Guidance for Faculty on Copyright, Publication, and General Research Dissemination

Indiana University Purdue University at Indianapolis Circular 96-23
April 23, 1996
(Adopted by the IUPUI Faculty Council, September 5, 1996)

The increasing complexity of research and publishing places a growing burden on all faculty members to conduct research responsibly and to make critical decisions about the best means for dissemination of findings. Each of us must keep in mind that the sharing of research results is the highest priority in the publication process, but that process is often burdened with procedural and legal pitfalls. The following guidelines are intended to help faculty avoid those pitfalls as they seek the best means for publishing articles, books, and other creative works.

These guidelines are the work of the Ad Hoc Committee on Copyrights, Publication and General Research Dissemination, which comprises faculty from diverse departments of IUPUI, a representative of the Indiana University Press, and the Director of the Copyright Management Center.

For further information about these guidelines, and to share your observations about them and about your research needs, please contact the Office of Faculty Development or the Center for Teaching and Learning.

This guidance is presented in two parts. First are general guidelines to advise faculty of how to avoid potential procedural and ethical dilemmas. Second is an outline of applicable copyright law provisions pertaining to issues of dissemination and republication of personal research and writing.

A. Guidelines for Faculty Regarding Dissemination and Republication of One's Own Research Findings and Writing

1. In publishing in academic journals, obtain and follow the journal's printed guidance to authors. If there is a provision with which you cannot comply, discuss the matter with the responsible authority at the journal.

2. Many academic journals will not publish an article on findings of empirical research if the findings have been announced in any media source, including any discussion of your findings on the Internet. Consult the policies of the journals in which you plan to submit your research papers to determine whether the journal has such a policy.

3. If you present empirical research findings as an abstract or poster at an academic conference and they are published in a copyrighted conference proceeding, attribute that presentation with a footnote or reference in later papers submitted for publication. Be aware that advance dissemination of findings may preclude publication in some academic journals.

4. If you quote or paraphrase substantial portions of your own writing published elsewhere, cite that source.

5. If you quote or paraphrase portions of writing of students working under your direction, be sure to appropriately credit the student work.

6. Many research findings are patentable, and premature disclosure may jeopardize your ability to secure a patent. If you suspect that your work may be patentable, consult with the Office of Technology Transfer at Indiana University before making any disclosure in publications, on the Internet, or at conferences. Please keep in mind that patents can include a wide range of novel and useful works, including designs and computer software. For more information about patents, see: Copyright Management Center: Patent Law.

7. Many academic disciplines or scholarly societies have developed ethical standards regarding the publication and use of research findings. Consult with your colleagues and with your professional societies for appropriate standards.

B. Applicable Principles of Copyright Law Regarding Dissemination and Republication of One's Own Research Findings and Writing

To facilitate the more orderly management and control of a faculty member's publication of intellectual works, please keep the following points of copyright law in mind:

1. Copyright law protects the original expression as embodied in diverse works, including books, articles, software, visual works, art, and world wide web pages.

2. Copyright does not protect facts and data, although it may protect an original arrangement or organization of data, such as a table or graph.

3. Copyright protection is automatic for predictable works, from books and artwork to software and Internet messages. Registration and the use of the copyright notice on copies are no longer required, although they are good practice. Registration and the copyright notice can provide some additional legal benefits in the unlikely event of a lawsuit to protect your work. For more information about registration, access the U.S. Copyright Office home page at http://www.copyright.gov.

4. Authors generally own the copyrights to their works, although an employer may be the lawful copyright owner under the workmade-forhire doctrine. For more information about about works-made-for-hire, see: Copyright Management Center: What is a Work-Made-for-Hire?

5. Works created by hired researchers and student assistants may not automatically qualify as "workmade-forhire." The copyrights to their works may continue to belong to the students or hired researchers. Therefore, you should have all such persons sign a copyright agreement, preferably before beginning work.

6. Some publishers require that the author assign to the publisher the copyright to articles and other works.

7. A copyright assignment must be in writing and signed by the transferor. An oral assignment, or a copyright notice placed on the publication, does not have the effect of transferring the copyright from the author to anyone else. For more information about transfers, see: Copyright Management Center: Can I Transfer My Copyrights to Someone Else?

8. The written publishing agreement for publication of your work is the most important instrument for determining the copyright owner.

9. The written agreement is also the best instrument for reserving specific rights of future use of your own work, if you need to assign the copyright to the publisher. Read your publishing contracts carefully! Feel free to ask questions and to negotiate terms that may be important to you.

10. If you need to assign the copyright to the publisher, you should consider the range of possible future uses you might seek to reserve, e.g., making copies for your teaching and research; copies for teaching and research by others at the same university; revising and republishing the work as an article, a book chapter, a conference paper; or putting the work on your World Wide Web home page.

11. If you assign the copyright to the publisher and you did not reserve specific rights, you could be infringing copyright when you use your own work, even if you cite the source and give full credit. "Fair use" allows limited uses of a copyrighted work, but not all uses, even for nonprofit education purposes, are allowed without permission from the copyright owner.

12. In addition to avoiding infringements of copyrights that may be held by publishers, you should consult with your colleagues and supervisors about the ethical appropriateness of reusing your own writings and research findings.

13. For further information about copyright, you will find a variety of materials available on the Copyright Management Center home page at: http://www.copyright.iupui.edu.

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