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Guidance Document - Controlled Thesis Submission Process

Updated 2-11-2021

Purpose

Data subject to EAR, ITAR, DFARS Clause 252.204-7012, and other controlled data designators require increased security to establish compliancy with government regulations. Due to these increased security requirements an alternative method is required to be followed for controlled theses.

Scope

These procedures are applicable to theses and dissertations that were derived from or contain data that is designated as controlled by government regulation or proprietary to the source.

Process

  • Formatting
    For a controlled thesis formatting is performed manually with assistance provided by the Thesis and Dissertation Office. For guidance with formatting please schedule a formatting consultation appointment here https://www.purdue.edu/gradschool/research/thesis/appointment.html. Each page of the thesis should include a banner/header with the following label:
    CUI//EXPT
  • Marking
    The document should be marked in accordance with the relevant regulations. Additional information on Marking research documents, including theses can be found at https://www.purdue.edu/research/regulatory-affairs/export-controls-and-research-information-assurance/guidance-documents/marking.php.
  • Submittal
    Controlled theses MUST NOT be submitted to HammerRR. Submit theses containing controlled data as an attachment via FileLocker to amiley@purdue.edu with “Controlled thesis submittal” in the Subject line and your information in the body of the message.
    • FileLocker Usage
      Attachments are sent via FileLocker by clicking the “Upload” button and browsing/selecting the file you wish to send. Once the file is uploaded, clicking the blue arrow after the file name will present several options. Select “Share This File” and then enter the user ID or name you wish to share with. In this case, entering either Ashlee Messersmith or amiley will present you with the correct selection. Clicking the name will add the person to the share recipients. Now select “Share”. Your file has now been securely shared with the recipient and they will receive an email that a file is waiting for them to download.
    • Theses within Weber
      For Controlled Theses in Weber, contact the Export Control Office at exportcontrols@purdue.edu for submission instructions.
  • Authentication
    Controlled theses are required to be securely stored until approval from the sponsor is received to publish the information. When sponsor approval is received, the document will go through the iThenticate process for plagiarism analysis.
  • Contact Ashlee Messersmith at amiley@purdue.edu for guidance on completing the iThenticate section on the Electronic Thesis Acceptance Form (Form 9).
  • Weber Archive
    Controlled theses must be stored in an encrypted and monitored environment. For that reason, the Thesis and Dissertation Office will transfer controlled theses into the Weber archive for storage.

Questions

If you have any questions or need clarification about a controlled thesis process, please contact Export Control for guidance at: exportcontrols@purdue.edu.

Need Help?

Contact the Purdue export control/information assurance team by email at exportcontrols@purdue.edu, by phone at (765) 494-6840, or in person on the 10th floor of Young Hall (155 S Grant St.).

Purdue University, West Lafayette, IN 47907 (765) 494-4600

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