Standard Cooperative Research And Development

Date: 21 January 1997
(4th Ed-Nov 96)


STANDARD
COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT
BETWEEN
THE NAVAL RESEARCH LABORATORY (NRL)
AND
IMPLANT SCIENCES CORPORATION (ISC)


AGREEMENT ADMINISTRATORS


NRL:


Technology Transfer Office: Dr. R. Rein, Code 1004, (202) 767-7230 Legal Counsel: Ms. H. J. Halper, Code 3008, (202) 767-2244 Program Manager: Dr. Harry Dietrich, Code 6856, (202) 767-1381


ISC:


Preferred Contact: Mr. Anthony J. Armini, (617) 246-0700 Legal Counsel: Mr. Peter B. Ellis of Foley, Hoag and Eliot


Agreement Title: Ion Implantation Technology for GaN and
Related Alloys


Agreement Number: NCRADA-NRL-97-132


1 2


TABLE OF CONTENTS


ARTICLE 1. INTRODUCTION.................................................................. 1
ARTICLE 2. SUMMARY....................................................................... 1
ARTICLE 3. BACKGROUND.................................................................... 3
4.1 "Agreement"............................................................ 3
4.2 "Computer Software".................................................... 4
4.3 "Computer Software Documentation"...................................... 4
4.4 "Cooperative Research"................................................. 4
4.5 "Data"................................................................. 4
4.6 "Government"........................................................... 4
4.7 "Government Purpose License Rights".................................... 4
4.8 "Invention"............................................................ 4
4.9 "Made"................................................................. 4
4.10 "Party(ies)"........................................................... 5
4.11 "Patent Application"................................................... 5
4.12 "Proprietary Information".............................................. 5
4.13 "Restricted Access Information"........................................ 5
4.14 "Subject Data"........................................................ 5
4.15 "Subject Invention".................................................... 6
4.16 "Unlimited Rights"..................................................... 6
ARTICLE 5. OBJECTIVES.................................................................... 6
ARTICLE 6. SCOPE AND RESPONSIBILITIES.................................................... 6
6.1 Scope.................................................................. 6
6.2 Responsibilities....................................................... 6
6.2.1 NRL Personnel, Facilities and Equipment ...................... 6
6.2.2 ISC Personnel, Facilities and Equipment....................... 7
ARTICLE 7. REPRESENTATIONS AND WARRANTIES................................................ 7
7.1 Representations and Warranties of NRL.................................. 7
7.2 Representations and Warranties of ISC.................................. 8
ARTICLE 8. FUNDING....................................................................... 9
ARTICLE 9. REPORTING AND PUBLICATIONS.................................................... 9
9.1 ISC Reports............................................................ 9
9.2 NRL Reports............................................................ 9
9.3 Agreement to Confer Prior to Publication............................... 10
9.4 Classified or Militarily Critical Technologies (MCT) Information....... 10


2 3


ARTICLE 10. INTELLECTUAL PROPERTY............................................................ 10
10.1 Data Rights................................................................ 10
10.1.1 Ownership, Rights, Use and Protection of Subject Data............. 10
10.1.2 Ownership, Rights, Use and Protection of Non-Subject Data......... 11
10.1.3 Determination and Marking of Proprietary and Restricted Access
Information....................................................... 12
10.2 Copyrights................................................................. 12
10.2.1 Copyright by ISC.................................................. 13
10.2.2 Copyright License to the Government............................... 13
10.2.3 Copyright Statement............................................... 13
10.3 Patent Rights.............................................................. 13
ARTICLE 11. PROPERTY......................................................................... 15
11.1 Title to Pre-Existing Facilities and Equipment............................. 15
11.2 Items Purchased by Parties................................................. 15
11.3 Title to Developed Property................................................ 15
11.4 Property Costs............................................................. 16
11.5 Disposal of Property....................................................... 16
ARTICLE 12. LIABILITIES...................................................................... 16
12.1 Government Liability....................................................... 16
12.2 Indemnification by ISC..................................................... 16
12.3 Force Majeure.............................................................. 17
ARTICLE 13. GENERAL PROVISIONS.............................................................. 17
13.1 Characteristics of the Agreement........................................... 17
13.1.1 Entire Agreement.................................................. 17
13.1.2 Severability...................................................... 17
13.1.3 Headings.......................................................... 17
13.2 Agreements between Parties................................................. 18
13.2.1 Governing Laws.................................................... 18
13.2.2 Independent Contractors/Entities.................................. 18
13.2.3 Amendments........................................................ 18
13.2.4 Assignment/Subcontracting......................................... 18
13.2.5 Termination....................................................... 19
13.2.6 Notices........................................................... 20
13.2.7 Disputes.......................................................... 21
13.2.8 Waivers........................................................... 21
13.2.9 Use of Name or Endorsements....................................... 21
13.3 Handling of Hazardous Substances........................................... 22
13.4 Officials Not to Benefit................................................... 22
13.5 U.S. Competitiveness....................................................... 22
13.6 Public Release of this Agreement Document.................................. 22
ARTICLE 14. EFFECTIVE DATE AND DURATION...................................................... 23


3 4


ARTICLE 15. SURVIVING PROVISIONS............................................................. 23
ARTICLE 16. SIGNATURES....................................................................... 24
APPENDIX A Statement of Work................................................................. 25
APPENDIX B Confirmatory Licence Agreement.................................................... 29


4 5


STANDARD
COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT
BETWEEN
THE NAVAL RESEARCH LABORATORY (NRL)
AND
IMPLANT SCIENCES CORPORATION (ISC)


ARTICLE 1. INTRODUCTION


Under the authority of the Federal Technology Transfer Act of 1986 (Public Law 99-502, 20 October 1986, as amended) the Naval Research Laboratory (NRL) and Implant Sciences Corporation (ISC), whose corporate headquarters are located at 107 Audubon Road Wakefield, MA 01880-1245, do hereby agree and do enter into this COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT, which shall be binding upon both Parties and their assigns according to the clauses and conditions hereof and for the term and duration set herein.


ARTICLE 2.SUMMARY


Ion implantation is a process that is integral to the fabrication of a variety of semiconductor devices. It has had a unique role in the development of the III-V device and IC technology. The Electronics Science and Technology Division at NRL has been a leader in the development and application of implantation into III-V materials for over two decades. Currently, the III-V material, GaN, and the related alloys of AlGaN are the object of extensive research directed toward the development of high-temperature, highpower devices and MMICs. NRL is a leader in the design and fabrication of these devices and has a strong interest in the development of implantation techniques for this material.


GaN and the related alloys are unique among the III-V's in that they are "wide-bandgap" semiconductors. It is this feature that makes them attractive for high temperature and high-power electronics, but it is also the fundamental reason that implantation into these materials is somewhat difficult. It requires the ability to do implants into the substrates at elevated temperature and it requires novel encapsulation and anneal techniques for the activation of the implanted species. NRL is not well equipped to address these unique aspects of implantation into GaN and its related alloys.


Implant Sciences is a national leader in the implantation of the Group IV widebandgap material SiC. The researchers at this company have developed high-temperature implantation techniques for this material and contributed to the understanding and technology development for the anneal of this material. Many of the Universities and Industrial research groups in this country use the implant services of Implant Sciences for SiC doping. Much of the work done by Implant Sciences in their successful effort to develop a position of preeminence in this area is applicable to the development of an implantation technology for GaN.


The interests and complementary strengths of NRL and Implant Sciences have lead to the initiation of this CRADA. NRL and Implant Sciences will collaborate under the terms of this agreement to develop and implement, for device and IC fabrication, an implantation technology for GaN and its related alloys.


5 6


ARTICLE 3. BACKGROUND


The Federal Technology Transfer Act of 1986, as amended, provides for making Federal laboratories' developments accessible to private industry, and to state and local governments, and for the improvement of economic, environmental and social well-being of the United States by stimulating the civil utilization of Federally-funded technology developments. NRL has extensive expertise and information in electronic materials development, and in keeping with the Federal Technology Transfer Act desires to make this expertise and technology available for use in the public sector.


ISC has the interest, resources, and technical expertise to incorporate the Navy developed work in products intended for sale. Therefore, in consideration of the mutual promises contained in this Agreement and for other good and valuable consideration, the Parties agree to the foregoing objectives and recitals and further agree as follows:


ARTICLE 4. DEFINITIONS


As used in this Agreement, the following terms shall have the following meanings and are equally applicable to both singular and plural forms of the terms defined:


4.1 "Agreement" means this Cooperative Research and Development Agreement (CRADA).


4.2 "Computer Software" means a combination of associated computer instructions and computer data definitions required to enable computer hardware to perform computational or control functions. Computer programs and computer data bases are included.


4.3 "Computer Software Documentation" means data including computer listings and printouts in human-readable form which (a) documents the design or details of computer software, (b) explains the capabilities of the software, or (c) provides operating instructions for using the software.


4.4 "Cooperative Research" means research performed under this Agreement pursuant to the objectives, scope and responsibilities, and statement of work by NRL or ISC alone or working together.


4.5 "Data" means recorded information of any kind of a scientific or technical nature, regardless of the form or method of the recording.


4.6 "Government" means the Government of the United States of America.


4.7 "Government Purpose License Rights" (GPLR) means the right to use, duplicate, or disclose Data, in whole or in part and in any manner, for Government purposes only, and to have or permit others to do so for Government purposes only. Government purposes include competitive procurement, but do not include the right to have or permit others to use Data for commercial purposes.


4.8 "Invention" means any invention or discovery which is or may be patentable under Title 35 of the United States Code.


4.9 "Made" when used in relation to any Invention, means the conception or first actual reduction to practice of such invention.


4.10 "Party(ies)" means the Navy participant(s) and/or the Non-Navy participant(s).


4.11 "Patent Application" means U.S. or foreign patent application, continuation, continuation-in-part, divisional, reissue and/or reexamination on any Subject Invention.


6 7


4.12 "Proprietary Information" means information which embodies trade secrets developed at private expense or business commercial or financial information that is privileged or confidential provided that such information:


(a) is not known or available from other sources without
obligations concerning its confidentiality;


(b) has not been made available by the owners to others
without obligation concerning its confidentiality;


(c) is not already available to the Government without
obligation concerning its confidentiality; and,


(d) has not been developed independently by persons who had no
access to the Proprietary Information.


4.13 "Restricted Access Information" means Subject Data generated by NRL that would be Proprietary Information if the information had bee ...