GSAD-940 - Protection of Gradaute Student Publication Rights

Purpose

The purpose of this policy is to define the conditions under which graduate students may work on research projects that have associated confidentially clauses, non-disclosure agreements and/or publication restrictions.

Scope

This policy applies to all graduate students in both research and professional degree programs.

Background

: One of the guiding principles of research at Penn State is that, “Research methods and results should be open to scrutiny and debate.” At Penn State, in graduate doctoral degree programs and in master’s degree programs for which a thesis is the required culminating experience, Graduate Council academic policies require review and approval of the culminating document by the student’s committee, a public presentation of the work (in the case of doctoral students) and submission of the final approved document for inclusion in the University Libraries, available for public access. In other graduate degree programs where a capstone project is required, such work is frequently converted to professional publications. The University has concluded, “Research which cannot be reported to the public cannot be used as a thesis or dissertation base.” Thus, the acceptance of graduate student projects with publication restrictions conflicts with University principles and policy.

However, Penn State has a long history of research for defense-related needs (for example research sponsored by the US Navy conducted by the Applied Research Laboratory). This defense-related research is state-of-the-art, and as such provides outstanding opportunities for our students to train at the leading edge of knowledge and technology in a variety of critical fields. In the interest of national security, such research frequently comes with publication restrictions.

On very rare occasions, non-defense related research also comes with publication restrictions.

The Fox Graduate School’s overarching goal is to ensure that all graduate students have the opportunity to complete their degree requirements as defined by the Graduate Council, including the thesis or dissertation, in a timely fashion and without restrictions imposed by outside entities. However, the Fox Graduate School also recognizes the invaluable opportunity represented by state-of-the-art defense-related and other research in the education of the next generation of scientists and engineers, and as such establishes this policy to ensure that graduate students have the opportunity to work on state-of-the-art projects with publication restrictions without jeopardizing their progress to degree.

Policy Statement

As affirmed by the Board of Trustees in the University’s Position Statement on Research, graduate students generally should not be assigned to research projects with publications restrictions, Non-disclosure Agreements or Confidentiality Agreements.
The Fox Graduate School also recognizes the invaluable opportunity represented by state-of-the-art defense-related and other research opportunities that frequently come with publication restrictions in the education of the next generation of scientists and engineers, and as such will approve graduate students working in such projects subject to the following conditions:
1. Graduate Students must not begin work on any project with publication restrictions without the approval of the Vice Provost for Graduate Education and Dean of the Fox Graduate School.
2. All graduate students who are to be assigned to any project that includes publication restrictions, whether the student’s thesis, dissertation or capstone work is related to the project or not, must be made aware of the nature and extent of the specific restrictions related to that project, and confirm their awareness of and willingness to comply with those restrictions
3. When planning to assign a graduate student to a research project with publication restrictions, the student’s research advisor and the principal investigator of the research grant must exercise due diligence to identify an appropriate research topic that will allow the student to publish the work in fulfillment of the degree requirements.
4. When planning to assign a graduate student to a research project with publication restrictions, the student’s research advisor and the principal investigator of the research grant must identify a contingency plan that will allow the student to fulfill the academic requirements of the degree in the event the sponsor were to impose restrictions as defined in the agreement.

Process

Before graduate students may be assigned to projects under research agreements with publication restrictions, the principal investigator of the research grant and the student’s advisor(s) must identify an appropriate research topic that will allow the student to publish his/her work in fulfillment of the degree requirements.
1. Suitable topics for graduate students will involve studies related to a core of fundamental knowledge that does not include sensitive, classified or otherwise restricted information; is of scientific merit; and will be publishable as a graduate student thesis or dissertation. Any related restricted information should be marginal to the student’s thesis/dissertation.
Before graduate students may be assigned to projects under research agreements with publication restrictions, the principal investigator of the research grant and the student’s advisor(s) must identify a suitable contingency plan should the project sponsor impose publication restrictions on the student’s primary project.
1. To serve as an appropriate contingency, such work must have sufficient scholarly merit to demonstrate the student’s ability to do independent research of high quality and meet the expectations for a significant contribution to knowledge in the field.
Before graduate students commence work on a research project with publication restrictions:
1. The Principal Investigator and the student’s advisor must confirm that the nature of the publication restrictions have been discussed with the student.
2. The Principal Investigator and the student’s advisor must declare whether the proposed work is related to the student’s thesis or dissertation project.
  1. If the proposed work is related to the student’s thesis or dissertation project, the Principal Investigator and the student’s advisor must also confirm:
    1. That they have discussed the potential impact of the restrictions on the student’s thesis or dissertation with the student.
    2. That they have discussed the contingency plans should publication restrictions actually impact publication with the student.
3. The Principal Investigator and the student’s advisor must ensure that the primary project and the contingency plan are approved by the Vice Provost for Graduate Education and Dean of the Fox Graduate School prior to the initiation of the project.

Procedures

P1 - Procedure for Protection of Graduate Student Publication Rights

Further Information

Request for Approval of a Graduate Student to Participate in Research with Restrictions on Publication

The form may be obtained from the Office of Sponsored Programs.

Revision History

Approved by the Vice Provost for Graduate Education and Dean of The Graduate School, May 12, 2025. Effective immediately.
- New Policy