REF2029 AND OPEN ACCESS: A GUIDE TO THE CURRENT PROPOSALS FOR PUBLICATIONS

The four UK higher education funding bodies are currently planning the terms of the next Research Excellence Framework (REF) which is due to conclude in 2029.

Earlier this month, REF announced a consultation relating to its Open Access Policy. The policy sets out the open access requirements for eligible publications (or ‘outputs’) which will comprise 50% of a department’s submission to the next exercise.

For the last exercise, REF2021, the open access requirement was restricted to journal articles. The 2029 policy extends the scope to include longform publications in the form of monographs, edited collections, book chapters and scholarly editions. The policy also amends the open access requirements for eligible journal articles.

The consultation, launched on 18 March, invites responses with the aim of gathering a ‘deeper understanding of sector perspectives on key issues and impacts in relation to our policy proposals.’ The consultation runs until 17 June after which those planning the next exercise ‘will develop and implement the final REF 2029 Open Access Policy’, with the final terms expected in the ‘summer or autumn of 2024’.

Though trailed since 2016, the proposed inclusion of longform publications in REF2029 is a major development, of particular importance for humanities disciplines including history. As the UK’s foremost learned society for history and historians, the Royal Historical Society is currently reviewing the proposals, and discussing their potential impact with other subject specialist organisations, prior to submitting a formal response.

This post begins that process by providing, first, a summary of the key points of the REF2029 open access policy. The concepts and language surrounding open access are often specific and technical. We therefore hope the opening section of this post provides a concise overview of the scope and terms of the proposals, with links to further reading.

This is followed in Part Two with an initial set of concerns and questions about the policy which the Society will be developing in its response. This, in turn, will be shared on the RHS website in June. The post concludes with a Glossary of selected terms, which are marked (*) in the post.

1. REF2029’s OPEN ACCESS POLICY: KEY ELEMENTS

An overview of the policy is available from the REF* website, ‘Research Excellence Framework 2029 open access consultation’, which provides an overview of the scope and terms of the proposal. Two additional documents, available via the UK Research & Innovation (UKRI*) website, provide further details on:

• comparisons between the Open Access Policy for REF 2021 and that proposed for 2029 for articles and longform publications.
• the questions on which REF seeks a response from ‘any organisation, group or individual with an interest in research or scholarly publishing.’ This question form also provides additional information on the policy.

Responses to the proposals should be submitted via this link.

1.1. LONGFORM PUBLICATIONS

What kinds of publications are required to be open access* to be eligible for REF2029? In-scope longform publications for REF 2029 currently include: ‘published books (REF 2021 output type A), book chapters (REF 2021 output type B), edited books (REF 2021 output type C), and scholarly editions (REF 2021 output type R)’. REF2021’s definitions of these types are available here.

What’s the timetable for this? REF’s policy will affect longform publications for which a contract (‘publication agreement’) is signed on or after 1 January 2026, and which are then published after 1 January 2026 and before ‘autumn 2028’ which is the end of the submission phase in REF’s current timetable. Publications for which a contract has been signed before 1 January 2026 are not required to be open access to qualify for REF2029. If the timetable for REF2029 changes, it is possible that the submission deadline may move back from the current one of autumn 2028.

What does open access mean in this context? There are two routes by which a longform publication may qualify as open access:

• immediately on publication; here the publisher releases the work in an online version which is free to access and use in line with an agreed Creative Commons* licence.

This route invariably involves payment of a fee (a Book Processing Charge* or BPC) to the publisher to provide this service. BPCs vary but an average fee is c.£10,000 per book. For individual books, the BPC will need to be provided by the author either via their institution or another means.

Other options for immediate publication include Diamond* Open Access publishing models. These do not charge BPCs; instead, book production costs are covered by community-led initiatives such as library consortia or not-for-profit presses run by academics or an institution.

• online, via a repository*, no more than 24 months after publication of the work as a traditional print and/or e-book. Authors and publishers will be required to submit either the Version of Record* (VoR) or the Author’s Accepted Manuscript* (AAM) to be fully searchable, accessible and downloadable—in line with an agreed Creative Commons licence—from an open repository which REF defines as a ‘publisher website, repository or other appropriate platform.’

The proposed embargo* period for REF2029 is based on the following reasoning: ‘most sales occur within the first two years post-publication, [therefore] the four UK higher education funding bodies propose that a maximum embargo period of 24 months should be applicable where this is a contractual requirement of the publisher.’

What about licenses? Open access publications appear under a Creative Commons* license which determines how readers / re-users of a work may use the text. For longform publications, the REF2029 preference is that authors and publishers choose the licence CC-BY which enables ‘re-users to distribute, remix, adapt, and build upon the material in any medium or format, so long as attribution is given to the creator. The license allows for commercial use’. However, REF2029 will also permit use of the following three licenses:

• CC-BY-ND: enabling ‘re-users to copy and distribute the material in any medium or format in unadapted form only, and only so long as attribution is given to the creator. This license allows for commercial use.’
• CC-BY-NC: enabling ‘re-users to distribute, remix, adapt, and build upon the material in any medium or format for non-commercial purposes only, and only so long as attribution is given to the creator.’
• CC-BY-NC-ND enabling ‘re-users to copy and distribute the material in any medium or format in unadapted form only, for non-commercial purposes only, and only so long as attribution is given to the creator.’

For more on Creative Commons licenses, please see here.

What about trade books? The original REF OA announcement made no mention of trade books. On 19 March, REF issued an update confirming that trade books will be exempt from the policy and added an extra section to their guidelines.

• What is a trade book? The REF2029 guidelines define longform trade publications as ‘an academic monograph or edited collection rooted in original scholarship that has a broad public audience.’ Further details of how this may be evaluated are provided on the REF website. The decision on whether a book is, or is not, trade rests with the author.
• Why are trade books exempt? REF states that trade books are exempt for ‘considerations of author’s interests and income’.

In addition, the REF2029 policy seeks to align with UKRI’s existing mandate on open access for publications based on research that UKRI funds via the four higher education funding bodies. As the policy states: ‘UKRI open access compliant publications will be considered to meet the REF 2029 open access requirements without additional action from the author or institution.’

UKRI’s OA requirements for longform publications came into effect on 1 January 2024. UKRI requirements exempt the following forms of longform works: trade books (‘unless they are the only output from UKRI-funded research’); scholarly editions; exhibition catalogues; scholarly illustrated catalogues; text books, and creative writing.

What about longform publications which include third-party content (e.g. images)? The REF2029 policy provides a listing of exemptions when third party-content is involved. This includes works where ‘reuse permissions for third-party materials cannot be obtained and there is no suitable alternative option available to enable open access publication.’

What are the other permitted exemptions? The policy includes a range of exemptions for selected longform titles. Full details are available via the REF2029 website. In addition to those mentioned above, these exemptions include:

• 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.
• 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.
• the publication concerned requires an embargo period that exceeds the stated maxima and was the most appropriate publication for the output.

What about non-compliance? The REF proposals state a 10% threshold for non-compliance for eligible titles.

How do these proposals for longform publications differ from REF2021? Open access requirements for REF2021 did not include longform publications of any kind. A detailed comparison of requirements for REF201 and REF2029 is available here.

1.2. JOURNAL ARTICLES

Unlike longform publications, journal articles and conference proceedings were included in REF2021’s open access mandate. The proposals for REF2029 amend these requirements, with reference to the duration of the embargo period (before an article which is not immediately available OA should be made so via a repository), and the Creative Commons licences required. A full comparison of the requirements for REF2021 and those proposed for REF2029, for journal articles, is available here.

What are the principal amendments for being proposed for REF2029?

• Embargo period: for articles that are not immediately open access, authors and publishers will be required to make available, via an appropriate platform, either the Author Accepted Manuscript or Version of Record.

For REF2021, the maximum embargo period (for authors submitting in Panel D, which includes History) was 24 months. For REF2029, this has been reduced to 12 months between article publication and its availability via a repository.

• Licenses: for REF2021, CC-BY was the preferred licence with the option of CC-BY-ND-NC. For REF2029, the preference remains CC-BY, while the permitted alternative has changed to CC-BY-ND: that is, ‘to copy and distribute the material in any medium or format in unadapted form only, and only so long as attribution is given to the creator. This license allows for commercial use.’

What are exemptions for in-scope journal articles proposed for REF2029? For a listing of exemptions, please see the REF website.

2. QUESTIONS AND CONCERNS

The Royal Historical Society is looking carefully at the proposals for REF2029’s open access policy, with particular attention on the terms, implications and unintended consequences of the inclusion of longform publications. In the coming weeks, the Society will be discussing the proposals and formulating its response in consultation with its membership and other subject specialist organisations.

At this stage, the Society has identified the following questions and concerns with the policy:

2.1. Following the update on trade books, what is the situation for scholarly editions and other formats including exhibition catalogues and text books? These are exempt under UKRI mandates for research-funded longform publications (active from 1 January 2024), but are currently in-scope for REF2029. This is despite UKRI OA compliant publications being ‘considered to meet the REF 2029 open access requirements without additional action from the author or institution.’

2.2. What are the implications for those who publish with non-UK-based publishers in countries where open access mandates are less prevalent? Will publication with these publishers be permitted under the exception ‘where the only appropriate publisher, after liaison and consideration, is unable to offer an open access option that complies with the REF policy’? How will ‘appropriate’ be determined when a book could potentially be published by more than publisher? What too are the implications for recruiting non-UK historians who have published with non-UK-based publishers?

2.3. How will UK academic publishers respond to these proposals? The claim that longform sales are virtually complete within 24 months is, for history and the humanities, a bold one. The REF29 proposals make no reference to paperback editions or second and subsequent editions of a work.

2.4. What funding structures (if any) exist to enable authors to publish longform works as immediate open access, unless they are part of a scheme where BPCs are already covered? It’s likely that only the wealthiest universities will be able to provide funds of this kind, and then to a limited number of staff; likewise, those universities with their own open access Press, where fees are waived for home staff.

This has the potential to create a two-tier approach to open access publishing: i. limited immediate open access for a select few, and ii. the AAM or VoR route as the only option for the majority. It is notable, under the UKRI scheme, that recipients of research council funding are now able to apply for funds to create immediate open access versions of longform publications. However, this allocation per book is itself insufficient to cover many publishers’ BPCs.

2.5. Where might institutional support for immediate open access come from? We are concerned that QR* funding derived from REF2021 (the allocation of which is already often opaque) will in future be directed by universities to support open access publishing costs rather than new research.

2.6. What will be the value of making AAM or VoR versions of longform works available? For authors and readers in history and the humanities, the clarity and structure of final publication formats are essential requirements of a title’s value. These are not assured or necessarily consistent in deposited versions.

2.7. Even if the repository route is followed, what are the costs of this and who will pay? For REF2021, 1,487 authored books were submitted, along with 207 edited collections and 665 book chapters (comprising 54% of all outputs). Online deposit of longform content will therefore place considerable new demands on platform capacity and administration, along with the costs of these for future REF exercises.

2.8. What are the EDI implications of this policy? The Society is concerned that compliance with REF2029’s open access proposals will further exacerbate inequalities within the profession. For example, early career historians are likely to have less access to available institutional funding. Historians at this career stage also have fewer opportunities to delay the publication of a monograph until after the close of the REF2029 submission period.

2.9. What are the long-term implications of this policy? Eligible longform titles will be those for which a contract has been signed after 1 January 2026 and published between this date and the close of REF2029 submissions (currently autumn 2028).

Longform submissions for REF2029 will therefore take a number of forms: non-OA books with contracts before 1 January 2026; non-OA books that are exempt, and OA books that fall within the proposed terms and timetable. The implications of these proposals will likely have far greater impact on any REF cycle that follows that of 2029. While focusing on REF2029, it is also important to think through the consequences of these proposals for later exercises, given funding bodies’ recent trend to extend the scope of open access for each new cycle.

If you would like to raise other questions and concerns in addition to this initial list, please send your comments to administration@royalhistsoc.org for consideration by the Society.

3. GLOSSARY OF SELECTED TERMS 

AAM (Author Accepted Manuscript): the version of a scholarly article or longform publication that has been accepted for publication but has not yet been copy-edited or formatted by the publisher.

BPC (Book Processing Charge): A charge levied by a publisher to enable the ‘Version of Record’ (see below) to be published with full and immediate open access.

CC-BY: a Creative Commons licence that stipulates ‘Licensees may copy, distribute, display and perform the work and make derivative works and remixes based on it only if they give the author or licensor the credits (attribution) in the manner specified by these.’

CC-BY-NC: A Creative Commons licence by which ‘Licensees may copy, distribute, display, and perform the work and make derivative works and remixes based on it only for non-commercial purposes.’

CC-BY-ND: a Creative Commons licence by which ‘Licensees may copy, distribute, display and perform only verbatim copies of the work, not derivative works and remixes based on it.’

CC-BY-NC-ND: a Creative Commons licence by which ‘Licensees may copy and distribute the material in any medium or format in unadapted form only, for non-commercial purposes only, and only so long as attribution is given to the creator.’

Diamond Open Access: enables immediate open access publication for articles and longform works without processing charges being levied on the author. Diamond publishing is not-for-profit and community led, for example through library consortia. It is also relatively focused in its scope and cannot easily be called up to address increases in demand.

Embargo: the period between publication of an article or longform work and the release of either the Version of Record or the Author Accepted Manuscript deposited in a repository.

OA (Open Access): OA publication entails access to digital versions of scholarly articles and books that are freely available to the reader without payment of a subscription or other access fee. Open Access, once established, exists in perpetuity; it is therefore distinct from making titles free or free to access for a time-limited period.

Quality-Related Research (QR) funding: is funding for research, distributed to universities for participating departments, informed by the outcomes of the previous Research Excellence Framework (REF).

REF (Research Excellence Framework): the current evaluation system for assessing research in UK Higher Education institutions. It was first conducted in 2014 and again in 2021. The REF is undertaken by a dedicated team on behalf of, and reporting to, the four UK higher education funding bodies: Research England, the Scottish Funding Council, the Higher Education Funding Council for Wales, and the Department for the Economy, Northern Ireland.

Repository: an online repository, typically funded and maintained by a university, publisher, or other research organisation (or, in the case of the Wellcome Trust, by a funder) that is designed to hold and give access to research outputs. Some content in repositories is made available by full and immediate open access. Other content is held for a period or indefinitely under an embargo.

UKRI (UK Research and Innovation): the overarching body responsible for government research strategy and funding for universities (among other research organisations) in the UK.

VoR (Version of Record): the official version of a research output (for example, a scholarly article or longform publication). Typically, the VoR has been copy-edited, corrected, typeset, proofed by the publisher and author and published in a format that allows future citation, with stable pagination.

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