Using Process Design Kits (PDKs) in Research
Overview
Process Design Kits (PDKs) are commonly used in semiconductor and microelectronics research to model semiconductor fabrication processes and support integrated circuit design. Researchers may obtain PDKs from commercial foundries or other external organizations as part of sponsored research, collaborative projects, or other research activities.
Although some PDKs are publicly available or open source, many are proprietary and subject to contractual restrictions, export control regulations, or other sponsor and institutional requirements. Depending on the PDK, additional review may be required before it is received, stored, accessed, shared, or transferred.
The Office of Research Security (ORS) assists faculty, staff, and students in identifying applicable export control, research security, sponsor, and contractual requirements before a proprietary PDK is acquired or used.
REQUEST AN EXPORT CONTROL REVIEW
Contact ORS Before You
Contact ORS before you:
- Obtain a proprietary Process Design Kit (PDK) from a foundry, collaborator, sponsor, or other external organization.
- Receive or be asked to sign a Non-Disclosure Agreement (NDA), license agreement, or other agreement related to a PDK.
- Receive a PDK that may be subject to export control restrictions.
- Provide access to a PDK to foreign students, postdoctoral researchers, staff, visitors, or collaborators.
- Store a proprietary or export-controlled PDK in University computing systems, shared research environments, or cloud services.
- Share or transfer a PDK outside the United States.
- Are uncertain whether export control, sponsor, contractual, or other institutional requirements apply.
Key Considerations
Not all Process Design Kits (PDKs) are subject to the same requirements.
Open-source or publicly available PDKs may not present the same contractual or export control considerations as proprietary PDKs.
Many proprietary PDKs, however, are distributed under license agreements, protected by confidentiality obligations, and may be subject to U.S. export control regulations. Researchers should not assume that all PDKs may be used, shared, or stored in the same manner. ORS can assist in determining the applicable requirements before a PDK is received or used.
Many proprietary PDKs are provided only after execution of a Non-Disclosure Agreement (NDA), license agreement, or other confidentiality agreement.
Researchers should not sign research-related agreements on behalf of the University. Proposed agreements should be forwarded for institutional review before execution.
Researchers should also review license agreements for restrictions on access, storage, sharing, publication, transfer, or other use of the PDK, as these requirements may affect how the PDK may be incorporated into a research project.
Many proprietary PDKs are subject to U.S. export control regulations.
Researchers should request the Export Control Classification Number (ECCN) from the foundry or provider, if available. The export classification helps determine whether restrictions apply to the receipt, storage, use, sharing, transfer, or export of the PDK.
If classification information is unavailable or unclear, ORS can assist in determining the applicable export control classification and requirements.
Some export-controlled PDKs may be subject to restrictions on release or access by foreign persons within the United States.
Depending on the export classification and applicable regulations, additional safeguards, a Technology Control Plan (TCP), an export license, or other authorization may be required before controlled technology or technical information is released to certain individuals.
Researchers should identify who will require access to the PDK before it is incorporated into a research project.
When appropriate, ORS may determine that a Technology Control Plan (TCP) is required for a proprietary PDK.
Technology Control Plans establish administrative, physical, and information security safeguards to ensure that export-controlled PDKs are accessed only by authorized individuals and handled in accordance with applicable regulatory requirements.
Export-controlled PDKs may not be shared with collaborators or transferred outside the United States without prior review.
International transfers—including electronic transmission, cloud storage, remote access, file sharing, or other methods of providing access—may require additional export control review before a transfer occurs.
Researchers planning to provide access to or transfer a proprietary PDK outside the United States should contact ORS before the activity occurs.
Researchers sometimes assume that because their research qualifies as fundamental research, the PDK itself is not subject to export controls. This is not necessarily the case.
While the results of fundamental research may be excluded from certain export control requirements, a proprietary PDK supplied by a commercial foundry or other organization remains subject to applicable contractual and export control requirements.
Researchers should consult ORS whenever they are uncertain whether fundamental research protections affect the proposed use or sharing of a proprietary PDK.
Related Guidance
| Related Guidance | Description |
|---|---|
| Export Control Classification | Learn how equipment, materials, software, technology, and technical information are classified under U.S. export control regulations. |
| Technology Control Plans | Learn when Technology Control Plans (TCPs) may be used to protect export-controlled technology, technical information, and research activities. |
| Foreign Person Participating in Research | Guidance for employing foreign national faculty, staff, postdoctoral researchers, and students participating in research activities. |
| Deemed Exports | Learn when releasing controlled technology or source code to a foreign person within the United States may constitute a deemed export. |
| Sponsor & Agreement Requirements | Guidance for reviewing and complying with research security, export control, information protection, publication, and other project-specific requirements contained in sponsor solicitations, award terms, and research agreements. |
| International Transfers (Shipments, Hand-Carry & Electronic Transmissions) | Guidance for shipping, mailing, hand-carrying, or electronically transferring research equipment, materials, software, technology, technical information, or research information internationally. |
Frequently Asked Questions
Are all Process Design Kits (PDKs) export controlled?
No. Export control requirements depend on the specific PDK, its classification, applicable regulations, and how it will be used or shared. Publicly available or open-source PDKs may present different requirements from proprietary PDKs.
Should I ask the foundry for the ECCN?
Yes. If available, the foundry is generally the best source for the Export Control Classification Number (ECCN). ORS can assist if classification information is unavailable.
Can foreign students or postdoctoral researchers access a proprietary PDK?
Possibly. Access depends on the PDK's export classification, licensing terms, and applicable export control requirements.
Can I sign the NDA or license agreement provided by the foundry?
No. Researchers should not sign research-related agreements on behalf of the University. These agreements must be reviewed through the University's established agreement review process.
Can I store a proprietary PDK in a shared network drive or cloud storage?
Possibly. Storage depends on the PDK's licensing terms, export classification, sponsor requirements, and any required Technology Control Plan. ORS can assist in determining appropriate storage and access controls.
Does the Fundamental Research Exclusion apply to proprietary PDKs?
Not necessarily. Fundamental research protections generally relate to the results of qualifying University research and do not automatically remove contractual or export control restrictions applicable to a proprietary PDK supplied by a third party.
Need Assistance?
Contact ORS before acquiring or using a proprietary PDK when you are uncertain whether export control, research security, sponsor, contractual, access, storage, or international transfer requirements apply. Early consultation helps identify applicable requirements before the PDK is incorporated into a research project.