[Purpose/Significance] This paper probes into the implementation paths of EU responsible research assessment in order to provide a reference for the reform of research evaluation in the context of open science in China. [Method/Process] Starting from the development of EU responsible research assessment practices, this paper summarized the implementation paths in six aspects: formulating policies and strategic plans, establishing the “Coalition for Advancing Research Assessment”, building open and federated research assessment infrastructure, developing methods, providing guidance and training, and conducting monitoring and feedback. [Result/Conclusion] The European Union has established a pragmatic path for responsible research assessment. China can draw on this experience to develop a policy system, enhance research assessment infrastructure, innovate methods, and build a collaborative mechanism, to promote the development of responsible research assessment.
Sheng Xiaoping
,
Wu Jin
. Implementation Path of EU Responsible Research Assessment and Its Implications[J]. Library and Information Service, 2025
, 69(12)
: 127
-136
.
DOI: 10.13266/j.issn.0252-3116.2025.12.011
[1] UNESCO. Recommendation on open science[EB/OL]. [2025-01-09]. https://unesdoc.unesco.org/ark:/48223/pf0000381148/PDF/381148eng.pdf.multi.page=4.
[2] HICKS D, WOUTERS P, WALTMAN L, et al. Bibliometrics: the Leiden Manifesto for research metrics[J]. Nature, 2015, 520(7548): 429-431.
[3] WILSDON J, ALLEN L, BELFIORE E, et al. The metric tide: report of the independent review of the role of metrics in research assessment and management[M]. London: SAGE Publications Ltd, 2015.
[4] VALZANO V. Open Science: new models of scientific communication and research evaluation[J]. Scires-it-scientific research and information technology, 2020, 10(special Issue): 5-12.
[5] GORDON G, LIN J, CAVE R, et al. The question of data integrity in article-level metrics[J]. Plos biology, 2015, 13(8): e1002161.
[6] CAGAN R. The San Francisco declaration on research assessment[J]. Disease models & mechanisms, 2013, 6(4): 869-870.
[7] SRINIVAS T A S, BHARATHI M. Assessing research quality: acritical look at journal metrics[J]. Journal of advance research in mobile computing, 2023, 6(1): 19-27.
[8] WALTMAN L. Responsible metrics: one size doesn’t fit all[C]//WOUTERS P. Proceedings of the 23rd international conference on science and technology indicators. The Netherlands: Centre for Science and Technology Studies (CWTS), 2018: 526-531.
[9] KOWALTOWSKI A J, SILBER A M, OLIVEIRA M F. Responsible science assessment: downplaying indexes, boosting quality[J]. Annals of the Brazilian academy of sciences, 2021, 93(1): e20191513.
[10] PERUGINELLI G, PÖLÖNEN J. The legal foundation of responsible research assessment: an overview on European Union and Italy[J]. Research evaluation, 2023, 32(4): 670-682.
[11] 宋丽萍, 王建芳. 开放科学环境下负责任评价实现路径研究 [J]. 中国图书馆学报, 2024, 50(2): 115-127. (SONG L P, WANG J F. Study of the realization path of responsible research assessment in the context of open science[J]. Journal of library science in China, 2024, 50(2): 115-127.)
[12] Science Europe.Science Europe roadmap[R/OL]. [2025-01-09]. https://zenodo.org/records/5060927/files/scienceeurope_roadmap.pdf.
[13] Science Europe. Career pathways in multidisciplinary research: how to assess the contributions of individual members of large teams[R/OL]. [2025-01-09]. https://zenodo.org/records/5060182/files/se_legs_careerpaths_workshop_report.pdf?download=1.
[14] WILSDONJR, BAR-ILAN J, FRODEMAN R, et al. Nextgeneration metrics: responsible metrics and evaluation for open science[R]. Brussels: European Commission, 2017.
[15] Working Group on education and skills under open science. Evaluation of research careers fully acknowledging open science practices[R/OL]. [2025-01-09]. https://euraxess.ec.europa.eu/sites/default/files/policy_library/os-rewards-wgreport-final_integrated_0.pdf.
[16] Science Europe. Position statement on a new vision for more meaningful research impact assessment[R/OL]. [2025-01-09]. https://zenodo.org/records/4972353/files/se_positionstatement_impact.pdf.
[17] OCHSNER M, KANCEWICZ-HOFFMAN N, MA L, et al. ENRESSH brief research evaluation [EB/OL]. [2025-01-09]. https://figshare.com/articles/online_resource/ENRESSH_Policy_Brief_Research_Evaluation/12049314/1.
[18] European Commission. MLE on open science-altmetrics and rewards[EB/OL]. [2025-01-09]. https://projects.research-andinnovation.ec.europa.eu/en/statistics/policy-support-facility/mleopen-science-altmetrics-and-rewards.
[19] European Commission. Commission recommendation (EU) 2018/790 of 25 April 2018 on access to and preservation of scientific information[EB/OL]. [2025-01-09]. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018H0790.
[20] European University Association. EUA roadmap on research assessment in the transition to open science[R/OL]. [2025-01-09]. https://www.eua.eu/downloads/publications/eua-roadmap-onresearch-assessment-in-the-transition-to-open-science_v20-08-2019.pdf.
[21] European Commission. Communication from the commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions: a new era for research and innovation[EB/OL]. [2025-01-09]. https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52020DC0628.
[22] Council of the European Union. Council conclusions on “deepening the European Research Area: providing researchers with attractive and sustainable careers and working conditions and making brain circulation a reality”[EB/OL]. [2025-01-09]. https://data.consilium.europa.eu/doc/document/ST-9138-2021-INIT/en/pdf.
[23] European Research Area and Innovation Committee. Research evaluation in a context of open science and gender equality[EB/OL]. [2025-01-09]. https://data.consilium.europa.eu/doc/document/ST-1201-2021-INIT/en/pdf.
[24] European Commission. Council recommendation(EU) 2021/2122 of 26 November 2021 on a pact for research and innovation in Europe[EB/OL]. [2025-01-09]. https://eur-lex.europa.eu/legalcontent/EN/TXT/PDF/?uri=CELEX:32021H2122.
[25] Council of the European Union. Council conclusions on the future governance of the European Research Area (Era)[EB/OL]. [2025-01-09]. https://data.consilium.europa.eu/doc/document/ST-14308-2021-INIT/en/pdf.
[26] European Commission. Towards a reform of the research assessment system[R/OL]. [2025-01-09]. https://data.europa.eu/doi/10.2777/707440.
[27] CORDIS. Aurora alliance -research and innovation for societal impact[EB/OL]. [2025-01-09]. https://cordis.europa.eu/project/id/101035804.
[28] EU-CONEXUS Research for Society. A study on the challenges for an interuniversity campus EU-CONEXUS to implement actions required by HRS4Raward[EB/OL]. [2025-01-09]. https://www.eu-conexus.eu/wp-content/uploads/2023/05/D.3.2-A-Study-on-the-challenges-for-an-interuniversity-campusEUCONEXUS-to-implement-actions-required-by-HRS4Raward.pdf.
[29] CORDIS. European university of technology -experimentation to transform research activities and steering[EB/OL]. [2025-01-09]. https://cordis.europa.eu/project/id/101035812.
[30] European Commission. Horizon Europe programme guide [EB/OL]. [2025-01-09]. https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/horizon/guidance/programme-guide_horizon_en.pdf.
[31] European Commission. Gender equality in research and innovation[EB/OL]. [2025-01-09]. https://research-andinnovation.ec.europa.eu/strategy/strategy-2020-2024/democracyand-rights/gender-equality-research-and-innovation_en.
[32] European Commission. European Research Area policy agenda – overview of actions for the period 2022-2024[EB/OL]. [2025-01-09]. https://commission.europa.eu/system/files/2021-11/ec_rtd_era-policy-agenda-2021.pdf.
[33] COARA. Agreement on reform in gresearch assessment[EB/OL]. [2025-01-09]. https://coara.eu/app/uploads/2022/09/2022_07_19_rra_agreement_final.pdf.
[34] DAY E, GADBLEDR, HALUSKOVAK, et al. Deliverable 1.2:state of the art on tenure Track-Like models[EB/OL]. [2025-01-09]. https://secureproject.eu/wp-content/uploads/2024/05/State-of-the-Art-on-Tenure-Track-Like-Models.pdf.
[35] CORDIS. GraspOS: next generation research assessment to promote open science [EB/OL]. [2025-01-09]. https://cordis. europa.eu/project/id/101095129.
[36] European Research Council. ERC work programme 2024[EB/OL]. [2025-01-09]. https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/horizon/wp-call/2024/wp_horizon-erc-2024_en.pdf.
[37] Science Europe. Position statement and recommendations on research assessment processes[EB/OL]. [2025-01-09]. https://zenodo.org/records/4916156/files/se-position-statement-researchassessment-processes.pdf?download=1.
[38] Council of the European Union. Council conclusions on research assessment and implementation of open science[EB/OL]. [2025-01-09]. https://www.consilium.europa.eu/media/56958/st10126-en22.pdf.
[39] European Research Executive Agency. Report on research assessment[R]. Luxembourg: Publications Office of the European Union, 2024.
[40] COARA. Action planning &timeframe[EB/OL]. [2025-01-09]. https://coara.eu/agreement/action-plan/.
[41] VERGOULIS T, MALAGUARNERA G, MANNOCCI A, et al. Federated open metrics infrastructure (FOMI)deliverable 4.3[EB/OL]. [2025-01-09]. https://zenodo.org/records/11091628.
[42] O’Neill G. Deliverable 3.1 indicators and metrics to test in the pilots[EB/OL]. [2025-01-09]. https://opusproject.eu/wp-content/uploads/2023/09/OPUS_D3.1_IndicatorsMetrics_FINAL_PUBLIC.pdf.
[43] TATUM C, ANLI Z, WALTMAN L, et al. Deliverable 2.2 open science assessment framework [EB/OL]. [2025-01-09]. https://zenodo.org/records/10475460/files/GraspOS%20D2.2%20 OSAF%20v2.0%20ZENODO.pdf?download=1.
[44] ENLIGHT toolkit[EB/OL]. [2025-01-09]. https://impact.enlighteu.org/self-assessment.
[45] CORDIS. Virtue based ethics and integrity of research: train-thetrainer program for upholding the principles and practices of the European code of conduct for research integrity[EB/OL]. [2025-01-09]. https://cordis.europa.eu/project/id/787580.
[46] CORDIS. Standard operating procedures for research integrity[EB/OL]. [2025-01-09]. https://cordis.europa.eu/project/id/824481/reporting.
[47] CORDIS. Supporting the promotion of equality in research and academia[EB/OL]. [2025-01-09]. https://doi.org/10.3030/787829.
[48] CORDIS. Grant allocation disparities from a gender perspective[EB/OL]. [2025-01-09]. https://cordis.europa.eu/project/id/824574.
[49] CORDIS. Projects& results [EB/OL]. [2025-01-09]. https://cordis.europa.eu/projects.
[50] 郭华东, 陈和生, 闫冬梅, 等. 加强开放数据基础设施建设， 推动开放科学发展[J]. 中国科学院院刊, 2023, 38(6): 806-817. (GUO H D, CHEN H S, YAN D M, et al. Strengthening open data infrastructure and promoting open science[J]. Bulletin of Chinese Academy of Sciences, 2023, 38(6): 806-817.)
[51] QIAN J, YUAN Z, LI J, et al. Science Citation Index (SCI) and scientific evaluation system in China[J]. Humanities and social sciences communications, 2020, 7(1): 1-4.
[52] XU C. Towards a framework for evaluating the research performance of Chinese Double First-Class universities[J]. Frontiers of education in China, 2020, 15: 369-402.
[53] YANG P, HAN B. Responsible research and innovation and its implications for China[J]. China & world economy, 2017, 25(6): 120-138.
[54] CHENG Z, XIAO T, CHEN C, et al. Evaluation of scientific research in universities based on the idea of education for sustainable development[J]. Sustainability, 2022, 14(4): 2474.
[55] 徐芳, 李晓轩. 科技评价改革十年评述[J]. 中国科学院院刊, 2022, 37(5): 603-612. (XU F, LI X X. Review on reform of research evaluation in past decade[J]. Bulletin of Chinese Academy of Sciences, 2022, 37(5): 603-612.)
[56] 韩昕媛. 负责任评价视角下《旧金山宣言》实现路径研究 [D]. 天津: 天津 师范 大学, 2023. (HAN X Y.A study on the Implementation path of the San Francisco Declaration on research assessment from the perspective of responsible evaluation[D]. Tianjin: Tianjin Normal University, 2023.)
[57] COARA. Signatories[EB/OL]. [2025-01-09]. https://coara.eu/agreement/signatories/.
[58] 徐芳, 李晓轩. 国际科技评价改革十年评述[J]. 中国科学院院刊, 2024, 39(1): 121-130. (XU F, LI X X. Review on reform of international research evaluation in past decade[J]. Bulletin of Chinese Academy of Sciences, 2024, 39(1): 121-130.)
