Open Access : Priority to apply when >1 exception is selected in OA monitor

Hi all


As discussed at the User Conference on Wednesday, we are planning to deliver the 'Open Access' tab on the REF2 form in the August 5.17 release (attached is a mockup of our intentions).  One thing it would be good to get the views of the community on is how to handle multiple exceptions.


The OA monitor enables multiple exceptions to be captured against each output in each applicable policy.  However, the REF submission will only accept a single value for OA status - one of:

  • Compliant
  • Not compliant
  • Deposit exception
  • Access exception
  • Technical exception
  • Other further exception
  • Out of scope
  • Exception within 3 months of publication

We intend to generate these values as per the attached mapping.


In terms of multiple exceptions, our plans are as follows:


Exceptions of the same type

If multiple exceptions of the same type are applied, these will 'merge' into a single REF OA status (e.g. if Deposit1 and Deposit5 are selected, this would return 'Deposit exception' in the REF submission.


Exceptions not of the same type

If multiple exceptions not of the same type are applied, we need to employ some logic to determine which value to return.  Our proposal is to prioritise the following exceptions if they are selected, in the following order (putting 'Other' at the bottom of the list as the number of 'Other' exceptions used will inform the risk score of the REF audit (see para 46(b)(i) of the Audit guidance)).

  • Exception within 3 months of publication
  • Deposit exception
  • Access exception
  • Technical exception
  • Other exception

So, if 'Exception within 3 months' and 'Other' is selected, we will return 'Exception within 3 months'.


Your feedback on these proposals would be most welcome.  Note that, as we intend to deliver this functionality in the upcoming release in August, speedy responses (if you have any concerns) would be great!


Many thanks!


Manya


1 Comment

On first read the suggested priority order looks fine to me.


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