1. Management and governance of research infrastructures

This chapter covers the management and governance of research infrastructures. It also addresses the regulatory framework, the rules, that must be considered when granting external users access to research infrastructure, whether it is local, central, distributed, national or international. The focus lies on the perspectives of employment, the work environment, occupational health and safety, and insurance in relation to people who are:

employed outside the HEI or organisation where the research infrastructure is located and who want access to the research infrastructure (external users); or
employed within the HEI or organisation where the research infrastructure is located and who perform a service or equivalent on behalf of an external party (employees).

Relevant provisions may be found in work environment legislation, safety regulations and insurance requirements to ensure that employees and users alike can do their work and that their safety is assured when using the research infrastructure.

For matters related to cybersecurity, information security and export controls, we refer the reader in the first instance to the host organisation’s own regulations, tools and support¹³.

1.1 Overall management and governance of the research infrastructure

The host organisation (or in some cases a consortium¹⁴) where the research infrastructure is located has overall responsibility for the activity in accordance with the applicable acts, ordinances, funding target agreements, and regulations as well as governing documents such as rules of procedure, policies, guidelines, procedures, checklists or equivalent documents that the government agency (for example, a public-sector university) or the organisation (for example, an endowed university college or research institute) draws up. The management team assigned responsibility for each research infrastructure must ensure that it is organised and operated in accordance with the applicable rules. A consortium may be comprised of multiple organisations, but usually one organisation hosts the research infrastructure, unless it is distributed across several organisations. Responsibility for parts of the research infrastructure may be delegated within the consortium. It is therefore important to be clear where the formal boundaries of responsibility lie.

Responsibility is delegated within each HEI according to its own order of delegation. There is often a lowest level where no further delegation is permitted. A research infrastructure is usually run by a director who is responsible for reporting to those who are organisationally responsible for the infrastructure, and to funding bodies where applicable. The director does not necessarily have the authority to sign contracts and might not be responsible for human resources (HR) matters. HR responsibility and the authority to sign contracts may be part of the responsibilities of the head of department, for example, if the research infrastructure is located at a department.

For most research infrastructures, especially those funded by the Swedish Research Council, there is a steering group or partners’ council that has operational responsibility. The steering group often decides on strategic matters related to the research infrastructure’s activities, for example by establishing a budget and drawing up the operational plan, directors’ report and a plan for winding up the infrastructure.

Recommendations

The governance and management as well as the operation of a research infrastructure should be clearly documented and readily available to external users on the host organisation’s website, for example.
The host organisation should have procedures in place that set out the director’s (or equivalent) involvement in, for example, HR matters, evaluations or other organisational matters related to the operation and continuing development of the research infrastructure.

1.2 Making research infrastructure accessible

The host organisation for the research infrastructure must always develop clear rules and guidelines covering how external users can get access to the research infrastructure. This may include the application process, the assessment of user proposals, and the allocation of resources. The scope of these rules will vary depending on the research infrastructure concerned (local, central, distributed, national, government-agency based, or owned by a company/undertaking operating under private law) and the user’s needs for training or services, etc.

External users’ access to a research infrastructure at an HEI is governed by the regulations or criteria that an HEI has established internally for the infrastructure’s use. Examples of this can be found at KTH, Umeå University and the University of Gothenburg ¹⁵.

Examples and more information

Many research infrastructures have rules and terms and conditions, including template contracts, available on their websites. See for example the websites of MAX IV¹⁶, SciLife Lab¹⁷ and Myfab¹⁸. In addition, there are various forms of contract between the HEI where the research infrastructure is located and an external party that govern the use of the service, for example through cooperation agreements, contract research, consortium agreements, or otherwise agreed access to the research infrastructure. Good examples of template contracts/agreements for these purposes can be found at Lund University¹⁹.

Recommendations

In order to remove obstacles in the day-to-day operation of the research infrastructure, the host organisation should ensure that the regulatory framework that governs it is well developed and readily available. This may include internal governance and management, labour law (including employment and recruitment), skills development, and career paths. This area also includes delegated responsibility in the area of systematic work environment management such as risk assessments, measures and control, task allocation and responsibilities, the coordination of risks in the workplace, and collaboration in systematic work environment management.

1.3 Human resources responsibility and roles

External users can be granted access to a research infrastructure in several ways. As a rule, employees of the external user carry out tasks at the research infrastructure within the context of their employment. The external organisation thus has the employer responsibility for them, unless otherwise stated in the contract and/or in an act or ordinance.

In many cases, external users need various forms of support and services to facilitate their use of the research infrastructure, including access to laboratory facilities or expertise. It is important to distinguish these services from, for example, contract research or other types of contracts (see Section 3.2). It is the host organisation of a research infrastructure that determines the terms and conditions for the services provided.

It is important to ensure that both the external user and the host organisation can fulfil their obligations under the applicable regulatory frameworks or contracts, including the processing of personal data, intellectual property rights, and maintaining secrecy. Matters related to employment, services and secrecy are regulated in the contracts/agreements, or terms and conditions governing the external user’s access to the research infrastructure, which are discussed in Chapter 2.

Recommendations

When regulating access to research infrastructure and providing services to external users, it is important to consider the following points:

Specify the types of services provided to external users by the research infrastructure and establish that these services are performed by employees within the context of their employment.
Define who is considered an external user to avoid confusion in situations where an individual may have multiple roles, for example when a researcher is also involved in a company (undertaking).

1.4 The work environment and security

Systematic work environment management is carried out in accordance with the applicable acts and ordinances, as well as the rules and guidelines established by the host organisation for the research infrastructure. Making an inventory of risks involves identifying and documenting physical, organisational and social risks. This must be done regularly, and can also be done prior to the start of new projects or changes of various kinds coming into effect.

A continuous process of risk assessment can combine multiple aspects such as organisation, skills and experience, working methods, lone working, equipment and workplace design, as well as procedures and instructions such as those for managing chemicals and flammable materials.

These assessments may lead to measures being taken to address the challenges associated with permitting external actors to access the research infrastructure, for the work environment as well as for security.

Security measures are crucial to protecting both the external user and the research infrastructure. This may include providing access control systems to ensure that only authorised users have access to critical resources and equipment. In addition, safety training and compliance with safety protocols may be made mandatory for all users so as to minimise the risk of accidents or incidents.

Questions related to the work environment and who is responsible for the work environment, in particular in the case of distributed research infrastructures²⁰, must be regulated between the relevant parties before the external user is permitted to use the research infrastructure. For more information, see Section 3.1. The host organisation is responsible for coordinating systematic work environment management at shared workplaces in accordance with Sweden’s Work Environment Act²¹, which means that they must ensure that all risk assessments and safety regulations are made available to both employees and external users at the research infrastructure.

It is important for external users of certain research infrastructures to complete training in areas such as safety²², chemicals management, cleanroom behaviour, and other practical matters, as well as administrative rules (booking, logging, risk management) before and during their stay at the research infrastructure. Training may also be required in the use of more advanced equipment. Generally, these requirements must be met in order for an external user to be granted independent access to the research infrastructure. Sometimes, access to these special environments may be reserved solely for employees at the research infrastructure.

A clear division of responsibilities and tasks between the immediate manager and a director or equivalent role responsible for the research infrastructure can facilitate its strategic development as well as its day-to-day operations.

Recommendations

Plan, organise, implement and monitor the activity so that it is operating in accordance with the requirements set for the work and study environment in acts and ordinances, work environment/occupational health and safety policy, contracts, governing documents, and decisions.
Develop local written instructions and/or procedures for systematic work environment management and fire protection work for the research infrastructure, and for tasks that entail a serious risk to staff and/or students.
Clarity on who is responsible for employees, for identifying any problems and for measures to rectify them, and in what way monitoring should be done, is vital. If necessary, this responsibility should be divided between the immediate manager and a director or other person responsible for the research infrastructure. The work environment responsibility, however, always remains with the employer as the legal person and cannot be delegated.

1.5 Risk management

A government agency’s management is responsible for ensuring that there is a process in place for internal governance and control and that it functions satisfactorily. The risk analysis should reflect the regulatory framework governing public-sector HEIs and their mission. It should also highlight the opportunities and obstacles affecting the ability of the HEI to achieve its own goals and ambitions. Additional guidelines for internal governance and control are usually specified in the HEI’s rules of procedure, order of delegation, and other established rules and guidelines.

The Swedish Legal, Financial and Administrative Services Agency provides methodological support for risk management at a government agency on its website. This support has chapters which each present specific questions that can be used to carry out a comprehensive risk analysis. Using this support, the activity can take appropriate measures to limit risks and prevent damage or losses. This risk management forms the basis for the activity insurance (verksamhetsförsäkring) that the government agency has with the Legal, Financial and Administrative Services Agency.

Recommendations

In order to regulate the use of research infrastructures and ensure a safe work environment and safe use of the infrastructure, the aspects listed below should be included in regulations or other terms and conditions governing the infrastructure:

All staff, students or external users involved in the use of the research infrastructure, when they are physically present there, must comply with the occupation health and safety, work environment and other rules and regulations applicable at the research infrastructure and under relevant Swedish law. In addition, they must comply with the technical standards issued by the host organisation.
It may be necessary to specifically regulate in contract the shared responsibility for the work environment.
Requirements and conditions such as training in the use of instruments, occupational health and safety, radiation protection, chemicals management, cleanroom behaviour, and other relevant areas should be established. This may include requirements for individuals to consent to general administrative regulations/equivalent (booking/logging/risk management, etc.).
Annual risk analyses should be carried out to identify risks and take appropriate measures to limit risks and prevent damage or losses.
In the event of changes in the rules and terms and conditions for access to the research infrastructure, a study should be conducted to assess how this might affect the HEI’s insurance with the Legal, Financial and Administrative Services Agency.

1.6 Insurance

By regulating insurance matters and limits on liability, host organisations and external users alike can ensure that they are protected and that any risks are adequately managed. This helps to ensure a safe and efficient use of the research infrastructure for both employees and external users.

The host organisation should clarify its limits on liabilities for damage/injuries that may arise during external users’ use of the research infrastructure. It may also be necessary to include provisos concerning specific situations, for example if an experiment does not produce the expected results or if an infringement of intellectual property rights occurs. In addition, the host organisation may include a clause that releases it from liability for any interruptions in the availability of the research infrastructure (force majeure clause).

As part of the insurance procedures/process, the host organisation must ensure that the external user has taken note of the limits on liability that apply, and that the user is responsible for having adequate insurance to cover any risks and damage/injuries that may arise from the use of the research infrastructure, both on site and remotely.

For public-sector HEIs, it is the Legal, Financial and Administrative Services Agency that insures the activity, students, foreign visitors and government agency employees. An activity insurance policy (verksamhetsförsäkring) covers property, consequential damage and liability with annual insurance terms and premiums. Each research infrastructure is recommended to contact the person who is responsible for activity insurance within their organisation to review the terms and conditions as well as any needs, and the terms and conditions, for additional cover (for property held abroad, for cash, valuables and financial assets, for artworks owned by the organisation, for museum objects housed within the government agency/organisation, property not owned by the government agency/organisation, and for artworks on loan). In addition to the regular activity insurance, there are also special insurance policies for forests, ships, aircraft owned or used by the government agency on behalf of central government, as well as consultant liability insurance if the government agency has taken on such an assignment.

For visitors and experiment and test subjects who participate in the HEI’s activities, various insurance solutions are available through the Legal, Financial and Administrative Services Agency’s insurance terms and conditions, including for foreign visitors (FUB) for whom a government agency has an insurance responsibility, visitors (with Swedish personal identity numbers) who participate in the activity or as experiment and test subjects (in particular personal injury protection). Which insurance must be taken out to cover participants in research as experiment and test subjects needs to be investigated.

It is also important to regulate other aspects of limits of liability, which may include:

Liability for loss or damage caused by a material breach of any provision governing access to the research infrastructure and/or through gross negligence or an intentional act or omission.
That this liability does not cover compensation for indirect losses or consequential damage including, but not limited to, loss resulting from punitive or liquidated damages, loss of profit, loss of income, loss of contract, loss resulting from an inability to use the results as intended, loss resulting from a fall in sales or stoppage in production, or any similar loss or damage. The entire liability for damages may be limited to a specific value of a project or to a specified amount.
The external user is fully responsible for any injuries to their own employees.
The external user is responsible for all costs associated with the transport of equipment, instruments, etc., from their facilities to the research infrastructure. Transport should be per DDP Incoterm (with the relevant year indicated).
Liability for damage caused by gross negligence or an intentional act, with the exception of limits of liability in specific situations and clarification that the external user is liable for damage/injuries and transport costs related to their own employees.

Recommendations

Before an external user is granted access to a research infrastructure, the host organisation should require proof that the user has the necessary insurance to cover any damage/injuries or accidents that may occur. These insurance terms should include at least the following:

Liability insurance covering any damage caused during the use of the research infrastructure.
Property insurance covering any damage or loss of equipment if the external user brings their own equipment to the research infrastructure.
Accident insurance covering any personal injury that may occur during the use of the research infrastructure.