User Policy at the Advanced
Light Source
(Revised January 2001)
1. Guiding Principles
The aim of User Policy at the Advanced Light Source (ALS) is to provide a framework for establishing a challenging yet congenial environment where talented scientists from different backgrounds can work together in pursuit of the new scientific opportunities presented by the availability of this innovative facility. User policy must address a variety of user needs and sensitivities. On one hand, the qualified researcher with little financial backing needs assurance of adequate access to the facility. On the other hand, qualified groups that make a large commitment of time and resources need some assurance of an equitable return on their investment. A national facility should be accessible to all qualified researchers. All proposals for research to be conducted at the ALS are evaluated based on the criteria endorsed by the International Union of Pure and Applied Physics (IUPAP). These criteria are detailed on the IUPAP Web site at IUPAP Recommendations for the Use of Major Physics Users Facilities.2. Participating Research Teams
Participating Research Teams (PRTs) engage in varying degrees in the funding, building, and operation of beamlines. PRT members may be from a single institution or from a consortium of institutions. Proposals to form PRTs will be reviewed for approval by the Scientific Advisory Committee (SAC). The term of a PRT will typically be for three years, and the PRT will be expected to set aside some percentage of the available beamtime during this period for independent investigators. The actual percentage of beamtime will be based on the resources contributed by the PRT, as negotiated with the ALS management. The amount of beamtime set aside for the PRT and for independent investigators will be determined with guidance from the SAC and recorded in a memorandum of understanding (MOU). PRT members are not eligible to apply for the independent investigator beamtime on their own beamline unless this is specifically authorized in their MOU. PRT members may, however, use unassigned independent investigator beamtime when it is available. At the end of the three-year period, the PRT will be reviewed for renewal by the SAC.
3. Independent Investigators
Independent investigators are researchers who conduct experiments at the
ALS, but who are not members of a PRT.
Proposals
Allocation of the beamtime for independent investigator will be based on proposals evaluated by a Proposal Study Panel (PSP). Proposals may be for a single experiment requiring one visit or for a program requiring multiple visits.Scheduling
Scheduling will be done by the ALS management, in close consultation with PRT spokespersons and beamline managers.Use of Endstations
A beamline is considered to terminate at the exit slit or post-focusing manifold of a monochromator. If an experiment endstation can be easily removed from the beamline, use of the endstation by other users will be at the discretion of the owner. In cases where the endstation cannot be removed, it will be taken that the PRT or owner has granted access to the endstation by outside users.
4. Special Projects
Some portion of the independent investigator beamtime will be allocated to special projects in order to meet LBNL contractual obligations, such as CRADAs (Cooperative Research and Development Agreements). Such agreements will be monitored by the SAC.
5. Director Discretionary Time
Some small fraction of the available beamtime may also be designated as "director discretionary time" to be allocated by the ALS Division Director for Science, typically for short trials deemed desirable for the development of the ALS scientific and/or industrial program.
6. Conformance and Performance
While variances from the terms of the MOUs are acceptable, subject to good faith adherence to the provisions noted in section 2 (Particpating Research Teams), the ALS management will have the right to renegotiate terms in the event of nonperformance or nonconformance by a PRT.
7. Users' Association and Users' Executive Committee
Current and potential users of the ALS are eligible for membership in the Advanced Light Source Users' Association (ALSUA). After nominations are made at the ALSUA Annual Meeting, members will elect by mail ballot representatives to a Users' Executive Committee (UEC), which will serve as the official voice of the user community in its interactions with ALS management. The ALS Users' Association Charter provides additional information about the membership, organization, and rules of the ALSUA.
8. Proposal
Study Panels
Responsibilities of the Proposal Study Panels
It is the responsibility of the Proposal Study Panels (PSPs) to evaluate beamtime proposals from independent investigators and make recommendations on beamtime allocation.Evaluation Criteria
The following criteria, endorsed by the International Union of Pure and Applied Physics (IUPAP) in the IUPAP Recommendations for the Use of Major Physics Users Facilities, will be used to evaluate beamtime proposals:
- Scientific merit
- Technical feasibility
- Capability of the experimental group
- Availability of the resources required
Procedures
The General Sciences PSP and Protein Crystallography PSP meet at least twice a year to review beamtime proposals from independent investigators. The PSP compares the individual panel members' scores for each proposal, discussing and resolving any large variance in scores.Where appropriate, the PSP provides constructive comments for beamtime proposals. PSP members are required to provide a spread in scores between highest and lowest rated proposals thereby providing the basis for the beamtime allocation process. The PSP is encouraged to maintain a balance in science among high- and low-rated proposals. Multiple proposals for similar science from a single user or group of users may be treated as a single proposal.
Panel members who are a primary author, a co-author, or a collaborator in a proposal under study are required to recuse themselves from the discussion and grading of the proposal. Panel members are not permitted to vote or discuss proposals that are in direct competition with their own scientific program.
Users in disagreement with their PSP score may request, in writing to the PSP Chair, a review of their proposal.PSP Membership
PSP members are appointed by the ALS Director based on nominations submitted by the ALS Users' Executive Committee. Every attempt is made to have all the scientific disciplines at the ALS represented on the panel. The term of an appointment to the PSP is usually three years.
9. Scientific Advisory
Committee
A Scientific Advisory Committee (SAC) is appointed by the Berkeley Lab Director to advise the Laboratory through the ALS Director on current operations, allocation of facility resources, strategic planning, budget development, and other major issues. The SAC also reviews proposals to establish new PRTs and special projects, and monitors progress and performance of approved teams. The SAC is composed of at least nine scientists knowledgeable in the areas of research relevant to the ALS, and meets at least twice a year. The chairs of the UEC and the PSP serve as ex officio members of the SAC. Sensitive deliberations of the SAC are confidential, but they are communicated, in writing, to the Director of the ALS and to the Director of Berkeley Lab.
10. Science Policy
Board
A Science Policy Board (SPB) has been established to advise the Director of Berkeley Lab on major policy issues concerning the ALS. The SPB is composed of persons distinguished by excellence of scientific accomplishment and experience in the administration of large scientific organizations. The SPB meets as needed, and communicates the outcome of its deliberations to the Berkeley Lab Director.
11. Beamtime Charges
The ALS is a national user facility funded by the Department of Energy, Office of Basic Energy Science. There will be no charge for beamtime used for nonproprietary experiments, but DOE pricing policy will apply for experiments whose results are not intended for the open literature. In addition, experimenters will be required to open operating or equipment/fabrication accounts to collect non-beamtime related costs, such as stores issues, equipment purchases, or fabrications performed in Berkeley Lab and ALS facilities.
12. User Agreements with Berkeley Lab
All ALS users conducting research at the facility will execute either a User Agreement or another available, approved, legal instrument for agreement with Berkeley Lab. This agreement, between the user's institution and Berkeley Lab, will form the contractual basis covering certain laboratory administrative practices, the distribution of intellectual property rights, and the allocation of funds and responsibilities. With respect to patent protection, ALS users may, in most cases, receive advance rights to any inventions or proprietary data developed under the user agreement whereby the user has the option to take title to such inventions. The U.S. Government reserves certain rights to intellectual property and those rights are outlined in the agreements as negotiated between the parties.
13. Conflict Resolution Process
A formal grievance mechanism exists at the ALS for the resolution of conflicts between users and/or between users and the ALS. Parties seeking redress or resolution of a conflict can submit a petition to the ALS Director, who will, if warranted, appoint an ad hoc committee to review the matter under dispute. The committee, composed of representatives from the Users' Executive Committee, the Scientific Advisory Committee, and the ALS, will advise the Director on the fair resolution of the dispute.