Commission publishes guidelines and principles to govern access to research infrastructures, including harmonising policy and providing transparency to users.
Research Infrastructures (RIs), including e-infrastructures, are central in the knowledge triangle of research, education and innovation. They play an important role in structuring the scientific community, constructing an efficient research and innovation environment and helping Europe take the lead towards open, interconnected, data-driven and computer-intensive research, experimental development, as well as education and training. Strong RIs are also vital in addressing global challenges such as climate change, health and resource efficiency. These key uses of RIs are the reason the European Commission lists for publishing the “European Charter for Access to Research Infrastructures”. The report “sets out non-regulatory principles and guidelines to be used as a reference when defining Access policies for Research Infrastructures and related services”. While the guidelines are not legally binding, they provide a reference point for RIs when they update their access policies or implement new ones. For the purpose of the report, access is defined as “the legitimate and authorised physical, remote or virtual admission to, interactions with and use of Research Infrastructures and to services offered by Research Infrastructures to User”.
First, the publication lays out ten principles for RIs: i. They should have a policy that defines how they regulate, grant and support access to potential users from academia, business, industry and public services. ii. The contribution of RIs in any outputs must be acknowledged and the users of the infrastructure are asked to highlight those working at the RIs as co-authors. iii. Furthermore, RIs are urged to conform with national, EU and international law, especially in the fields of intellectual property rights and privacy protection, protection of personal data, as well as ethical considerations and safety. iv. The final area on that list is further highlighted by outlining that both RIs and users must adhere to standard codes of conduct and ethical behaviour in research and to research integrity. v. The guidelines also emphasise the need for costs to be covered, with RIs being able to fall back on several models of financing. Specifically mentioned is the possibility of charging for use of the infrastructure. vi. Additional principles are non-discrimination on any personal grounds when assessing access applications; vii. and keeping the administrative burden in the application process to a minimum. viii. The Commission also urges RIs to adopt and promote open science as a default. However, it does emphasise that wherever this default is not appropriate, the principle of ‘as open as possible, as restricted as necessary’ should be applied (see SwissCore article on research security). ix. Also encouraged, is setting up a research data management policy to ensure that data are appropriately maintained, archived and available for review and reuse in accordance to FAIR principles. Where appropriate, data could also be provided though open access. x. Finally, RIs should provide users with instructions for access.
In a second step, the publication presents thirteen guidelines based on the principles. The first is that the access policy of an RI should define access in terms of access units, present the access mode and conditions for access, as well as explain processes and interactions involved in the access process, as well as support structures, if provided. RI access can be regulated according to a single access mode or a combination of four. Excellence-driven access depends solely on scientific excellence, originality, quality and technical and ethical feasibility of an application, evaluated through peer review. Market-driven access is provided through an agreement that regulates a fee for access to the RI. The broadest access to data and services possible is wide virtual access. It provides access to the user from wherever they are based, which means it maximises availability and visibility of the data. The fourth and final access mode presented is priority-driven access, which selects user proposals by a predefined priority. This includes priority or customised access to proposals that respond to a scientific or societal challenge, a crisis, or education and training. With the modes of access, guidelines on restriction thereof are also outlined. These guidelines state that access may be restricted with either quotas or pre-defined groups based on “established acceptable practices” that may include training, ethics, legal and contractual conflict or financial contributions. Overall, limitations on access may also be imposed on a topic basis. The charter allows for limitation based on, amongst others, national security and defence, privacy and confidentiality, commercial sensitivity and intellectual property rights, and ethical considerations in accordance with laws and regulations. However, the clear message is that any exclusion must be communicated clearly. Furthermore, the guidelines also address accesses processes and procedures. These processes may consist of applications, negotiations, evaluations, admission, feasibility checks, use, monitoring and dismantling. Here the charter encourages providing support measures for these processes such as user manuals and education and training. Another provision encourages RIs to reach out to users from industry SMEs or public services to customise their access offer to maximise their impact. Further emphasised is the importance of transparency of information about RIs’ policies, data management and conditions, as well as of costs, fees and contractual obligations. RIs should also agree on a data management plan and undertake necessary steps to ensure the health, security and safety of all users. The final guideline urges RIs to implement evaluation mechanisms for quality assurance.
The Commission encourages adoption of these guidelines and principles to govern access to RIs. Furthermore, stakeholders are encouraged to reach out and provide feedback so that the Commission can review it and apply it where relevant. Further information on RIs as a key pillar of R&I and the strategic relevance of RIs can be read in our previous articles.