Using Process Design Kits (PDKs) in Your Research
What is a PDK?
A PDK is a set of files used within the semiconductor industry to model a fabrication process for the tools used to design an integrated circuit. If you perform any kind of research in the microelectronics field you are probably familiar with these kits and may even have a need to acquire one from a foundry to further your work.
What are the export control compliance considerations when obtaining a PDK?
Understanding the PDK that you are receiving is important for complying with export control regulations. See the important considerations below.
The foundry supplying the PDK may require a Non-Disclosure Agreement
While some PDKs are open source, many are proprietary to the foundry. If in your initial talks with a foundry they advise that a Non-Disclosure Agreement (NDA) is needed to obtain the PDK, contact sbu_nda@stonybrook.edu to discuss further steps as you may not execute such an agreement on your own.
The PDK may be subject to export control restrictions
Many PDKs that are not open source will be subject to restrictions for export controls purposes. If you are discussing a PDK transfer with a foundry, please ask for the PDK’s Export Controls Classification Number (ECCN). The ECCN will determine what the export controls restrictions are. Depending on the ECCN, further risk mitigation and controls at SBU may be required to house the PDK here. The Office of Research Security will implement a Technology Control Plan for the PDK (prior to its transfer) when appropriate to control whom may have access.
The Fundamental Research Exclusion to Export Controls Does NOT Extend to Proprietary PDKs
While the results of fundamental research performed using a PDK may not be subject to export controls, any proprietary inputs to that research need to be assessed for export controls compliance. Hence it is important to ask for the PDK’s ECCN at the outset.
Certain students, postdocs, or staff in your lab may be restricted from having access to the PDK without an export license
For PDK ECCNs other than EAR99, SBU may also need an export license from the Department of Commerce to allow for you to provide a non-U.S. person access to the PDK. Access to an export-controlled PDK without a license may be a serious violation of export controls regulations. A non-U.S. person is anyone who is not a U.S. citizen, a Lawful Permanent Resident (Green Card holder), or a Protected Individual under US Law. Foreign students, postdocs, and staff here under a visa are non-U.S. persons.
Only the Office of Research Security at SBU can apply for an export license on your behalf
If the ECCN of the PDK is anything other than EAR99, contact ovpr_researchsecurity_admin@stonybrook.edu to discuss further requirements for Technology Control Plans and export license applications.
Receiving an export license takes time
While it is not possible to provide an exact timeframe, one should plan well ahead of time if needing an export license. In general this process can take between two and three months and there is no guarantee that a license application will be approved by the Department of Commerce.