Controlled Thesis Submission Process

When working on controlled projects subject to a Technology Control Plan (TCP), information arising from or resulting from the project may not be freely disseminated. If students have theses or dissertations that were derived from or contain data from these projects, they must submit their documents through Research Security and Export Controls (RSEC). This data cannot be handled or stored in standard university systems and cannot be submitted to the Hammer Research Repository.

Process

There are multiple steps involved in submitting a controlled thesis:

• Formatting (Thesis and Dissertation Office)
• Plagiarism Check (Thesis and Dissertation Office)
• Marking
• Submittal
• Presentations
• Secure System Storage
• Approval for Public Release

Formatting (Thesis and Dissertation Office)

Thesis and Dissertation Office formatting guidance must be done in person. Generally, controlled theses are limited to access by U.S. persons only. For guidance with formatting, reach out to thesishelp@purdue.edu to schedule an in-person consultation.

Plagiarism Check (Thesis and Dissertation Office)

Controlled theses cannot go through iThenticate. If your controlled thesis will be released for publication, contact the Thesis and Dissertation office (thesishelp@purdue.edu) for help with pre-publication reviews and for guidance on completing the iThenticate section on the Electronic Thesis Acceptance Form (Form 9).

Marking

The document should be marked in accordance with the relevant regulations. Additional information on Marking research documents, including theses can be found here.

• If the thesis contains CUI, each page should include a banner/header with the markings listed here, as appropriate for the project.

• For theses that are export controlled but do not contain CUI, include a general export control disclaimer on title page: WARNING - The information within this file is subject to U.S. export control regulations, including the International Traffic in Arms Regulations ("ITAR") and the Export Administration Regulations ("EAR"). Use and dissemination within the United States is subject to restrictions. Any unauthorized transfer of this information to unauthorized entities or for unauthorized purposes is strictly prohibited. The recipient is responsible for ensuring compliance with all applicable U.S. export control regulations. Any violation of these export control provisions may result in severe penalties under U.S. law.

Submittal

Contact rsec@purdue.edu with “Controlled Thesis Submittal” in the subject line and include the required information below in the email to request access to a secure submission portal. Controlled theses MUST NOT be submitted to the Hammer Research Repository.

Required Information

• Advisor name
• Thesis Title
• Current location of thesis and related data
• Corresponding Technology Control Plan (TCP) number and project name
• Thesis/dissertation committee members
• Estimated graduation date
• Estimated preliminary exam date, if applicable

Presentations

For controlled thesis presentations, RSEC must review and approve anyone invited to participate in the student's preliminary exam/defense. Participation in the presentation of the thesis/dissertation is limited to U.S. persons, unless otherwise stated in the contract, and RSEC will need to validate their eligibility to access controlled information and ensure they have appropriate training prior to your presentation. Because of this, RSEC requires the participant list, including the thesis committee members, at least five business days in advance of the presentation. Submit the participant list to rsec@purdue.edu.

Secure System Storage

As required by the associated Technology Control Plan, controlled theses must be stored in a Purdue-approved secure environment. RSEC will provide a link to the portal to upload a copy of the thesis. Only then will RSEC be able to sign off on the thesis in the Graduate School Database.

Approval for Public Release

If, after a thesis has been uploaded to the secure thesis portal, the thesis is approved for public release by the federal Contracting Officer, please contact RSEC with a copy of that approval so that the approval for public release can be maintained in the file. At that point, the export control and CUI markings may be removed and the document can be released publicly.