Research Excellence Framework 2029 open access consultation

Allowable exceptions proposed for the journal articles and conference proceedings are:

• third-party content was included for which licenses could not be obtained
• outputs were authored in whole by one or more non-volume contributing staff prior to implementation of the open access policy for REF 2029
• criteria beyond the control of the higher education institution (HEI) (such as personal circumstances of the author, industrial action, closure days and software issues)
• output has a demonstrable and substantive connection to the submitting institution but was published following the end of the author’s period of employment, and it has not been possible to determine compliance with the criteria
• it would be unlawful to deposit, or request the deposit of, the output or to otherwise make this available
• the publication concerned requires an embargo period that exceeds the stated maxima and was the most appropriate publication for the output

For submission of in-scope longform publications for REF 2029, the four UK higher education funding bodies propose the following requirements:

• if not published as immediately open-access, in-scope longform publications must be made available to freely read, download and search no longer than 24 months after the date of publication
• should be the version of record or the author’s accepted manuscript
• available on a publisher website, repository or other appropriate platform
• preferable licenced CC-BY, but will accept CC-BY-ND, CC-BY-NC and CC-BY-NC-ND
• there will be a tolerance band of 10% at unit submission level
• can exclude third party materials, if licensing can’t be obtained

• where the only appropriate publisher, after liaison and consideration, is unable to offer an open access option that complies with the REF policy
• reuse permissions for third-party materials cannot be obtained and there is no suitable alternative option available to enable open access publication
• outputs published before 1 January 2026
• outputs for which publication agreements were put in place before 1 January 2026
• output has a demonstrable and substantive connection to the submitting institution but was published following the end of the author’s period of employment, and it has not been possible to determine compliance with the criteria
• it would be unlawful to deposit, or request the deposit of, the output or to otherwise make this available
• the publication concerned requires an embargo period that exceeds the stated maxima and was the most appropriate publication for the output

There are considerations of author’s interests and income associated with publication of books drawing together the content of research and scholarship, but which are more accessible to a general readership (‘trade books’).

The UKRI open access policy defines a trade book as “an academic monograph or edited collection rooted in original scholarship that has a broad public audience”. Some considerations in identifying trade books may be:

• the intended audience for the publication is the broader public and not primarily an academic audience
• marketing activities that seek to reach a broad public readership
• sales and pricing models which may include large discounts to retailers
• breadth of distribution channels and networks to reach a broad public audience and not primarily via scholarly channels
• inclusion (or not) of additional scholarly materials such as appendices, citations, and footnotes
• inclusion of materials for marketability

Trade books are generally excluded from open access requirements. These represented circa 9% of longform outputs submitted to main panels C and D in REF 2014, for details see Open Access Monographs in the UK: A data analysis.

This exemption will also be applied for any requirement for REF 2029, as will be the case for creative works.

We take a considered, long-term approach to introducing significant policy changes to allow the sector to adapt.

REF 2021 allowed exceptions and set tolerance levels for open access journal submissions, and we signalled the likely direction of travel on this policy area for the current REF cycle.

We are taking the same long-term approach to the incorporation of longform outputs in scope for REF 2029. We recognise that the policy is likely to apply to a limited number of outputs due to:

• the short time between policy implementation and the final submission date
• longer lead times for publication compared to journal articles
• embargo periods
• application of exceptions and a generous tolerance band for policy non-compliance

We are setting a clear direction for the future.

HEIs should continue to apply the REF 2021 Open Access Policy until the final REF 2029 Open Access Policy is implemented.

In addition to outputs in scope of the proposed Open Access Policy, we strongly encourage submission of a wide range of output types, formats, and platforms. This includes:

• datasets
• reports
• physical objects
• recordings
• compositions
• designs
• software
• performances
• digital media

These outputs play a vital role in communicating, sharing, and enabling research and innovation.

The proposed open access policy aligns with wider attitudes and approaches to open access. This includes:

• UK Research and Innovation’s (UKRI) Open Access Policy
• wide-spread support for Coalition S
• funding conditions of charitable and other research funders

Additionally, engagement and consultation from Future Research Assessment Programme activities indicated a generally favourable view from individuals and institutions about the inclusion of open access requirements and support for open research.

UKRI open access compliant publications will be considered to meet the REF 2029 open access requirements without additional action from the author or institution.

The four UK higher education funding bodies are consulting to understand perspectives on the proposed REF 2029 Open Access Policy.

Your feedback will provide understanding of the policy strengths, as well as challenges to be taken into consideration. The consultation responses will be analysed and will inform the final policy.

The four UK higher education funding bodies will also be provided with responses from respondents based in their nation, where this is identifiable. Responses will be analysed, and the final REF 2029 Open Access Policy will be approved by the REF Steering Group.

Research England is running the consultation on behalf of the four UK higher education funding bodies.

Open access relates to and is a part of a wider whole of open research and a more open research culture.

There is an increased focus on the overall people, culture and environment (PCE) element of the REF for 2029.

It is important to note that this consultation is focussed narrowly on the determination of, and rules and requirements for, eligible outputs which are in scope of the open access requirements for submission.

This consultation and subsequent policy development does not focus more widely than this, but there may be other provisions relating to open research more broadly within the PCE element of the exercise.

Research England, which is undertaking this consultation on behalf of the four funding bodies, is subject to the Freedom of Information Act.

This gives a public right of access to any information held by a public authority. Responses to this consultation may be disclosed on request unless an exemption applies. For further information see the Information Commissioner’s Office website.