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User
Access Policy - Version 1.1
General
Policies and Procedures for User Access to
the DOE Nanoscale Science Research Centers
Peer
Review and Advisory Bodies
Evaluation
Criteria and Process
Modes
of User Access
Proprietary
and Non-Proprietary Research
User
Access Allocation, Scheduling, and Recording
Peer
Review and Advisory Bodies
The key to delivery of outstanding science is rigorous peer review that is
fair, clear, expedient and sensitive to the needs of users. We envisage advisory
committees of the following kind:
Advisory Committee (AC)
Each Center will have an AC or equivalent body that advises senior management
on policies related to the optimization of the quality and quantity of the
scientific productivity of the facility. The AC will be composed of distinguished
scientists from both inside and outside the nanoscale science community. Appointments
to the AC will be made by senior management based on nominations from the
user community, the Center management, and its advisory bodies. The AC will
report to the Laboratory Director or Associate Laboratory Director with senior
management oversight responsibility for the Center.
Users Executive Committee (UEC)
Each Center will have a UEC or equivalent body that is elected by the user
community at large. The UEC will serve as the official voice of the user community
in its interactions with Center management. The UEC will elect its Chair and
Vice-chair from among its own members, and the UEC Chair will automatically
have an ex officio seat on the SAC.
Proposal Review Committees (PRCs)
Evaluation of General User (GU)
proposals will be carried out by appropriately constituted Proposal
Review Committees. The rank order of scores generated by the PRCs will
be the primary input in the allocation of facility access to General
Users. The PRC will also provide feedback to the investigators on the
quality of their proposals and, where relevant, on perceived weaknesses.
The PRC will consist of external scientists (without affiliation to
the NSRC) with expertise in various research fields related to nanoscale
research. Appointment to the PRCs will be made by the Center Director
or designate based on nominations received from the user community
and suggestions from the facility management. PRC subcommittees related
to the Center's scientific thrusts may be appointed to ensure knowledgeable
and efficient handling of user proposals.
Evaluation
Criteria and Process
The evaluation criteria used in the peer review procedures will take as their
starting point the criteria proposed by the International
Union of Pure and Applied Physics (IUPAP) in its 1996 recommendations on the
operation of major user facilities. These are:
- Scientific
merit
- Technical
feasibility
- Capability
of the experimental group
- Availability
of the resources required
These
criteria may be supplemented with additional requests, for example
to justify the need for special equipment or to satisfy safety and
environmental concerns. Special consideration will be given to encourage
and support first time users so they can compete effectively in the
peer review system. Preference may be given to proposals that utilize
the unique capabilities of a Center and contribute to its established
scientific thrust areas. The paramount criterion will be scientific
merit. [Note: Specific guidelines for
implementation of these criteria in the CNMS review process are given here.]
User proposals will be directed first to the Center for a feasibility and safety
review. A proposal considered not feasible or safe will be returned to the
proposer with appropriate comments including suggested changes.
Modes
of User Access
To deliver outstanding science, there must be access modes that are sufficiently
flexible so as to be responsive to user needs. There are two basic modes of
user access, General User access and Partner access, each with variable scope.
General User Access
General Users are individuals or groups who need access to the facility to
carry out their research, using existing equipment in the NSRCs. General Users
apply for access by submission of a proposal that is evaluated by one of the
PRCs. The scope of a General User proposal can vary from a single experiment
proposal to a program proposal (valid for multiple visits and substantial access
to a range of equipment extended over multiple years) to a "special" proposal
(i.e. rapid access, feasibility studies, or other means which have been developed
by each Center based on their particular needs). Individual and group proposals,
including collaborative proposals with NSRC staff, are encouraged.
Partner Access
Partners are individuals or groups who not only carry out research at an NSRC
but also enhance the capabilities or contribute to the operation of the Center.
Typically they develop the facility instrumentation in some way, bringing outside
financial and/or intellectual capital into the evolution of the NSRC, or contribute
to the operation of equipment and facilities. These contributions must be made
available to the General Users and so benefit them as well as the facility.
In recognition of their investment of either resources or intellectual capital
and in order to facilitate and encourage their involvement, Partners may be
allocated limited access to one or more facilities over a period of several
years, with the possibility of renewal. Partner scientific programs are subject
to the same peer review process as General Users.
Proprietary
and Non-Proprietary Research
Users of the facilities include academic, industrial and government scientists
and engineers. While the vast majority of user research should be in the public
domain, and so must be disseminated by publication in the open literature,
there may be access for proprietary research that utilizes these unique facilities
to benefit the national economy. Users conducting proprietary research may
access the facility as either General Users or as Partners. Full cost recovery
will be obtained for proprietary research, and efforts will be made to secure
appropriate intellectual property control for proprietary users to permit them
to exploit their experimental results.
User
Access Allocation, Scheduling, and Recording
Allocation of access to equipment and facilities for General Users will be
done based on the rankings provided by the PRCs. Partners will manage their
own scientific programs, subject to PRC review, and will allocate access among
their members. Scheduling of user access will be centralized in the facility
User Office using expert input from facility staff and Partner representatives.
Center management will have ultimate responsibility and accountability for
effective and efficient utilization of time on all equipment at the facility.
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