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APPENDIX E

GUIDANCE FOR FACULTY ON COPYRIGHT, PUBLICATION AND GENERAL RESEARCH DISSEMINATION

Indiana University-Purdue University Indianapolis
September, 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. 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.

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 it is impossible to 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 previously announced in any media source, including any discussion of the findings on the Internet. Consult the policies of the journals to which submission of research papers is planned to determine whether those journals have such a policy.

3. If empirical research findings are presented as an abstract or poster at an academic conference and 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 the writer quotes or paraphrases substantial portions of one's own writing published elsewhere, that source is to be cited.

5. If one quotes or paraphrases portions of writing of students working under the writer's direction, appropriately credit the student work.

6. Many research findings are patentable, and premature disclosure may jeopardize the writer's ability to obtain a patent. If the writer suspects that the work may be patentable, one should 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.

7. Many academic disciplines or scholarly societies have developed ethical standards regarding the publication and use of research findings. Consult with colleagues and with 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 protected 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 one's work. For more information about registration, access the U.S. Copyright Office home page at http://lcweb.loc.gov/copyright/.

4. Authors generally own the copyrights to their works, although an employer may be the lawful copyright owner under the work-for-hire doctrine.

5. Works created by hired researchers and student assistants may not automatically qualify as "work-for-hire." The copyrights to their works may continue to belong to the students or hired researchers. Therefore, one should have all such persons sign a copyright agreement, preferably before beginning work. For a draft agreement, access the Copyright Management Center home page at http://www.iupui.edu/it/copyinfo/home.html.

6. Some publishers require that the author assign to the publisher the copyrights 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.

8. The written publishing agreement for publication of one's 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 one's own work, if the copyright needs to be assigned to the publisher. Read publishing contracts carefully! Feel free to ask questions and to negotiate terms that may be of importance to the faculty member.

10. If the faculty member needs to assign the copyright to the publisher, the writer should consider the range of possible future uses that one might seek to reserve, e.g., making copies for 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 a World Wide Web home page.

11. If the copyright is assigned to the publisher without reserving specific rights, the writer could be infringing copyright when using his or her own work, even if the source is cited and full credit is given. "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, one should consult with colleagues and supervisors about the ethical appropriateness of re-using one's own writings and research findings.

13. For additional information, contact the Office of Faculty Development or the Copyright Management Center.

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