Copyright and Author Rights
Research Publishing Copyright & Author Rights Guide
A comprehensive guide to understanding copyright, author rights, licensing, and self-archiving policies in academic publishing. This guide helps researchers navigate the legal and practical aspects of publishing their work.
Table of Contents
- Understanding Copyright in Academic Publishing
- Who Owns the Copyright?
- Publishing Agreements Explained
- Open Access Licenses
- Author Self-Archiving and Green OA
- Funder Mandates and Institutional Policies
- Retaining Author Rights
- Copyright and Ethical Concerns
- Copyright and Third-Party Material
- Post-Publication Rights
- Reproducing Your Own Work
- Copyright Checklist Before Submission
1. Understanding Copyright in Academic Publishing
1.1 What is Copyright?
Copyright is a legal right that grants the creator of an original work exclusive control over its reproduction, distribution, adaptation, and public display. In academic publishing, copyright determines who can share, copy, or build upon your published research.
1.2 Copyright Automatically Applies
In most countries (including those that are signatories to the Berne Convention), copyright protection is automatic upon creation of an original work. No registration is required. However, registering your work with the appropriate copyright office provides additional legal protections.
1.3 What Copyright Protects in Academic Work
| Protected | Not Protected |
|---|---|
| Original text and prose | Facts, data, or research findings |
| Figures, tables, and illustrations | Names, titles, surnames |
| Original photographs and images | Works not fixed in a tangible medium |
| Database compilation and arrangement | Ideas, procedures, methods, systems |
| Original audio and video recordings | Works in the public domain |
2. Who Owns the Copyright?
2.1 Copyright Transfer vs. License Retention
| Model | Copyright Holder | Author Rights |
|---|---|---|
| Traditional Copyright Transfer | Publisher | Limited; must request permissions for reuse |
| Author Retains Copyright | Author(s) | Full rights; publisher receives a license to publish |
| Exclusive License to Publisher | Author retains, but grants exclusive publication rights to publisher | Retains ownership but cedes some control |
| Creative Commons License | Author retains; work published under CC license | Full ownership; defines how others may use the work |
KEY DISTINCTION: Under copyright transfer, the publisher becomes the legal owner. Under a license
model, the author retains ownership and merely grants the publisher permission to
distribute the work. Always know which model you are signing.
2.2 Multiple Authors and Copyright
When a work has multiple authors:
- All authors typically share joint copyright ownership under a joint authorship model
- Each co-author generally has the right to use the work for non-commercial academic purposes
- Copyright transfer agreements are usually signed by the corresponding author on behalf of all co-authors
- Ensure all co-authors agree to the copyright terms before signing
2.3 Work Made for Hire
In some jurisdictions, if research is conducted as part of employment or under a contract, the employer (typically the university or institution) may own the copyright. Check your institution's IP policy.
INSTITUTIONAL POLICY: Many universities claim ownership of copyright in works created by employees using
institutional resources. Review your institution's intellectual property policy before
signing any copyright transfer agreement.
3. Publishing Agreements Explained
3.1 Types of Publishing Agreements
3.1.1 Copyright Transfer Agreement (CTA)
Under a CTA, authors transfer all copyright to the publisher. This is the traditional model, especially common in commercial publishing.
- Publisher gains full control over reproduction, distribution, and adaptation
- Authors may need to request permission to reuse their own material
- Sometimes authors can retain rights to preprints, theses, or classroom use
- Many publishers now offer options to retain some rights even under CTA
3.1.2 License to Publish Agreement
Under a license agreement, authors retain copyright and grant the publisher a license (often exclusive) to publish and distribute the work.
- Authors retain ownership and broader reuse rights
- Authors can self-archive, share, and reuse their work more freely
- Increasingly common in open access publishing
- Some licenses are exclusive; others are non-exclusive
3.1.3 Open Access License (Creative Commons)
Under CC licenses, authors retain copyright and grant the public specific permissions in advance.
| License | Allows Others to | Commonly Used By |
|---|---|---|
| CC BY 4.0 | Share, adapt, commercialize (attribution required) | Most OA journals (gold standard for OA) |
| CC BY-SA 4.0 | Share, adapt, commercialize (must share alike) | Wikipedia, some open educational resources |
| CC BY-NC 4.0 | Share, adapt for non-commercial use (attribution required) | Some OA journals, institutional repositories |
| CC BY-ND 4.0 | Share unchanged (attribution required) | Sometimes used for data papers |
| CC BY-NC-SA 4.0 | Share, adapt non-commercially (share alike) | Some OA journals, educational materials |
| CC BY-NC-ND 4.0 | Download and share for non-commercial purposes only | Most restrictive OA license; less common |
| CC0 1.0 | Anything (public domain dedication) | Data sets, datasets, public domain works |
PREFERRED LICENSE: CC BY 4.0 is the gold standard for open access. It maximizes reuse and is required
by major funders (NIH, Wellcome, Horizon Europe, cOAlition S).
4. Open Access Licenses
4.1 Understanding OA Publishing Models
| Model | How It Works | Who Pays | Copyright Holder |
|---|---|---|---|
| Gold OA | Article is freely available immediately upon publication | Author/institution pays APC (or institutional agreement covers it) | Author retains; work published under CC license |
| Green OA | Author deposits a version in an institutional or subject repository | No APC; may have embargoes | Often publisher (depending on agreement) |
| Hybrid OA | Subscription journal offers OA option for individual articles | Author pays APC for the OA article | May be publisher (CTA) or author (CC license) |
| Diamond/Platinum OA | Article is OA with no APC charged to authors | Institution, society, or funder subsidizes | Usually author |
| Bronze OA | Article is freely readable but no explicit OA license | No charge | Publisher retains copyright |
4.2 OA License Comparison
| Feature | CC BY | CC BY-SA | CC BY-NC | CC BY-ND |
|---|---|---|---|---|
| Commercial use | Yes | Yes | No | Yes (if unchanged) |
| Adaptation / remixing | Yes | Yes | Yes | No |
| Share alike requirement | No | Yes | No | N/A |
| Attribution required | Yes | Yes | Yes | Yes |
| Funder compliant | Yes (most) | Some | Most | Some |
5. Author Self-Archiving and Green OA
5.1 What is Self-Archiving?
Self-archiving (or green open access) is the practice of depositing a version of your manuscript in an institutional or subject repository, making it freely accessible to anyone.
5.2 Versions of a Manuscript
| Version | Description | Typical Embargo |
|---|---|---|
| Preprint | Version submitted to journal before peer review | None — usually allowed immediately |
| Accepted Manuscript (AM) | Peer-reviewed version, before publisher formatting (author's final draft) | 6-24 months (varies by publisher) |
| Vor (Version of Record) | Publisher's final formatted version (PDF, with page numbers, journal layout) | Often not allowed or longest embargo |
5.3 Where to Self-Archive
| Repository Type | Examples | Best For |
|---|---|---|
| Institutional repository | University archives (e.g., MIT DSpace, Harvard DASH) | Compliance with institutional requirements |
| Subject repository | arXiv, PubMed Central, SSRN, bioRxiv | Field-specific visibility and indexing |
| General preprint server | arXiv, bioRxiv, SSRN, OSF Preprints | Rapid dissemination, establishing priority |
| Researcher profile | ResearchGate, Academia.edu, ORCID | Networking and visibility (note: not always OA) |
USE SHERPA/ROMEO: Check SHERPA/Romeo (or the newer SHERPA/JULIET) to find each publisher's self-archiving policy before
depositing. It lists which versions can be deposited, where, and after what embargo.
5.4 Green OA Embargo Periods by Publisher
| Publisher | Accepted Manuscript Embargo | Where AM Can Be Deposited |
|---|---|---|
| Elsevier | 12-24 months (varies by journal) | Institutional or subject repository |
| Springer Nature | 12 months (varies) | Institutional or subject repository |
| Wiley | 12 months (varies by journal) | Institutional or subject repository |
| Taylor & Francis | 12-36 months (varies) | Institutional or subject repository |
| PLOS | None — Gold OA publisher | Immediate OA under CC BY |
| MDPI | None — Gold OA publisher | Immediate OA under CC BY |
EMBARGOES CHANGE: Publisher policies are updated frequently. Always verify the current policy on the
publisher's website or via SHERPA/Romeo before depositing.
6. Funder Mandates and Institutional Policies
6.1 Major Funder OA Mandates
| Funder | Requirement | Key Details |
|---|---|---|
| NIH (USA) | PMC deposition | Accepted manuscripts must be deposited in PubMed Central within 12 months of publication |
| Wellcome Trust | Gold OA preferred | CC BY required; no APC restrictions for compliant journals |
| Horizon Europe | OA immediate, CC BY | CC BY required for publications; 12-month maximum embargo for green OA |
| cOAlition S | OA immediate, CC BY | No embargo allowed; CC BY required; Transformative agreements encouraged |
| NSF (USA) | Public access plan | Products must be freely accessible within 12 months of publication |
| NRC Canada | Green OA | Accepted manuscripts should be deposited in institutional repository |
| DfG (Germany) | OA advocacy | Strongly encourages OA; funds via institutional agreements |
6.2 Institutional IP Policies
Many universities have intellectual property policies that affect your publishing rights. Check:
- Does your institution claim copyright in scholarly works?
- Does your institution have a policy requiring deposition in the institutional repository?
- Does your institution have agreements with publishers that cover APCs?
- Does your institution provide legal advice on publishing agreements?
- Does your institution have an OA fund to subsidize APCs?
INSTITUTIONAL AGREEMENTS: Many universities have "Transformative Agreements" with publishers that cover APCs
for corresponding authors. Check with your library before paying an APC out of pocket.
7. Retaining Author Rights
7.1 Rights Authors Typically Want to Retain
| Right | Why It Matters |
|---|---|
| Reuse in future works | Ability to reuse figures, text, or data in your own subsequent publications |
| Teaching and classroom use | Distribute copies to students without seeking permission |
| Self-archiving | Deposit in institutional or subject repositories (green OA) |
| Distribution to third parties | Share with colleagues, collaborators, or via personal website |
| Making derivative works | Create translations, adaptations, or updates of the work |
| Commercial use | License the work for commercial purposes (e.g., textbook inclusion) |
| Termination of transfer | Under U.S. law (Section 203), authors can terminate copyright transfer after 35 years |
7.2 How to Retain Rights
- Choose OA journals that allow authors to retain copyright under CC BY
- Negotiate the publishing agreement — many publishers allow amendments to standard CTAs
- Add a side agreement — some publishers allow a separate side letter clarifying author rights
- Use an addendum — the Scholarly Publishing and Academic Resources Coalition (SPARC) offers addenda for standard CTAs
- Deposit the accepted manuscript in a repository even if the publisher restricts it (check SHERPA/Romeo)
- Register your work with your national copyright office or via ORCID for attribution
SPARC ADDENDA: The SPARC Addendum helps authors retain key rights under traditional publishing agreements.
Download the appropriate addendum for your publisher, fill in the details, and submit
it with your signed agreement. sparc.addendum
7.3 When You Sign a CTA, What Rights Do You Keep?
Even under a full copyright transfer, most publishers allow authors to:
- Share the published article with individual researchers (not publicly)
- Reuse figures, tables, or substantial text in future works (usually no permission needed)
- Distribute to students for educational purposes
- Deposit in the institutional repository (often after an embargo, per publisher policy)
- Present at conferences and meetings
Always check your specific publisher's author rights policy, as it varies.
8. Copyright and Ethical Concerns
8.1 Predatory Publishing and Copyright
RISK: Predatory publishers often claim copyright in works they publish without legitimate
peer review. Publishing with such publishers can damage your academic reputation and
create legal complications.
- Always verify the legitimacy of the publisher before signing any copyright agreement
- Check if the journal is indexed in reputable databases (Scopus, Web of Science, DOAJ)
- Be wary of publishers that claim "full copyright" without offering legitimate OA licenses
- Confirm the publisher is a member of COPE (Committee on Publication Ethics)
8.2 Plagiarism and Copyright
Copyright and plagiarism are related but distinct concepts:
| Aspect | Copyright Infringement | Plagiarism |
|---|---|---|
| Nature | Legal issue — unauthorized use of copyrighted material | Academic/ethical issue — presenting others' work as your own |
| Can you have one without the other? | Yes — using public domain material without attribution is plagiarism but not copyright infringement | Yes — copying your own published work without permission may be copyright infringement but not plagiarism |
| Remedy | Legal action, injunction, damages | Retraction, institutional sanction, reputational damage |
8.3 Authorship Disputes and Copyright
Copyright disputes often arise when:
- Co-authors disagree on which journal to submit to
- A departing team member claims rights to jointly created material
- A supervisor claims copyright in a student's thesis or dissertation
- Industry sponsors claim rights in university research
PREVENTION: Discuss authorship and copyright expectations before starting a collaborative project. Document agreements in writing. Use author contribution
statements (CRediT taxonomy) to clarify roles.
9. Copyright and Third-Party Material
9.1 When You Need Permission
You must obtain permission to reproduce material that you did not create when it is:
- Under copyright protection
- Not licensed under an open license that permits your use
- Exceeds fair use / fair dealing allowances
9.2 Types of Third-Party Material
| Material | Permission Needed? | Notes |
|---|---|---|
| Figures from published articles | Yes | Contact publisher via Copyright Clearance Center (CCC) or direct request |
| Tables from published articles | Yes | Same as figures; may need to modify to avoid copyright issues |
| Images / photographs | Yes | Contact the copyright holder (often the publisher or photographer) |
| Charts / graphs you recreated from data | Depends | If substantially similar to original, permission may be needed |
| Text quotes | Depends | Short quotes may be fair use; long excerpts require permission |
| Your own previously published material | Yes, often | If you transferred copyright, the publisher may own it |
| Public domain material | No | Works published before 1929 in the U.S. are generally public domain |
| CC-licensed material | Depends on license | Follow license terms (attribution, share-alike, non-commercial) |
9.3 Fair Use / Fair Dealing
Many jurisdictions allow limited use of copyrighted material without permission under "fair use" (U.S.) or "fair dealing" (commonwealth countries) provisions:
| Factor | What It Means |
|---|---|
| Purpose and character of use | Non-commercial, educational, or transformative use favors fair use |
| Nature of the copyrighted work | Factual works are more likely to support fair use than creative works |
| Amount used | Smaller portions favor fair use; using the "heart" of the work weighs against it |
| Effect on the market | If your use harms the market for the original, fair use is less likely |
NOT LEGAL ADVICE: Fair use is determined case-by-case and can vary by jurisdiction. When in doubt,
seek permission or consult your institution's legal counsel or copyright office.
9.4 How to Obtain Permission
- Identify the copyright holder (often the publisher, sometimes the author)
- Use the publisher's permissions portal (e.g., RightsLink / Copyright Clearance Center)
- Describe the material you want to reuse and how you intend to use it
- Receive permission (may be free or require a fee)
- Include proper attribution and permission statement in your manuscript
Example permission statement:
"Reprinted with permission from [Copyright Holder]. Copyright [Year] [Copyright Holder].
Source: Author(s), 'Title of Article,' Journal Name, vol. x, no. x, pp. xx-xx, Year."
"Reprinted with permission from [Copyright Holder]. Copyright [Year] [Copyright Holder].
Source: Author(s), 'Title of Article,' Journal Name, vol. x, no. x, pp. xx-xx, Year."
10. Post-Publication Rights
10.1 What You Can Do After Publication
| Activity | Usually Allowed | Notes |
|---|---|---|
| Share with colleagues privately | Yes (in most agreements) | Not for public distribution |
| Post on personal website | Depends on agreement | May be restricted; check publisher policy |
| Deposit in institutional repository | Depends on agreement | Subject to embargo per publisher policy |
| Reuse in your thesis / dissertation | Usually yes | Most publishers explicitly allow this |
| Reuse in a book or monograph | Depends | May need permission for substantial reuse |
| Create a translation | Usually needs permission | Translation is a derivative work |
| Post on social media | Link sharing is fine | Sharing the PDF may violate copyright |
| Use in teaching materials | Usually yes (limited) | Educational fair use may apply |
10.2 Your Right to Share
Many authors mistakenly believe they cannot share their own work after publishing. The reality is nuanced:
GENERALLY ALLOWED (even under CTA in many cases):
• Share a PDF with a colleague who requests it
• Include figures or substantial text in your own future work
• Post the preprint on arXiv or a preprint server
• Share on ResearchGate or Academia.edu (depending on publisher policy)
• Use in your teaching materials (limited distribution)
• Deposit the accepted manuscript in your institutional repository (after embargo)
• Share a PDF with a colleague who requests it
• Include figures or substantial text in your own future work
• Post the preprint on arXiv or a preprint server
• Share on ResearchGate or Academia.edu (depending on publisher policy)
• Use in your teaching materials (limited distribution)
• Deposit the accepted manuscript in your institutional repository (after embargo)
OFTEN NOT ALLOWED WITHOUT PERMISSION:
• Post the final published PDF on your personal website
• Share the PDF publicly on social media
• Republish the article in a different journal without permission
• Create and distribute a translation without permission
• Use figures in a commercial product without permission
• Post the final published PDF on your personal website
• Share the PDF publicly on social media
• Republish the article in a different journal without permission
• Create and distribute a translation without permission
• Use figures in a commercial product without permission
11. Reproducing Your Own Work
11.1 Self-Plagiarism and Text Recycling
Reusing your own previously published material without proper attribution is considered self-plagiarism (or text recycling). Even though you are the author, the publisher may own the copyright to the specific expression.
11.2 When You Need to Reuse Your Own Work
| Scenario | What to Do |
|---|---|
| Reusing figures from your own paper | If you transferred copyright: cite the original source; if substantial reuse, obtain permission from the publisher |
| Reusing text from your own paper | Paraphrase where possible; if using substantial text, cite the original and check publisher policy |
| Extending a conference paper into a journal article | Must add substantial new content (typically 30%+); cite the conference version; check publisher policy |
| Publishing the same data in multiple venues | Disclose the prior publication to the new journal; obtain consent if needed |
| Translating your own work | Usually requires permission from the copyright holder (publisher) |
11.3 Citing Your Own Work
BEST PRACTICE: When reusing material from your own previously published work, always cite the original
source as you would cite any other work. Include a statement such as: "Reprinted with
permission from [citation]" or "Adapted from [citation]."
DOUBLE PUBLICATION: Publishing substantially the same work in multiple journals without disclosure is
considered duplicate publication (or redundant publication), which is a serious form
of academic misconduct. Always disclose prior publications to new journals.
12. Copyright Checklist Before Submission
12.1 Before You Submit
- Have I verified the journal's legitimacy and indexing status?
- Do I understand the copyright model (CTA vs. license vs. CC)?
- Does the journal's policy allow self-archiving in my institutional repository?
- What is the embargo period for green OA?
- Does my funder have an OA mandate that this journal can satisfy?
- Have I checked my institution's IP policy?
- Do I have rights to all third-party material I've included?
- Have I obtained and documented all necessary permissions?
- Are all permissions properly credited in the manuscript?
- Is my work original and not under consideration elsewhere?
- Have all co-authors agreed to the copyright terms?
- Have I checked for potential conflicts of interest related to copyright?
12.2 When Signing the Publishing Agreement
- I understand whether I am transferring copyright or granting a license
- I know what rights I retain (reuse, self-archiving, teaching)
- I understand the embargo period for self-archiving
- I have selected the appropriate license (if OA)
- I have reviewed the APC and payment terms
- I have checked for institutional coverage of APCs
- I have used a SPARC addendum if needed to retain rights
- I have confirmed the corresponding author is correctly identified
- I have saved a copy of the signed agreement
12.3 After Publication
- I have deposited the accepted manuscript in the appropriate repository (per policy)
- I have shared the work with my professional network (within rights)
- I have updated my ORCID record with the publication
- I have informed my institution's library about the publication
- I have used the work in teaching and presentations (within rights)
- I have monitored for unauthorized use of my work
- I have added the work to my CV and research profile