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Re: Confidential Theses



On Mon, 28 Feb 2000, Jim Beaven wrote:

> Hello Everyone:
>
> As part of our duties in Special Collections of the Purdue University
> Libraries, we verify the correctness of the format of any Purdue Theses
> and Dissertations prior to publication.  If the thesis meets the format
> specification, we deposit the thesis.  If the thesis or dissertation is
> to be designated as "Confidential" we will hold them in a locked safe for
> one or two years.  A thesis can be confidential because of a patent is pending
> that results from the research involved in the publication of the thesis or
> portions thereof, or if proprietary rights are involved.  To all archives
> or special collections out there that handle thesis format or thesis deposit
> how do you address the issue of confidentiality?

Interesting question, and one I've wondered about myself.  Until
recently, our procedures regarding thesis confidentiality were a
hodgepodge and depended primarily on who the graduate student made
arrangements with.  When students complete the UMI (now Bell & Howell)
form to have (dissertations only) microfilmed, they can request a
restriction up to perpetuity.  When we consulted our attorneys to find
out if our library was required to respect this restriction, we were
told, No -- the agreement form the student filled out was between the
student and UMI, and Hopkins was not a party to it.  Our attorney
further stated that theses and dissertations are works of scholarship
and are not meant to be kept under wraps -- a rather surprising
statement, I thought.

This meant that we were free to divulge any thesis or dissertation,
regardless of what restriction the author had claimed elsewhere.  But
we recognized two things:  (1) while the restriction was between the
student and UMI, there was an implicit expectation on his/her part
that the work would also remain restricted within our library; and (2)
there are legitimate reasons why a particular work should be
restricted -- patent possibilities or further intended publication --
and we did not wish to cause a controversy if we made available
something that the student wished to keep restricted.  At that time,
our own procedures said nothing regarding restrictions (a factor in
the implicit expectation referred to above).

Trying to be fair to the author but not wishing to restrict any thesis
or dissertation in perpetuity, we arrived at the following solution.
Our procedures now state that any thesis or dissertation author, at
the time he/she submits the work, can claim a five-year (maximum)
restriction, independent of anything claimed on the UMI agreement
form.  Such claims are noted when the author submits the manuscript,
and a note is passed along to our Cataloging Department (once the
manuscript returns from UMI and the bindery).  A notice is entered in
the catalog record that the item is restricted for five years, unless
the author grants access in writing.  The paper copy is then given to
me after it's cataloged and I place it in a special location in our
Rare Books area, where it will reside until the restriction expires.
At that time, the catalog notice will be removed and the item will be
available just like any other work of that nature.  The student is
made aware of this at the time the manuscript is submitted, so they
have no expectation that the library copy will be restricted beyond
five years.  So far, 4-5 students per year have taken advantage of
this, in the three years this plan has been in effect.

=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=-=

James Stimpert                       E-mail:    James.Stimpert@jhu.edu
Archives (Arts and Sciences)
MSE Library
Johns Hopkins University             Voice:     (410) 516-8323
3400 North Charles Street
Baltimore, MD  21218                 Fax:       (410) 516-7202

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