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Regulation on Safeguarding Good Research Practice

(Adopted by the OET Shareholders on 27 March 2026)

Section 1 – Purpose and Scope​

  1. This Regulation safeguards good research practice within OET. It implements the 19 guidelines of the DfG Code of Conduct for Safeguarding Good Research Practice.
  2. It applies to all research activities conducted under the auspices of Open Energy Transition (OET), including publications, reports, analyses, software deliverables, and public outputs.
  3. Compliance is mandatory for all employees, contractors, and affiliates engaged in research or research-related dissemination.

Part I – Principles of Good Research Practice​

Section 2 – General Principles​

  1. Researchers shall conduct research lege artis, with honesty, transparency, and integrity in design, execution, documentation, and dissemination.
  2. Researchers shall critically assess their own and others’ work and engage responsibly with peer review and scholarly discourse.

Part II – Organisational Responsibility and Governance​

Section 3 – Responsibilities of Leadership​

  1. The CEO shall ensure an organisational structure that supports good research practice, including supervision standards and quality assurance.
  2. The Heads of Department shall define roles and responsibilities, ensure adequate supervision and opportunities for peer learning, and implement mechanisms to prevent abuse of power.

Part III – Research Conduct and Quality Assurance​

Section 4 – Research Design and Methods​

  1. Research shall be designed on a sound scientific basis, with appropriate methods and documented justification for choices made.
  2. The current state of research shall be reflected in project planning, including literature and prior work.

Section 5 – Documentation and Archiving​

  1. All research activities and results, including negative or inconclusive outcomes, shall be documented according to disciplinary norms.
  2. Primary data and materials underlying findings shall be archived for a minimum of ten years from the date of public dissemination, unless a shorter retention period is justified in writing. Where possible, this archive should be open-source and hosted on a public platform such as Zenodo. Where confidentiality conditions make this impossible, data and materials shall be archived on the OET internal file sharing system.

Part IV – Authorship, Publication, and Dissemination​

Section 6 – Authorship​

  1. Authorship requires a clear, identifiable contribution to conceptualization, analysis, interpretation, or writing.
  2. Authorship order shall be agreed in advance of publication
  3. Honorary authorship and undisclosed ghost authorship are prohibited.

Section 7 – Publication Standards​

  1. All OET publications must be factually accurate, evidence-based, and supported by transparent documentation of sources, data, assumptions, and methods.
  2. Publications must reflect independent analysis and shall not be influenced by external funders or stakeholders. Researchers who perceive undue external influence shall raise the issue with the Head of Research and Market Development. Any funding potentially leading to conflict of interest shall be disclosed in writing in the publication after Acknowledgments and before References.
  3. All publications must undergo review by at least one qualified colleague not directly involved in the writing process. If concerns arise during this review process, authors must address them and record how concerns were resolved.
  4. For potentially controversial publications or those likely to attract media attention, additional review by the relevant Head of Department and either the Head of Research and Market Development or the CEO is required.
  5. Authors shall coordinate planned publications with the OET communications team well in advance of release. Authors should always follow the OET external communications policy.
  6. Publications using an OET template must conform to the OET style guide.
  7. OET shall be listed as an affiliation when OET resources (time, data, tools) are used.
  8. Contributions from external collaborators shall be acknowledged appropriately.
  9. Publications should be made open access wherever reasonably possible. Project budgets should account for any necessary open access fees.
  10. Final publication files shall be stored on the OET internal file sharing system. Two versions shall be maintained: one immutable PDF and one editable source document.
  11. Publishing in predatory or non-reputable outlets is prohibited. If in doubt about venue quality, authors shall consult the Head of Research and Market Development.

Part V – Research Misconduct and Complaint Procedures​

Section 8 – Definitions and Scope​

  1. Research misconduct consists of fabrication, falsification, plagiarism, or other intentional or grossly negligent violations of good research practice.

Section 9 – Investigation and Adjudication​

  1. Allegations shall be handled confidentially and promptly under procedures that respect due process, and presumption of innocence.
  2. Both complainant and respondent shall have the opportunity to be heard.
  3. Appendix 1 outlines the misconduct procedure.

Part VI – Ombudspersons​

Section 10 – Appointment and Role​

  1. OET has one independent ombudsperson and one substitute. Current ombudspersons are listed in this OET handbook.
  2. Ombudpersons are appointed by OET’s shareholders for a term of three years, which may be extended by an additional three years once. Current ombudspersons are Dr Will Usher and Dr Measrainsey Meng (deputy), appointed for a term of 27 March 2026-26 March 2029)
  3. Ombudspersons shall be accessible, impartial, and not hold central governance roles during their term.
  4. Researchers may alternatively consult the German Ombudsman Committee for Research Integrity (OWID).

Part VII – Final Provisions​

Section 11 – Enforcement and Entry into Force​

  1. This Regulation enters into force on 27.03.2026.
  2. It supersedes prior internal provisions
  3. Non-compliance may result in corrective action, including but not limited to internal sanctions, reporting obligations to funders, and reputational management actions.

Annex I

Procedure for Handling Allegations of Research Misconduct​

Section 1 – Purpose​

This Annex defines the procedural steps, responsibilities, and timelines for handling allegations of research misconduct at Open Energy Transition

The procedure shall be conducted confidentially, under the presumption of innocence, and as promptly as possible

Part I – Submission and Preliminary Assessment

Section 2 – Submission of Allegations​

  1. Allegations may be submitted in writing to:
    • The Ombudsperson (or, in their absence, their Deputy), or
    • The designated Investigating Committee once one has been appointed.
  2. Allegations should include sufficiently concrete facts.
  3. Anonymous allegations may be investigated if supported by verifiable evidence.

Section 3 – Preliminary Assessment​

  1. Within 14 calendar days of receipt, the Ombudsperson shall:
    • Confirm receipt to the complainant (if identifiable).
    • Conduct a plausibility assessment.
    • Determine whether the allegation falls within the scope of research misconduct.
  2. If the allegation is manifestly unfounded, the procedure shall be terminated with written justification.
  3. If sufficient grounds exist, the matter shall proceed to formal investigation.

Maximum duration of preliminary assessment: 4 weeks.

Part II – Formal Investigation

Section 4 – Initiation​

  1. An Investigating Committee shall be formally convened by the Ombudsperson (or, in their absence, their Deputy) within 14 days of referral. The Investigating Committee shall consist of the Ombudsperson and/or their Deputy, and at least one internal or external expert in a field of research relevant to the allegation.
  2. The respondent shall be informed in writing of:
    • The allegation.
    • The relevant evidence available at that stage.
    • Their rights in the procedure.

Section 5 – Rights of the Parties​

  1. The respondent shall:
    • Be given the opportunity to submit a written statement within 4 weeks.
    • Have the right to be heard in person.
    • Be permitted to submit exculpatory evidence.
  2. The complainant shall:
    • Be informed of the initiation of the investigation.
    • Be given the opportunity to provide further clarification.
  3. Both parties shall be protected against disadvantage resulting from participation in the procedure.

Section 6 – Evidence and Review​

  1. The Investigating Committee shall:
    • Examine documentation and research data.
    • Interview relevant persons.
    • Seek further expert opinions if necessary.
  2. All proceedings shall remain strictly confidential.

Section 7 – Duration of Investigation​

  1. The formal investigation shall normally be completed within 3 months of initiation.
  2. In complex cases, the period may be extended once by up to 3 additional months, with written justification.

Part III – Decision and Measures

Section 8 – Decision​

  1. The Committee shall prepare a written report containing:
    • Findings of fact.
    • Legal assessment.
    • Determination whether misconduct occurred.
    • Recommendation of measures, if applicable.
  2. The respondent shall be given the opportunity to comment on the draft findings within 2 weeks before final decision.
  3. A final decision shall be issued within 4 weeks after receipt of the respondent’s comments.

Section 9 – Possible Measures​

  1. If misconduct is established, measures may include, depending on severity:
  • Written reprimand
  • Retraction or correction of publications
  • Notification of affected partners or funders
  • Exclusion from specific research activities
  • Employment-related consequences under applicable contract terms and labour law
  • Referral to competent academic bodies in case of degree revocation consideration.
  1. Measures must be proportionate to the seriousness of the misconduct.

Part IV – Communication and Closure

Section 10 – Notification​

  1. Both complainant and respondent shall be informed in writing of the final decision.
  2. Relevant third parties shall be informed only where legally required or where a justified interest exists.

Section 11 – Documentation and Archiving​

  1. The complete case file shall be archived securely for 10 years, unless legal requirements require deletion earlier.
  2. If misconduct is not established, personal data shall be deleted when legally permissible.

Part V – Safeguards

Section 12 – Presumption of Innocence​

  1. No public disclosure shall occur before misconduct is formally established

Section 13 – Protection of Complainants​

  1. Good-faith complainants shall not suffer professional disadvantage.
  2. Knowingly false or malicious allegations may themselves constitute misconduct, triggering a separate investigation.

Procedural Timeline Overview

  • Allegation received → Day 0
  • Preliminary assessment completed → Within 4 weeks
  • Investigation initiated → Within 2 weeks of referral
  • Respondent statement → Within 4 weeks
  • Investigation completed → Normally within 3 months
  • Draft findings comment period → 2 weeks
  • Final decision issued → Within 4 weeks

Maximum standard duration (without extension): approx. 6 months.