of research and researchers defines the shared principles for high‑quality, transparent and equitable evaluation.

The University of Helsinki policy on the responsible assessment of research and researchers has been drafted due to a need to develop assessment practices to take into account both the University’s own objectives and the national and international principles of responsible assessment to which the University is committed. The policy draws on the  (CoARA), which promotes qualitative, context-sensitive assessment and recognises the diverse nature of researchers’ contributions. Responsibility is ensured by developing open, transparent and locally applicable assessment practices that support the quality, sustainability and diverseness of research careers.

The aim of the policy is to ensure that all research and researcher assessments carried out at the University of Helsinki are consistently responsible and fair. Another goal is to close the gap between the ideals of responsible assessment and the reality of practical assessment. The systematic application of the principles defined in the policy increases the University community’s trust in assessment. In overall research assessment, the achievement of these goals is monitored as part of a regularly recurring assessment process. Responsible researcher assessment is promoted by practical guidelines for assessment and process development.

The policy provides a framework for the application of the principles for responsible assessment in different circumstances and determines the contexts where the principles will apply. The policy is supplemented by practical instructions for researcher assessment and related processes, as well as the context of overall research assessment (RAUH) at the University of Helsinki. By strengthening the University community’s awareness, the principles of responsible assessment will become part of everyday practice.

The policy describes what is meant by the assessment of research and researchers as well as the principles for responsible implementation. First, the shared principles will be presented, as these are the foundation of all assessment at the University. This will be followed by a review of various assessment situations in which the principles for responsible assessment are applied in practice. This section also clarifies separately practices for researcher assessment and the overall assessment of research as well as related special issues. Responsible researcher assessment is carried out through preparation and implementation. The principles described are also applied to internal funding applications.
Assessment principles

Assessment practices are continuously reviewed and amended to remain current and updated to meet the needs of research and society. 
Assessment situations: Researcher assessment

The principles of responsible assessment are observed, for example, in the following contexts: 

  • Teaching and research staff recruitment; open calls and invitation procedures
  • Career advancement assessments
  • Applications for a title of docent
  • University salary system (YPJ) evaluations
  • Internal funding calls and calls for letters of intent for external funding 

Assessment in such situations is supported by the good practices that translate the guidelines for responsible assessment into practical action. 

In researcher assessment, the University of Helsinki complies with the principles of the . The recommendation is applied as follows:
Diverseness
  • Assessment takes comprehensively into account researchers' contribution to research, the academic community and society in accordance with the needs and nature of research.
  • Researchers are assessed as representatives of their own disciplines in relation to the objectives of the assessment.
  • Scholarly content and quality are emphasised in the assessment of publications. Publication metrics are used only to support qualitative assessment.
  • The overall assessment of researchers takes into account their teaching merits and the societal impact of their research.
  • Also considered are other research outputs, including research data and methods, experience and competence in supervising research as well as collaboration and other skills.
  • Assessment recognises the diverseness of researcher careers, career stages and methods of accumulating research expertise.
Integrity
  • Researcher assessment is based on the integrity and commitment to ethics principles, fairness, responsibility and confidentiality of all parties involved in the assessment.
  • To maintain impartiality and trust, assessment must take into account any disqualification issues. At the same time, it must be ensured that appointment committees and other groups involved in assessment have sufficient expertise in the field of the researcher assessed in order not to compromise assessment quality.
  • Individuals involved in preparation and decision-making are instructed on disqualification and the principles for responsible assessment.
Transparency
  • The general assessment principles, criteria and process have been defined, clearly and openly described and brought to the attention of everyone concerned.
  • Overall assessment and the outcome of appointments and assessments must be justified and reliably documented. 
Fairness
  • Assessment is based on predetermined criteria.
  • Comparable information relevant to the assessment is obtained from the individuals under assessment. The  should be used in recruitment and career progress assessments.
  • To ensure balanced assessment from a range of perspectives, attention must be paid to the diversity of assessors and assessment groups.
  • Assessors familiarise themselves with unconscious biases and aim to actively recognise and prevent their impact during the assessment process.
  • Assessment is based on assessment material. Other information held by assessors must not affect assessment.
  • Assessment also takes into account possible career breaks.
  • Assessment will not take into account factors pertaining to individuals or their family members that are of no relevance to the objective of the assessment.
Competence
  • Assessors must possess subject-specific knowledge required for the assessment. They must be aware of the objectives and methods of the assessment process.
  • Assessors familiarise themselves with the principles and practices of responsible researcher assessment.
  • Assessors also familiarise themselves with the operating principles and responsible use of publication metrics indicators. 
Overall research assessment

The Universities Act (section 87, 558/2009) requires regular assessment of research and its impact. At the University of Helsinki, research assessment is carried out as , which aims to develop and improve operations and practices. In enhancement-led assessment, an element may be assessed from a variety of perspectives to identify strengths and development targets. Goals are set for development, measures are agreed on, and the achievement of goals is monitored.

Starting points for the overall assessment of research at the University of Helsinki:

  • The overall assessment of research is based on reflective self-assessment, which serves as a tool for improving research conditions.
  • Assessment seeks significant and impactful insights as well as joint discussions where the views of all participants are respected.
  • Assessments are planned so that they facilitate the sharing of information and build a stronger shared understanding among all participants. At the core is a learning process where joint discussions, assessment details and the expertise of external assessment panels support decision-making and solutions development relevant to the University and its units.
  • The assessment process is based on trust, which guarantees that all parties feel appreciated and respected.

Overall assessments of research are carried out regularly at the University of Helsinki. In accordance with the principles of enhancement-led assessment, the assessment framework will be updated for each assessment. When each assessment concludes, its success will be evaluated. Parties subject to research assessment play a key role in both planning the assessment, and interpreting and utilising its results. Engaging the University community in the planning and interpretation of assessments ensures their relevance and impact.

Assessment reports are published on the University of Helsinki website, and the results are used in the strategic and operative development of research operations of the University and its units.
Commitments and recommendations underlying the policy
CoARA agreement

In 2022 the University of Helsinki became a member of the international  (CoARA), a European consortium for reforming research assessment. The University of Helsinki’s commitments, measures and schedules are recorded in the University’s CoARA action plan (, 2024).
DORA declaration

In 2020 the University of Helsinki signed the international  (DORA), which calls for the primacy of qualitative research assessment. The recommendations concern both research outputs (including research data and source code alongside publications) and research impact. The scholarly merits of publications should always be the primary criterion in assessing them. The other overarching theme of the declaration is that research outputs and impact should be assessed comprehensively. Overall, all assessment processes must be open and the methods and criteria applied must be clear. By signing the DORA declaration, the University of Helsinki wishes to demonstrate its commitment to the development of research assessment,  and the promotion of open science.
European Charter for Researchers

The updated  (2023) brings together the earlier charter and recruitment code with a reorganised structure of 20 principles under four pillars: Ethics, Integrity, Gender and Open Science; Researchers’ Assessment, Recruitment and Progression; Working Conditions and Practices; Research Careers and Talent Development. What is new is the shift towards responsible assessment, open science principles and the appreciation of diverse career paths. The charter also emphasises support for researcher mobility and ensures that career advancement, supervision and continuous learning are central elements of work environments. Organisations are guided systematically and in a way that engages researchers to develop their practices.
National Declaration for Open Science and Research

The defines openness as a shared value of the scholarly community and as the starting point for development. It outlines four strategic goals: a culture for open scholarship; open access to scholarly publishing; open access to research data and methods; and open access to education. The declaration emphasises responsibility, ethics and researcher autonomy as well as the promotion of openness through structures and incentives. The aim is to make openness part of the quality and impact of research and strengthen Finland’s position as a global leader.
Leiden Manifesto

Published in December 2016, the  sets out ten principles that should be observed in research assessment. Even though these principles were familiar to publication metrics specialists, the Leiden Manifesto is the first to bring them together. The aim was to concisely present best practices to enable researchers to explore in practice the ways in which they are assessed and assessors to responsibly provide grounds for the indicators used in assessment.
National recommendation for responsible researcher assessment (Federation of Finnish Learned Societies, 2020)

Drawn up under the guidance of the Finnish National Board on Research Integrity, the  emphasises openness, fairness and the recognition of diverse merits in assessment processes. According to the recommendation, assessment must support high-quality research as well as diverseness and sustainability in research careers. The development of assessment practices emphasises open criteria, peer assessment and opportunities for researchers to contribute and receive feedback.

The national recommendation for researcher assessment includes specific recommendations for the responsible use of publication metrics. It is based on international recommendations while taking into account the domestic operating environment. The recommendation states that quantitative indicators in publication metrics can be used to support qualitative assessment. Publication metrics must be based on relevant and transparent data and analysis methods. Analyses must take into account both differences between disciplines and assessment objectives. Organisations must allocate sufficient resources to expertise in publication metrics and provide training in their responsible use.