Change log – Section 8 – Code of Practice guidance

Originally published: 12 June 2025

Section 8 – Code of Practice guidance shows the latest version of the policy. Any changes made since the initial publication are detailed below.

Content

Introduction
1. Overview
4. CoP guidance publication and approval schedule
7. Audit and assurance
11. Guidance for output elements of the CoP
12. CoP structure
13. Key requirements for REF 2029 Code of Practice
14. CoP template

Introduction

Paragraph number: Intro text
Updated on: 12 June 2025
Original content: All REF 2029 guidance will be formally finalised in 2026 and therefore guidance modules may be subject to small revisions in the interim. Every effort will be made to minimise changes to the published guidance modules.
Updated content: REF 2029 guidance will be formally finalised in 2026 and therefore guidance modules may be subject to small revisions in the interim.

1. Overview

Paragraph number: 1.0.1.
Updated on: 12 June 2025
Original content: A Code of Practice (CoP) is a requirement for REF 2029. It sets a minimum standard for participation. Higher Education Institutions (HEIs) wishing to make a submission to the exercise must have a CoP approved by the funding bodies. The four UK funding bodies have provided their definitions of an HEI for the purposes of the REF in section 1 of the Overview of the assessment framework.
Updated content: A Code of Practice (CoP) is a requirement for REF 2029. It sets a minimum standard for participation. Higher Education Institutions (HEIs) wishing to make a submission to the exercise must have a CoP approved by the funding bodies. The definition of an HEI for the purposes of the REF is set out in section 1 of the Overview of the assessment framework.

Paragraph number: 1.0.2.
Updated on: 12 June 2025
Original content: The REF 2029 CoP are a set of guidelines and procedures that HEIs must develop and implement. The CoP outlines how HEIs will make key decisions about their submission to the exercise. These decisions concern identifying contracts that contribute to the REF volume measure, and selecting research outputs for submission to the REF. More information about the REF volume measure can be found in the Volume Measure guidance.
Updated content: The REF 2029 CoP are a set of guidelines and procedures that HEIs must develop and implement. The CoP outlines how HEIs will make key decisions about their submission to the exercise. These decisions concern identifying contracts that contribute to the REF volume measure, and selecting research outputs for submission to the REF. More information about the REF volume measure and Contributions to Knowledge and Understanding modules can be found in the associated guidance.

4. CoP guidance publication and approval schedule

Paragraph number: 4.0.1.
Updated on: 12 June 2025
Original content: This CoP guidance will be published in modules, making it available as soon as possible. The publication and approval schedule is:

CoP Volume Measure guidance – published January 2025

CoP Output Selection guidance – to be published Spring/Summer 2025

CoP submission points:
28 July 2025 to midday 1 Aug 2025
29 Sep 2025 to midday 3 Oct 2025
1 Dec 2025 to midday 5 Dec 2025

2 Feb 2026 to midday 6 Feb 2026

Final approvals: 29 May 2026
Updated content: This CoP guidance will be published in modules, making it available as soon as possible. The publication and approval schedule is:

CoP Volume Measure guidance – published January 2025

CoP CKU guidance – published June 2025

CoP Submission points:

28 July 2025 to midday 1 Aug 2025

29 Sep 2025 to midday 3 Oct 2025

1 Dec 2025 to midday 5 Dec 2025

2 Feb 2026 to midday 6 Feb 2026

Final approvals: 29 May 2026

7. Audit and assurance

Paragraph number: 7.0.1.
Updated on: 12 June 2025
Original content: This section (Section 7, Audit and assurance) will be updated as the REF exercise continues.
Updated content: The full audit guidance for REF 2029 is under development and may be subject to change. It will provide full details of measures employed to assure adherence to CoP. These are expected to include:

Paragraph number: 7.0.2. – deleted
Updated on: 12 June 2025
Original content: The full audit guidance for REF 2029 is under development and may be subject to change. It will provide full details of measures employed to assure adherence to CoP.
Updated content: n/a

Paragraph number: 7.2.1.
Updated on: 12 June 2025
Original content: The funding bodies will provide a complaints and investigations process for when individuals believe CoP have not been followed. The complaints and investigations process will have scope to take corrective actions on submissions.
Updated content: The funding bodies will establish a complaints and investigations process for when individuals believe CoP have not been followed. The complaints and investigations process will have scope to take corrective actions on submissions.

11. Guidance for output elements of the CoP

Paragraph number: 11.0.1. to 11.0.5. and 11.1.1.
Updated on: 12 June 2025
Original content: This is a new section that was added on the date above. All subsequent sections were re-numbered.
Updated content: See Section 11

12. CoP structure

Paragraph number: CoP structure sub-section
Updated on: 12 June 2025
Original content: Originally sub-section 11
Updated content: Now sub-section 12

Paragraph number: 12.1.1. (previously 11.1.1.)
Updated on: 12 June 2025
Original content: The introduction should discuss the CoP in the context of the following principles:

Robustness: explain how the policies and processes set out in the CoP ensure that contracts identified as contributing to the volume measure reliably reflect the responsibilities of staff.

Transparency: explain how policies and processes set out in the CoP will be communicated and available to all staff and made available in accessible formats. CoP should be published on HEIs external website.

Equity and inclusion: explain how decisions about submissions are fair and impartial supporting a diversity of people and research, where diverse contributions are valued and supported.
Updated content: The introduction should discuss the CoP in the context of the principles of robustness, transparency and equity and inclusion as defined in the overview section of this guidance. In particular:

Robustness: explain how the policies and processes set out in the CoP ensure that contracts identified as contributing to the volume measure reliably reflect the responsibilities of staff and how robust decisions will be made for selecting outputs.

Transparency: explain how policies and processes set out in the CoP will be communicated and available to all staff and made available in accessible formats. CoP should be published on HEIs external website. CoP should be clear as to how decisions are made.

Equity and inclusion: explain how decisions about submissions are fair and impartial supporting a diversity of roles (including, career stages), people and research and how diverse individuals and research contributions are valued and supported in submissions.

Paragraph number: 12.1.2. (previously 11.1.2.)
Updated on: 12 June 2025
Original content: The HEI’s challenges for an inclusive research community and other institutional policies concerning equality and diversity and inclusion, responsible research assessment and people culture and environment.
Updated content: An outline of the HEI’s challenges for an inclusive research community and other institutional policies concerning equality and diversity and inclusion, responsible research assessment and people culture and environment.

Paragraph number: 12.3.1. (previously 11.3.1.)
Updated on: 12 June 2025
Original content: These are the policies and procedures for identifying research independence for ‘Research only’ (ACEMPFUN 2) contracts, in accordance with the REF guidance.
Updated content: These are the policies and procedures for identifying research independence for ‘Research only’ (ACEMPFUN 2) contracts, in accordance with the REF guidance. All participating institutions are required to complete this section.

Paragraph number: 12.3.2. (previously 11.3.2.)
Updated on: 12 June 2025
Original content: All participating institutions are required to complete this section.
Updated content: The code of practice should describe the fair and transparent processes for determining research independence.

Paragraph number: 12.3.3. (previously 11.3.3.)
Updated on: 12 June 2025
Original content: The code of practice should describe the fair and transparent processes for determining research independence.
Updated content: The code of practice should also describe how data quality relating to research independence is assured, and the processes through which staff can flag inaccuracies in the data that is returned to the HESA Staff record.

Paragraph number: 12.4.
Updated on: 12 June 2025
Original content: n/a
Updated content: New sub-section added:

Policies and procedures for the selection of outputs for submission

Paragraph number: 12.5.
Updated on: 12 June 2025
Original content: n/a
Updated content: New sub-section added:

Policies and procedures for identifying substantive link to outputs

Paragraph number: 12.6.
Updated on: 12 June 2025
Original content: n/a
Updated content: New sub-section added:

Policies and procedures for selecting outputs where the substantive link is via former staff

Paragraph number: 12.7.
Updated on: 12 June 2025
Original content: n/a
Updated content: New sub-section added:

Policies and Procedures for assigning outputs to UoA(s)

Paragraph number: 12.8.
Updated on: 12 June 2025
Original content: n/a
Updated content: New sub-section added:

Procedures for supporting diversity of outputs

Paragraph number: 12.9.
Updated on: 12 June 2025
Original content: n/a
Updated content: New sub-section added:

Procedures for ensuring submissions are representative of the research undertaken within the submitting unit during the REF period

Paragraph number: 12.10.
Updated on: 12 June 2025
Original content: n/a
Updated content: New sub-section added:

Policies and procedures and responsible research assessment practice

Paragraph number: 12.11. (previously 11.4)
Updated on: 12 June 2025
Original content: This was 11.4. Referenced appendices
Updated content: This has now changed to 12.11. but the content has remained the same

13. Key requirements for REF 2029 Code of Practice

Paragraph number: Key requirements for REF 2029 Code of Practice
Updated on: 12 June 2025
Original content: This was originally 12
Updated content: This has been changed to 13

Paragraph number: 13.1.1. (previously 12.1.1.)
Updated on: 12 June 2025
Original content: The CoP must outline the policies and procedures that the HEI will follow for identifying significant responsibility for research and research independence.
Updated content: The CoP must outline the policies and procedures that the HEI will follow for identifying significant responsibility for research, research independence and selection of outputs.

Paragraph number: 13.1.3. (previously 12.1.3)
Updated on: 12 June 2025
Original content: Processes established to identify significant responsibility for research must be consulted on with staff, with appropriate staff representation mechanisms, but HEIs are not required to describe the processes used.
Updated content: Processes established to identify significant responsibility for research, research independence, and selection of outputs must be consulted on with staff, with appropriate staff representation mechanisms, but HEIs are not required to describe the processes used.

Paragraph number: 13.2.3. (previously 12.2.3.)
Updated on: 12 June 2025
Original content: For each committee with designated REF responsibilities (at any level – departmental, faculty, UoA, or central), you must detail in the CoP:

the roles of committee members

responsibilities (advisory or decision-making) regarding SRR or research independence determination

steps taken to ensure members understand their legal obligations regarding equality, including any relevant training
Updated content: For each committee with designated REF responsibilities (at any level – departmental, faculty, UoA, or central), you must detail in the CoP:

the roles of committee members

responsibilities, (advisory or decision-making), regarding SRR , research independence and selection of outputs determinations or policies

steps taken to ensure members understand their legal obligations regarding equality, including any relevant training

Paragraph number: 13.3.1. (new paragraph added)
Updated on: 12 June 2025
Original content: n/a – this is a new paragraph
Updated content: Further guidance on conducting and EIA in REF 2029 has been developed. The guidance includes information about the relevant equalities legislation.

Paragraph number: 13.3.2., (previously 12.3.1.)
Updated on: 12 June 2025
Original content: Mandatory EIA

Funding bodies require all HEIs to conduct EIAs on their policies and practices for:

identifying staff contracts with significant responsibility for research (where applicable)

determining research independence

EIAs should be informed through engaging, consulting, or involving staff from protected groups.

EIAs will be required for the selection of outputs. More information about EIAs for the selection of outputs will be published in a subsequent policy module.
Updated content: Mandatory EIA

Funding bodies require all HEIs to conduct EIAs on their policies and practices for:

identifying staff contracts with significant responsibility for research (where applicable)

determining research independence

allocating eligible contracts to UoAs

selection of outputs (including identifying substantive link, allocating outputs to UoA and ensuring that submissions are representative)

EIAs should be informed through engaging, consulting, or involving staff from protected groups

Paragraph number: 13.3.3. (previously 12.3.2.)
Updated on: 12 June 2025
Original content: Analysis

The EIA must be a systematic analysis to determine if policies/practices might have a different impact on groups based on protected characteristics. EIAs may also cover non-protected characteristics where particularly appropriate to its context for improving research inclusivity.

EIAs should analyse data for all protected characteristics where available and compare between volume contributing and non-volume contributing populations.

When dealing with small numbers that can significantly affect percentages in statistical data, EIAs should acknowledge this and highlight instances with a notable impact on specific groups.

Consider the overall combined impact of policies/practices related to identifying volume contributing contracts.

HEIs can use mock exercises and information from previous REFs to inform their EIA, identifying potential barriers and opportunities.

Institutions in Wales must ensure that the EIA considers how the Welsh language is not treated any less favourably than the English language.
Updated content: Analysis

The EIA must be a systematic analysis to determine if policies/practices might have a different impact on groups based on protected characteristics. EIAs may also cover non-protected characteristics where particularly appropriate to its context for improving research inclusivity.

EIAs should analyse data for all protected characteristics where available and compare between volume contributing and non-volume contributing populations.

When dealing with small numbers that can significantly affect percentages in statistical data, EIAs should acknowledge this and highlight instances with a notable impact on specific groups.

Consider the overall combined impact of policies/practices related to identifying volume contributing contracts.

Consider the overall combined impact of policies/practices related to the selection of outputs, including the procedures for ensuring representative submissions.

HEIs may use mock exercises and information from previous REFs to inform their EIA, identifying potential barriers and opportunities.

Institutions must ensure that the EIA considers how outputs in British Sign Language (BSL) and Welsh are not treated less favourably than those in English, in line with the legal status of these official languages. Outputs in other recognised languages such as Scottish Gaelic, Scots, Ulster Scots, Irish and Irish Sign Language, the EIA should consider how the language is treated in accordance with the relevant legislative provisions that promote and protect their use. This includes outputs developed in collaboration with institutions elsewhere in the UK, where the legal recognition of languages may differ.

Paragraph number: 13.3.4. (previously 12.3.3.)
Updated on: 12 June 2025
Original content: EIAs should inform the CoP, therefore

EIAs should be reviewed during submission preparation.

The CoP should clearly state the EIA findings and how the analysis shaped the final policies and procedures.

Completed EIAs should be included in the CoP appendices. Care should be taken to ensure that the identities of individuals are not inadvertently disclosed.
Updated content: EIAs should inform the CoP, therefore

EIAs should be reviewed during submission preparation and be available to all staff representatives included in the CoP outline of advisory and decision-making bodies.

The CoP should clearly state the EIA findings and how the analysis shaped the final policies and procedures.

Completed EIAs should be included in the CoP appendices. Care should be taken to ensure that the identities of individuals are not disclosed.

Paragraph number: 13.3.5. (previously 12.3.4.)
Updated on: 12 June 2025
Original content: Identifying discrimination and opportunities

EIAs help HEIs identify potential inadvertent discrimination in REF processes and pinpoint policies/practices with a positive impact or opportunities to advance equality.

If potential discrimination is found, HEIs must take action to change the policy/practice or justify retaining it within legal constraints.

If a policy/practice has a positive impact, HEIs can consider applying it to other REF areas.

Identified opportunities to advance equality should be seriously considered for implementation.
Updated content: Identifying discrimination and opportunities

EIAs help HEIs identify potential direct or indirect discrimination in REF processes and should identify and highlight policies or practices that have a positive impact on, or provide opportunities to, advance equality of opportunities and/or eliminate discrimination — in line with an HEI’s responsibilities under the Public Sector Equality Duty (in England, Scotland, and Wales) or Section 75 of the Northern Ireland Act 1998.

If potential discrimination is found, HEIs must take action to change the policy/practice or justify retaining it within legal constraints.

If a policy/practice has a positive impact, HEIs can consider applying it to other REF areas.

Identified opportunities to advance equality should be seriously considered for implementation.

Paragraph number: 13.4.1. (previously 12.4.1.)
Updated on: 12 June 2025
Original content: Institutions should provide sufficient opportunity for staff to appeal decisions about significant responsibility for research and research independence. Appeal mechanisms should be independent of the original decisions and be made clearly available to staff in a timely fashion.
Updated content: Institutions must provide sufficient opportunity for staff to query or appeal decisions about significant responsibility for research and research independence.

Paragraph number: 13.4.2. (previously 12.4.2.)
Updated on: 12 June 2025
Original content: The funding bodies generally expect this to be through existing mechanisms tied into workload allocation and appraisals, where those mechanisms meet these requirements.
Updated content: A query or appeals process is not necessary in cases where the individual’s job description at the time of appointment, or where there has been no change in expectation, explicitly states a primary purpose of supporting the research of others or carrying out another’s research plan, such as can be the case with Research Assistants.

Paragraph number: 13.4.3. (previously 12.4.3.)
Updated on: 12 June 2025
Original content: n/a – this is a new paragraph
Updated content: Where there has been change to the expectation of the role through promotion, progression, researching opportunities or change of contract that substantively alters the nature of their research responsibilities, institutions should consider whether an appeals mechanism is appropriate.

Paragraph number: 13.4.4. (previously 12.4.4.)
Updated on: 12 June 2025
Original content: n/a – this is a new paragraph
Updated content: Appeal mechanisms should be independent of the original decisions and be made clearly available to staff in a timely fashion. The funding bodies generally expect this to be through existing mechanisms tied into workload allocation and appraisals, where those mechanisms meet these requirements, but acknowledge alternative arrangements may need to be made.

Paragraph number: 13.5.1.
Updated on: 12 June 2025
Original content: n/a – this is a new paragraph
Updated content: Joint and multiple submissions will continue to be supported in REF 2029, full policy and process will be published in due course.

Paragraph number: 13.5.2.. to 13.5.4., (previously 13.5.1. to 13.5.3.)
Updated on: 12 June 2025
Original content: n/a
Updated content: n/a: the content of these paragraphs has not changed.
Each paragraph number has increased by 1 as paragraph 13.5.1. has been added above them.

Paragraph number: 13.6.1. (previously 12.6.1.)
Updated on: 12 June 2025
Original content: Formal complaint mechanism: the funding bodies will establish a process for individuals to make formal complaints if they believe an institution is not following its approved CoP. Complaints cannot challenge the adequacy of the approved CoP itself. Remedial action will be taken for upheld complaints.
Updated content: Formal complaint mechanism: the funding bodies will establish a process for individuals to make formal complaints if they believe an institution is not following its approved CoP. The complaints process will include a requirement (where appropriate) to take corrective actions on submissions where a complaint is upheld.

14. CoP template

Paragraph number: CoP template
Updated on: 12 June 2025
Original content: This was originally 13
Updated content: This has been changed to 14

Paragraph number: CoP template
Updated on: 12 June 2025
Original content: n/a
Updated content: A new version of the template was published