RESEARCH AGREEMENT (And Amendments)
This Research Agreement ("Agreement") is entered into by and
between AMTECH SYSTEMS INC. ("Sponsor") and THE REGENTS OF THE UNIVERSITY OF
CALIFORNIA ("University"), a nonprofit educational institution incorporated
under the laws of the State of California.
Witnesseth
WHEREAS, Sponsor possesses an ownership interest in United
States Patent No. 5,215,588 entitled "Photo-CVD System" and issued on June 1,
1993 to Xx X. Xxxxx of Mesa, Arizona; and
WHEREAS, Sponsor claims existing rights in intellectual
property under continuation-in-part to U.S. Patent No. 5,215,588, Patent
Application Serial No. 08/067,286, filed on May 25, 1993 (hereinafter referred
to as Method A); and
WHEREAS, University claims existing rights in intellectual
property whose conception occurred before the period covered by this Agreement,
is included in disclosure UC Case No. 93-338-1, and is entitled "Parallel Purge
Configuration for Photo-CVD Process (UCSC B)" (hereinafter referred to as Method
B); and
WHEREAS, University claims existing rights in intellectual
property whose conception occurred before the period covered by this Agreement,
is included in disclosure UC Case No. 93-338-1, and is entitled "Perpendicular
Purge Configuration for Photo-CVD Process (UCSC C)" (hereinafter referred to as
Method C); and
WHEREAS, the research project contemplated by this Agreement
is of mutual interest and benefit to University and to Sponsor, will further the
instructional, scholarship and research objectives of University in a manner
consistent with its status as a nonprofit, tax-exempt, educational institution,
and is intended to further the business objectives of Sponsor and to provide
benefits to Sponsor through the actual reduction to practice of Method A under
this Agreement; and
WHEREAS, in this Agreement the term Improvement Invention
shall mean any patentable invention owned by the University which includes or
broadens one or more of the claims in Method A and which is conceived and first
actually reduced to practice during the course of performing the research under
this Agreement; and
WHEREAS, it is anticipated that University will, as a result
of the research project, design and build a Photo-CVD (chemical vapor
deposition) prototype and it is intended that Sponsor shall receive certain
rights to such prototype in accordance with the terms of this Agreement; and
NOW, THEREFORE, in consideration of the premises and mutual
covenants herein contained, the parties hereto agree to the following:
1. Research Work
1.1 University shall use reasonable efforts to perform
the Research described in Exhibit A hereto which is
incorporated herein, (hereinafter referred to as the
"RESEARCH"), under the direction of Xxxxx X. Xxxxxxxx
as "Principal Investigator," substantially in
accordance with the terms and conditions of this
Agreement. Anything in this Agreement to the contrary
notwithstanding, Sponsor and University may at any
time amend the RESEARCH by mutual written agreement.
1.2 In the event that the Principal Investigator becomes
unable or unwilling to continue the RESEARCH, and a
mutually acceptable substitute is not available,
University or Sponsor shall have the option to
terminate this Agreement.
1.3 University shall provide all necessary facilities to
properly and fully perform the RESEARCH and to
construct and test the Photo-CVD prototype.
2. Period of Performance
2.1 The period of performance of this Agreement is March
1, 1994 through April 30, 1995. This Agreement shall
become effective upon the date of last signature
hereto and shall continue in effect for the full
duration of the period of performance unless sooner
terminated in accordance with the provisions of
Article 9. Notwithstanding the effectiveness of the
Agreement as described herein paragraphs 4.3 and 6.1
shall continue in effect for the periods stated
herein.
3. Reports
3.1 University shall furnish Sponsor letter reports in
such frequency as mutually agreed to by the parties,
but no less than monthly, summarizing the work
conducted. In addition, on no less than a quarterly
basis, University and Principal Investigator shall
provide oral presentations in person as to the status
of the RESEARCH to Sponsor and Sponsor's guests at
the site of the RESEARCH or at Sponsor's offices at
Sponsor's request. A final report setting forth the
accomplishments and significant research findings,
equipment development and plans shall be prepared by
University and submitted to Sponsor within thirty
(30) days of the expiration of the Agreement.
4. Costs, Xxxxxxxx and Other Support
4.1 It is agreed to and understood by the parties hereto
that, subject to Article 2, total costs to the
Sponsor hereunder shall not exceed the amount of
$360,549. Payment shall be made by Sponsor on a
reasonable cost reimbursable basis monthly in arrears
upon submission of invoices by the University in
accordance with the schedules attached hereto as
Exhibit B. Invoices submitted by the University shall
not vary by more than five percent (5%) of the
attached schedules on a quarterly basis.
4.2 Checks shall be made payable to The Regents of the
University of California and sent to:
University of California, Santa Xxxx
Cashier's Xxxxxx
000 Xxxx Xxxxxxx Xxxxxxxx
Xxxxx Xxxx, XX 00000
4.3 In the research, development, planning and
construction of a photo enhanced CVD prototype used
in the processing and manufacturing of semiconductor
devices, and in other aspects of the RESEARCH, the
equipment and machinery utilized therein shall
primarily be provided by Sponsor through the funding
of the RESEARCH as described in paragraph 4.1 hereof.
In addition, University may be required to utilize
some equipment for certain of the components of the
prototype and in other aspects of the RESEARCH.
Although the University shall retain title to any
such equipment and the prototype, it shall be subject
to the rights of Sponsor to retain the intellectual
property rights derived from the RESEARCH and other
rights outlined in Articles 5 and 8 hereof.
University shall maintain in good working order and
condition the equipment and CVD prototype and shall
provide Sponsor with the right of access and
noncommercial use of the equipment and prototype on
at least a monthly basis for a two year period
commencing with the termination of this Agreement.
Sponsor shall reimburse University for the cost of
chemicals and supplies necessary to process samples
for the purpose of demonstrating the equipment and
prototype during the period of access by Sponsor.
4.4 In the event of termination of this Agreement by
Sponsor pursuant to Article 9 hereof, Sponsor shall
pay all costs accrued by University as of date of
termination, including noncancellable obligations.
5. Publicity and Business Development
5.1 University understands and agrees that Sponsor is a
public corporation and will inform its shareholders
and issue a news release that it has entered into
this Research Agreement with University for the
RESEARCH as described on Exhibit A and for the
development, design and construction of
photo-enhanced CVD equipment and machinery used in
the processing and manufacturing of semiconductor
devices. Sponsor shall have the right to visit the
site of the RESEARCH at the University and to
demonstrate any achieved results of the RESEARCH and
the development, construction and use of the
Photo-CVD equipment and machinery developed by
University. Principal Investigator will cooperate
with Sponsor in this endeavor. Sponsor shall agree
that such visits to the research site shall be on a
reasonable basis and will not exceed more than one
visit per month.
5.2 With the exception of informing shareholders and
issuing news releases as described in paragraph 5.1,
nothing in this Agreement shall entitle Amtech to use
the University's name, nor any employee of
University, in any publicity or advertising without
the prior written approval of University. University
will not use the name of Sponsor, nor any employee of
Sponsor, in any publicity without the prior written
approval of Sponsor.
6. Confidentiality
6.1 University agrees that information, techniques and
methods obtained in and through the RESEARCH and
related to the development, design and construction
of the Photo-CVD prototype shall be considered
Confidential Information. Such Confidential
Information whether provided by Sponsor or
independently developed by University which is not
specifically excepted in paragraph 6.2 hereof, shall
be held in strict confidence for the term of this
Agreement and for a period of three (3) years after
its termination. University agrees to safeguard such
Confidential Information against disclosure to others
with the same degree of care as it exercises with its
own information of a similar nature. University will
take all reasonable efforts to prevent disclosure to
third parties of such Confidential Information.
6.2 University shall not be required to keep confidential
the following: (1) information which is now common
knowledge or subsequently becomes such through no
breach of this Agreement; (2) information which
reveals the results of the RESEARCH without
disclosing the methods by which the results are
obtained; or (3) information which is required to be
disclosed by law.
7. Publications
7.1 University shall have the right to publish research
information of general scientific and academic
interest so long as said publications do not reveal
information University agrees to keep confidential
pursuant to Article 6. University shall furnish
Sponsor with a copy of any proposed publication at
least sixty (60) days prior to submission for
publication. Sponsor within thirty (30) days of
receipt of the proposed publication shall determine
if said proposed publication reveals Confidential
Information of Sponsor or would otherwise violate
this Agreement. In the event Sponsor determines that
its Confidential Information is disclosed in such
publication, it shall notify University and such
information will be removed from the publication.
Unless Sponsor notifies University within said thirty
(30) day period, University shall have the right to
submit said publication.
8. Intellectual Property Rights
8.1 Ownership of Inventions
-----------------------
Any patentable invention or discovery invented solely
by employees of University arising from research
conducted under this Agreement shall be the sole
property of University and shall be disposed of in
accordance with University's policies subject to the
terms of this Agreement. Any patentable invention or
discovery invented solely by employees of Sponsor
arising from research conducted under this Agreement
shall be the sole property of Sponsor and shall be
disposed of in accordance with Sponsor's policies
subject to the terms of this Agreement.
For any invention or discovery jointly invented by
University and Sponsor arising from research
conducted under this Agreement, each party shall, in
accordance with the patent laws of inventorship, own
an undivided interest in the invention. Any and all
joint inventions shall be fully and promptly
disclosed in writing and in confidence to the other
party. The parties agree to consult with one another
prior to taking any action to obtain patent
protection of such joint invention and shall attempt
to agree on patent applications to be filed and such
invention to be administered.
Inventorship shall be determined in accordance with
U.S. patent laws.
8.2 Licensing Rights to University Inventions
-----------------------------------------
Unless it is determined by a court of competent
jurisdiction that University is unable to do so and
provided that Sponsor pays the full costs of the
research project supported by this Agreement as set
forth in the schedules attached hereto as Exhibit B,
Sponsor shall be given a time-limited first right to
negotiate an exclusive, royalty-bearing license to
make, use and sell any patentable invention which is
either 1) both (a) included in Method B or Method C
and (b) first actually reduced to practice in the
performance of research under this Agreement
("Research Invention") or 2) conceived and first
actually reduced to practice in the performance of
research under this Agreement. This license right
shall exclude those using laser or rare gas halogen
excimer light sources. It is specifically understood
and agreed that Method A shall be the primary focus
of this RESEARCH.
University shall promptly disclose to Sponsor in
writing and in confidence any such invention or
discovery arising under this Agreement; Sponsor shall
notify University in writing within ninety (90) days
of disclosure to Sponsor whether or not it wishes to
secure a commercial license to such invention. If
Sponsor elects to secure a license, Sponsor shall
assume all costs associated with securing and
maintaining patent protection from the date of
disclosure through the term of the license for such
invention(s), whether or not Letter Patent issues.
The parties shall negotiate in good faith said
license, which shall include, but not be limited to:
o reasonable terms;
o diligence requirements which are no more
restrictive than performance by Sponsor to
market the product under such license in
countries including the United States within
twenty-four (24) months of the date of full
execution of such license and in quantities
sufficient to meet the market demands
therefor; and
o Sponsor's continuing obligation to pay patent
costs.
Sponsor shall have an additional one hundred twenty
(120) days from the date of election to conclude a
license agreement with University. If Sponsor does
not elect to secure such license or if such license
agreement is not concluded in said period, rights to
the inventions disclosed hereunder shall be disposed
of in accordance with University policies with no
further obligation to Sponsor.
Further, the earned royalty rate in any such license
to an invention which is an Improvement Invention
shall be one-half percent (0.5%) of Net Sales of all
products sold under the license. In addition, the
earned royalty rate in any such license to an
invention which is a Research Invention shall be not
less than two percent (2%) and not more than four
percent (4%). For Research Inventions which are
jointly owned, the specific royalty rate shall
reflect the relative contributions of the Sponsor and
the University to such joint inventions. Net Sales
shall mean the total of the gross invoice prices of
Licensed Product sold less the sum of the following
actual and customary deductions where applicable:
cash, trade, or quantity discounts, sales, use,
tariff, import/export duties or other excise taxes
imposed upon particular sales; transportation charges
and allowances or credits to customers because of
rejections or returns.
8.3 Nothing contained in this agreement shall be deemed
to grant either directly or by implication, estoppel,
or otherwise any rights under any patents, patent
applications or other proprietary interests, whether
dominant or subordinate, or any other invention,
discovery or improvement of either party, other than
the specific patent rights covering inventions
arising under this Agreement.
9. Termination
9.1 Either party may terminate this Agreement upon thirty
(30) days prior written notice to the other.
9.2 Termination of this Agreement by either party for any
reason shall not effect the rights and obligations of
the parties accrued prior to the effective date of
termination. No termination of this Agreement,
however effectuated, shall affect the University's or
Sponsor's rights and obligations under Article 8
thereof, or release the parties hereto from their
rights and obligations under Articles 4, 5, 6, 7, 8
and 10.
10. Independent Contractor
10.1 In the performance of all services hereunder:
10.1.1 University shall be deemed to be and shall
be an independent contractor and, as such,
University shall not be entitled to any
benefits applicable to employees of Sponsor.
10.1.2 Neither party is authorized or empowered to
act as agent for the other for any purpose
and shall not on behalf of the other enter
into ny contract, warranty, or
representation as to any matter. Neither
shall be bound by the acts or conduct of the
other.
11. Insurance and Indemnification
11.1 University warrants and represents that University
has adequate liability insurance, such protection
being applicable to officers, employees and agents
while acting within the scope of their employment by
University, and University has no liability insurance
policy as such that can extend protection to any
other person.
11.2 University shall defend, indemnify and hold Sponsor,
its officers, employees, or agents harmless from and
against any and all liability, loss, expense,
attorneys' fees or claims for injury or damages
arising out of the performance of this agreement, but
only in proportion to and to the extent such
liability, loss, expense, attorneys' fees, or claims
for injury or damages are caused by or result from
the negligent or intentional acts or omissions of
University, its officers, agents, or employees.
11.3 Sponsor shall defend, indemnify and hold University,
its officers, employees, or agents harmless from and
against any and all liability, loss, expense,
attorneys' fees or claims for injury or damages
arising out of the performance of this Agreement, but
only in proportion to and to the extent such
liability, loss, expense, attorneys' fees, or claims
for injury or damages are caused by or result from
the negligent or intentional acts or omissions of
Sponsor, its officers, agents, or employees.
12. Assignment
12.1 This Agreement shall not be assigned by either party
without prior written consent of the parties hereto
excepting so far as Amtech may transfer all rights
and duties under this Agreement to its successor in
interest.
13. Agreement Modification
13.1 Any agreement to change the terms of this Agreement
in any way shall be valid only if the change is made
in writing and approved by mutual agreement of
authorized representatives of the parties hereto.
14. Notices
14.1 Any notices given under this Agreement shall be in
writing and delivered by first-class mail, postage
prepaid, or by overnight courier service addressed to
the parties as follows:
14.1.1 For Sponsor:
X. X. Xxxxx, President
Amtech Systems, Inc.
000 Xxxxx Xxxxx Xxxxx
Xxxxx, XX 00000
14.1.2 For University (contractual):
Xxxx X. Xxxxxx
Contracts and Grants Office
University of California, Santa Xxxx
399C Applied Sciences Building
Xxxxx Xxxx, Xxxxxxxxxx 00000
14.1.3 For University (technical):
Xxxxx X. Xxxxxxxx
Board of Studies in Chemistry
University of California, Santa Xxxx
0000 Xxxx Xxxxxx
Xxxxx Xxxx, Xxxxxxxxxx 00000
15. Entire Agreement
15.1 This Agreement constitutes the entire understanding
between the parties hereto and there are no
collateral, oral or written agreements or
understandings. This Agreement supersedes any prior
oral or written agreement or understanding between
the parties.
IN WITNESS WHEREOF, the parties have executed this Agreement
in two or more counterparts, each as an original and all together as one
instrument as of the date of last signature below written.
AMTECH SYSTEMS, INC. THE REGENTS OF THE
UNIVERSITY OF CALIFORNIA
By /s/X. X. Xxxxx By /s/ Xxxx X. Xxxxxx
-------------------------------- --------------------------------
Name X. X. Xxxxx Name Xxxx X. Xxxxxx
-------------------------------- --------------------------------
Title President Title Contracts and Grants Manager
-------------------------------- --------------------------------
Date 3-2-94 Date 2-28-94
-------------------------------- --------------------------------
EXHIBIT A
RESEARCH WORK
A Proposal From
The Regents of the University of California
to
Amtech Systems Inc.
000 Xxxxx Xxxxx
Xxxxx, Xxxxxxx 00000
Photo-CVD Equipment and Process
Principal Investigator:
Xxxxx X. Xxxxxxxx
Professor of Chemistry
University of California
Xxxxx Xxxx, XX 00000
Abstract
This proposal is for the development of a single wafer/flatpanel photo-CVD tool.
Silicon oxide and silicon nitride depositions will be demonstrated and
characterized. The photo-CVD tool will be very useful for thinfilm depositions
for integrated circuit applications, for flat panel displays, and for solar
panel applications. This proposal is for the time period 1 Jan 1994 to 28
February 1995. The proposal is for $360,549 in direct and indirect costs. The
University of California cost sharing is $165,400 in equipment.
Proposal
This proposal from the Regents of the University of California to Amtech Systems
Inc is for a grant to support work in the laboratory of Xxxxxxxxx Xxxxx X.
Xxxxxxxx that will develop a photo-CVD tool. The goal of the research and
development work will be the design and characterization of a photo-CVD tool
that will provide a variety of thinfilm depositions with good thickness
uniformity and convenient process control.
Attached to this proposal are the following items: Work plan for photo-CVD
equipment development; Time line for photo-CVD equipment; Detailed budget
including salaries, supplies, and equipment; Equipment justification; and a burn
rate estimate. The cumulative monthly totals will not be exceeded for a given
month. The Photo-CVD Prospectus and CV for Xxxxx X. Xxxxxxxx have been forwarded
to Amtech in October. The background and context for this proposal is described
in the Prospectus.
The grant will provide salaries, benefits, and overhead for the R&D team who
will develop the photo-CVD tool. The grant will also purchase required equipment
for the tool development, and the components of the prototype. The grant will
also provide a budget for expendable supplies. Much detail is provided in the
attached budget pages.
Large identified budgetary items are for salaries. I will head up the project,
but two post-doctoral people will be hired to do most of the design and process
development work. The grant will also support one graduate student for one year,
and one graduate student for the summer of 1994.
The overall work product will be AUTOCAD designs for the Photo-CVD tool and the
test results for all designs that were built. The research effort is likely to
result in the optimal design for a single wafer Photo-CVD tool. In particular
the research effort will provide a good solution to the problem of coating
optics in photo-CVD depositions. The photo-CVD prototype will provide simple
evaluation of different purge configurations that can solve this problem. The
purge configuration described in the Amtech patent will be the primary focus of
this work.
The photo-CVD tool will be designed to deposit thinfilms on a single substrate
up to 200 mm in width. The substrates will be loaded by opening one end of the
chamber. The design will allow convenient use of a variety of conventional UV
lamps as well as excimer lasers. The first testing of the photo-CVD tool will
simply use low pressure mercury lamps to photolyze metal carbonyl molecules. The
resulting metallic coatings will be provide a good evaluation of both the purge
technology and the deposition uniformity. The photo-CVD tool will be built
utilizing UV lamps that provide illumination over a long narrow region, and the
lamps may provide cw or pulsed light. The illuminated region on the wafer has
quite small area but the long direction of the illumination is long enough to
extend the width of the substrates. Use of a small illuminated region minimizes
the necessary purge gas flow, and this will greatly help provide deposition
uniformity across the width of the substrate. Uniformity over the entire
substrate will be obtained using several UV lamps for the Amtech purge
configuration or by moving the substrates in the direction perpendicular to the
length of the photolysis lamps. The length of the motion will be made large
enough to allow convenient loading and unloading of the substrates. After the
tool is producing uniform depositions with the low intensity conventional UV
sources, it will be with the use of an excimer laser as the source of UV
photons. The photo-CVD tool will also include some in-situ thinfilm measurements
that will greatly speed up process development. The process parameters (gas
composition and pressure, temperature, and scan rate) will be computer
controlled.
It should be easy to market copies of the UCSC developed photo-CVD tools to R&D
laboratories of the semiconductor industries. Once the industry accepts the
technology, the photo-CVD technology can be repackaged for use with the cluster
tools of various semiconductor equipment companies.
WORK PLAN for Photo-CVD development
(Note: This assumes a starting date of 15 February 1994. For a later starting
date add the delay to these dates.)
Start 15 February 1994
Order AUTOCAD computer system. 20 February 94: start 2 postdoctoral positions on
25 April 94.
Task I: Finish 26 April 1994
Machine drawings for photo-CVD vacuum chamber, drawings for substrate
heated stage, bids and order for vacuum chamber construction,
quotations and orders for vacuum pumps, pressure gauges, vacuum
feedthroughs, heaters, temperature controllers, linear motion and
sensing, vacuum stand, fasteners and seals, venting and electrical for
vacuum pumps. Preliminary value engineering.
Task II: Finish 5 August 1994
Order control computer and interface, power supplies. Assemble and test
vacuum chamber, test translation and heating of substrate stage.
Specify and order gas tray with MFCs and valves. Write preliminary
version of control software. Design the patented Amtech purge
configuration into hardware as the first purge configuration and
specify conventional UV light source. Refine value engineering. Silane
facilitization of laboratory.
Task III: Finish 9 November 1994
Construct bubbler for metal carbonyls, construct chamber exhaust metal
carbonyl destroyer for safety. Assemble simple in-situ thinfilm
thickness monitor. Install RGA. Test Amtech purge configuration.
Determine effect of process and purge gas flow and temperature on
thinfilm uniformity. Test horizontal purge design. Test other purge
configurations if necessary.
Task IV: Finish 18 April 1995
Demonstrate silicon oxide and silicon nitride depositions with low
pressure mercury lamp and excimer laser irradiation. Proceed with
flashlamp and mercury sensitization. Refine AUTOCAD drawings and part
lists. Final Report.
Interim progress reports:
Short reports will be submitted on the first of every month during the
project, and summary reports will be submitted at the finish date for
each task. Trips to Amtech will be made at the conclusion of tasks II,
III, and IV.
AUTOCAD files, parts lists
AUTOCAD files and parts lists including vendors and prices will be
available at the conclusion of tasks III and IV.
PHOTO CVD TOOL
Task Name Responsible Start Duration End
Design Prototype 15/Feb/94 105.00 d 20/Jul/94
Specify/delivery of AUTOCAD computer RWA 15/Feb/94 15.00 d 08/Mar/94
Recruit for 2 postdocs 15/Feb/94 45.00 d 22/Apr/94
Order Vacuum Pumps, pressure gauges RWA 15/Feb/94 2.00 d 16/Feb/94
Order ellipsometer 17/Feb/94 2.00 d 18/Feb/94
Drawings for Vacuum Chamber RWA 09/Mar/94 20.00 d 06/Apr/94
Drawings for Substrate heated stage RWA 07/Apr/94 5.00 d 14/Apr/94
Order vacuum feedthroughs RWA 25/Apr/94 1.00 d 25/Apr/94
Order heaters, temperature controllers RWA 26/Apr/94 1.00 d 26/Apr/94
Order linear motion equipment RWA 27/Apr/94 1.00 d 27/Apr/94
Order vacuum stand RWA 15/Mar/94 5.00 d 21/Mar/94
Laboratory facilities RWA 09/Mar/94 90.00 d 20/Jul/94
Order fasteners and seals RWA 07/Apr/94 5.00 d 14/Apr/94
Postdocs arrive 25/Apr/94 1.00 d 25/Apr/94
Task I 26/Apr/94 0.00 d 26/Apr/94
Assemble Prototype 27/Apr/94 70.00 d 05/Aug/94
Take delivery of ordered items 27/Apr/94 1.00 d 27/Apr/94
Specify and build gas tray PD1 27/Apr/94 20.00 d 25/May/94
Specify and build bubbler PD1 26/May/94 13.00 d 14/Jun/94
Design and construct first purge PD2 27/Apr/94 35.00 d 16/Jun/94
Construct exhaust conditioner PD2 15/Jun/94 15.00 d 06/Jul/94
Assemble and test vacuum chamber PD1 15/Jun/94 36.00 d 04/Aug/94
Test translation and heating PD2 07/Jul/94 22.00 d 05/Aug/94
Order control computer Grad 27/Apr/94 5.00 d 03/May/94
Construct computer interface Grad 04/May/94 15.00 d 25/May/94
Write control software Grad 26/May/94 30.00 d 08/Jul/94
Order, delivery of gases/chemicals Grad 11/Jul/94 20.00 d 05/Aug/94
Order Hg lamps, mount, power supply RWA 17/May/94 5.00 d 24/May/94
Task II 05/Aug/94 0.00 d 05/Aug/94
Purge and process tests 21/Jun/94 131.65 d 30/Dec/94
Assemble in-situ thickness monitor PD1 05/Aug/94 15.00 d 26/Aug/94
Install RGA PD2 05/Aug/94 15.00 d 26/Aug/94
Test lamps and optics Grad 05/Aug/94 15.00 d 26/Aug/94
Test first purge with NI(CO)4 PD1 26/Aug/94 5.00 d 02/Sep/94
Determine, process effects PD1 02/Sep/94 20.00 d 03/Oct/94
Analyze NI films Grad 26/Aug/94 53.50 d 15/Nov/94
Build 2nd purge configuration PD2 02/Sep/94 17.50 d 28/Sep/94
Test 2nd configuration PD1 03/Oct/94 25.00 d 09/Nov/94
Design water cleaning module PD1 09/Nov/94 34.50 d 30/Dec/94
Design excimer laser optics Grad2 21/Jun/94 33.00 d 05/Aug/94
Research pulsed light sources Grad2 08/Aug/94 27.00 d 14/Sep/94
Design Hg sensitization process Grad 15/Nov/94 20.00 d 14/Dec/94
Modifications indicated during Task III PD2 28/Sep/94 27.00 d 07/Nov/94
Task III 09/Nov/94 0.00 d 09/Nov/94
Oxide and Nitride Process 09/Nov/94 103.32 d 18/Apr/95
Demonstrate silicon oxide w/Hg lamps PD2 09/Nov/94 34.00 d 30/Dec/94
Analyze lamp oxide samples PD2 30/Dec/94 20.00 d 02/Feb/95
Demonstrate silicon nitride w/Hg lamps PD1 30/Dec/94 25.00 d 10/Mar/95
Demonstrate silicon oxide with laser PD2 02/Feb/95 25.00 d 10/Mar/95
Analyze laser oxide samples PD2 10/Mar/95 20.00 d 07/Apr/95
Demonstrate silicon nitride with laser PD1 10/Mar/95 20.00 d 07/Apr/95
Analyze laser nitride samples PD1 07/Apr/95 4.00 d 18/Apr/95
Design flash lamp source Grad 14/Dec/94 78.82 d 12/Apr/95
Revise drawings RWA 10/Mar/95 22.50 d 11/Apr/95
Final Report RWA 06/Apr/95 5.00 d 18/Apr/95
Task IV 18/Apr/95 0.00 d 18/Apr/95
Printed: 17/Feb/94
Page 1
EXHIBIT B
DETAILED BUDGET: 03/01/94 - 04/30/95 RESEARCH BUDGET
BUDGET CATEGORY AMTECH UCSC TOTAL
A. SENIOR PERSONNEL
1. Principal Investigator (PI)
Dr. Xxxxx Xxxxxxxx
100% time 3.00 sum mos 21,576 0 21,576
Total Senior Personnel 21,576 0 21,576
B. OTHER PERSONNEL
1. Postdoctoral Researcher
To Be Selected
100% time 12.00 mos ea yr 26,742 0 26,742
2. Postdoctoral Researcher
To Be Selected
100% time 12.00 mos ea yr 26,742 0 26,742
3. Graduate Student Researcher (GSR)
To Be Selected
1 50% time 9.00 acad mos 10,173 0 10,173
4. Graduate Student Researcher (GSR)
To Be Selected
2 50% time 3.00 sum mos 7,722 0 7,722
5. Undergraduate Student Assistants
274 hours acad mos 1,404 0 1,404
Total Other Personnel 72,783 0 72,783
TOTAL SALARIES AND WAGES 94,359 0 94,359
C. FRINGE BENEFITS Yr 1 Yr 2
(resp ea yr
1. P.I.'s acad mos 19.00% 20.00% 0 0 0
2. P.I.'s sum mos 3.40% 3.40% 734 0 734
3. P.I.'s OASDI 6.20% ea yr 506 0 506
4. Postdoctoral
Researcher 18.50% 19.00% 4,947 0 4,947
5. Specialist 18.50% 19.00% 4,947 0 4,947
6. GSR acad mos 2.24% ea yr 228 0 228
7. GSR sum mos 2.24% ea yr 173 0 173
8. USA acad mos 2.24% ea yr 31 0 31
9. Tuition remission
and fees 2,307 0 2,307
10. Student Health
Insurance (GSHIP) 568 0 568
TOTAL FRINGE BENEFITS 14,441 0 14,441
TOTAL SALARIES, WAGES,
AND FRINGE BENEFITS 108,800 0 108,800
DETAILED BUDGET: 03/01/94 - 04/30/95
BUDGET CATEGORY AMTECH UCSC TOTAL
D. PERMANENT EQUIPMENT-
PLEASE SEE ATTACHED LISTING 159,705 165,400 325,105
E. TRAVEL
Domestic
1. Travel to Amtech 2,000 0 2,000
2. Travel to MRS meeting 1,200 0 1,200
TOTAL TRAVEL 3,200 0 3,200
F. PARTICIPANT SUPPORT COSTS 0 0 0
G. OTHER DIRECT COSTS
1. Materials and Supplies-
Please see attached listing 20,200 0 20,200
2. Other
a. Machine and glass shop charges 3,000 0 3,000
b. Postage, long-distance telephone,
tax, e-mail duplicating 1,800 0 1,800
Total Other 4,800 0 4,800
TOTAL OTHER DIRECT COSTS 25,000 0 25,000
--------------------------------------------------------------------------------
H. TOTAL DIRECT COSTS 296,705 165,400 462,105
--------------------------------------------------------------------------------
I. INDIRECT COSTS
1. Indirect Cost Base 134,125 0 134,125
--------------------------------------------------------------------------------
2. On-campus research rate
47.6% of MTDC 63,844 0 63,844
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
J. TOTAL DIRECT AND INDIRECT COSTS 360,549 165,400 525,949
--------------------------------------------------------------------------------
supplies cvd
PHOTO-CVD SUPPLIES
Supply Budget
1. Gases
Silanes, nitrous oxide, ammonia, $8,000
hydrogen fluoride, fluorine, rare
gases, hydrogen, nitrogen, oxygen, ...
Total Gases $8,000
2. Chemicals
Metal Carbonyls $600
Total Chemicals $600
3. Optics
Supersil Windows $3,000
Total Optics $3,000
4. Misc Supplies
Liquid nitrogen for purge $1,800
Vacuum Pump Oil $500
Electronic Components $1,000
VCR Gaskets, tubing $500
Silicon, glass substrates $2,000
Floppy disks 8 backup tapes $300
Total misc supplies $6,100
5. Outside services
Thinfilm Analysis $2,500
DIRECT SUPPLY TOTAL $20,200
Page 1
equipment 11
PHOTO-CVD TOOL
EQUIPMENT (no indirect costs) Amtech UCSC
Total w/o tax, ship $145,220 $165,400
Total w/tax, ship $159,705
1. Autocad Computer System
486 DX2/66 Computer $2,400
Multiscan monitor $1,000
AutoCad software $1,000
Printer $1,400
Total CAD system $5,800 $5,800
2. Photo-CVD Tool
A. General Facility $2,000 $500
Stand for Vacuum Chamber $1,000
Electronics/computer racks $500
Vent, electrical for vac pun $1,000
B. Vacuum Chamber $22,000 $2,500
Main vacuum enclosure $15,000
Electrical feedthroughs $1,000 $500
Motion feedthroughs $1,000 $1,000
Gas feedthroughs $1,000 $1,000
Flanges for lamp mounting $2,000
Flange for substrate loading $1,000
Fasteners and seals $1,000
C. Vacuum pumping and general gauging $24,800 $26,200
Mechanical pump 36.7 CFM $5,000
Roots/Mech pump 179 CFM $13,300
2 Foreline traps $700 $700
5 Bellows vacuum valves $2,800 $700
SS flex tube/Fittings $2,000
Butterfly valve $2,500
4 Baratrons $2,000 $2,000
Adaptor pressure control $2,000
Gate Valve $4,200
Cryopump $5,000
Compressor $5,000
Flexline $600
Vacuum Collars - Cryopump $2,000
Ionization Gauge $500
D. Substrate stage $6,000 $6,000 $4,000
Linear bearings, material
Page 1
Translation mechanism (motor or air)
Position sensing
Heater and temperature control $1,000
Stepper Motor Control $3,000
E. Process Gas control $23,820 $26,700
10 Mass flow controllers $4,800 $10,000
2 MFM $1,620
20 Filters $1,300
32 Bellows sealed valves $1,000 $7,200
VCR fittings $1,200 $1,000
Computer solenoid valves $1,000
Differential Baratron gauge $1,500
Gas heating $1,000
Gas Regulators $2,000 $6,000
Stainless steel tubing $200
Bubbler for liquid reactant $4,000 $1,000
2 Five Channel MFC control $3,700
Pressure readout $2,000
F. Photolysis lamp assembly, light sources $30,000 $71,000
Materials, quartz, contruc $18,000
Purge control $2,000
Lamps/power supplies $10,000 $1,000
Excimer laser $70,000
G. 486 Computer For Process Control $4,800 $4,800 $500
A/D and D/A for MFCs
A/D for pressure sensing
Interface for temperature control
Interface for substrate scanning
5, +15,-15, 24 volt power supplies $500
H. Enhancements $5,000 $31,000
RGA $2,000 $30,000
In-situ thickness monitorir $3,000 $1,000
I. Safety Equipment $11,500 $3,000
Hazardous gas sensing $1,500 $3,000
Burn box/Scrubber $2,000
Facilitize Lab for silane use $8,000
J. Thinfilm Analysis Equipment $9,500
Ellipsometer $9,500
Page 2
Photo-CVD Equipment Justification
This document provides additional comments about the equipment budget items.
1. Autocad Computer System
This computer system and laser printer will be used to design the
photo-CVD equipment and the microwave excited rare gas/halogen light
source, and to make the machine drawings necessary for their
construction. These files will be sent to Amtech at the conclusion of
Tasks III and IV.
2. Photo-CVD Equipment
A. General Facility
This budget item will provide the stand for the equipment and pay for
the electrical connections and venting of the equipment and vacuum
pumps. The UCSC contribution is for an electronic rack
B. Vacuum Chamber
This budget item will provide the basic vacuum chamber and its flanges
and connections to the outside world. Once the main chamber design is
fixed, a decision will be made whether the chamber should be machined
from solid aluminum blocks, hydroformed, or welded from smaller pieces.
The UCSC contribution is for various feedthroughs.
C. Vacuum pumping and general gauging
Xxx 00.0 xxxxxx xxxx (XX X00X) will be used for cryopump backing and
roughing down the main vacuum chamber. This pump is contributed by
UCSC. The 179 CFM roots blower/mechanical pump is necessary for process
exhaust. A large capacity for exhaust is required because of the
substantial gas flow that will be used for optical window purge. A
roots blower will provide the necessary volumetric flow at pressures up
to 10 torr. It may be possible to purchase this item on the surplus
equipment market. The foreline traps are required to reduce
backstreaming of pump oil into the chamber. The bellows valves are
required for cryopump foreline and process exhaust. The stainless steel
flexible tubing and the fittings are required to connect the mechanical
pumps. The butterfly valve will be used for process pressure control.
Input to the control unit (Adaptorr) will be made from one or more of
the capacitance manometers (Baratrons). The gate valve, cryopump,
compressor, and flexline are contributed by UCSC and are required to
provide a low base pressure in the chamber. This is necessary for
substrate surface preparation and for the satisfactory deposition of
metallic coatings. The vacuum collars are required to connect the gate
valve and the cryopump to the vacuum system. The ionization gauge will
monitor the base pressure.
D. Substrate stage
The substrate stage must be heated and precisely moveable. Linear
bearings, position sensing, heaters and controllers are necessary. The
UCSC contribution is for Anaheim stepper motor controllers and for
temperature controllers.
E. Process Gas control
This is a very important item as it will provide the proper process gas
mixtures and the proper amount of purge gas that is necessary. Seven of
the ten mass flow controllers will be contributed by UCSC. The mass
flow meters are necessary to provide on line calibration of the MFCs.
UCSC can contribute many of the bellows sealed valves and regulators
for gas cylinders. The differential Baratron gauge will be used for
process and purge gas pressure control, it exists already at UCSC. The
main expense for the bubbler is a refrigerated bath and machine shop
time. UCSC can contribute valves and other fittings. The MFC control
and pressure readout will provide manual as well as computer control of
process conditions.
F. Photolysis lamp assembly, light sources
This is probably the most important budgetary item. This budget
subheading will fund the different implementations of purge and light
sources. The construction budget should allow testing of as many as
three purge designs. The purge control budget will provide special
machining of parts to provide optimum separation of the purged and
process regions. The lamp and power supply budget will provide low
pressure mercury lamps of both standard and special 185 nm optimized
types. The power supply budget will also provide the possibility of DC
operation of the mercury lamps that has been shown to provide better
efficiency in the UV. Flash lamps and power supplies can also be
purchased. The UCSC contribution includes power supplies and use of an
excimer laser.
G. 486 Computer for Process Control
This computer will have analog/digital and digital/analog interfaces
for process control. It will also interface with the MFC control units
and the Adaptorr pressure controller. The process control software will
be written in C.
H. Enhancements
The RGA is necessary to check process gas composition, to check purge
efficiency, and to look for leaks. UCSC has a LH IQ200 RGA with turbo
mechanical pumps. However it needs some repair work which would be the
Amtech contribution. The In-situ thickness monitor will probe
deposition thickness by measuring reflection and/or transmission
through thin films. A laser and a photodetector are required. UCSC can
contribute optical mounts and mirrors.
I. Safety Equipment
This item will provide hazardous gas sensing, and post-process gas
treatment. Venting must be provided in the UCSC laboratories to use
silane.
J. Thinfilm Analysis Equipment
An ellipsometer is required to provide the thickness and index of
refraction of deposited silicon dioxide and nitride thinfilms. This
equipment does not presently exist at UCSC and must be acquired. This
price if for a used automatic ellipsometer.
The UCSC campus has excellent FTIR facilities however that can be used
for routine analysis of silicon oxide and nitride thin films.
Burn Rate for Photo-CVD Equipment and Process
MONTH SALARY EQUIPMENT SUPPLIES TRAVEL OTHER MONTH TOT. CUMULATIVE
Feb-94 $ 0 $ 10,000 $ 764 $ 0 $ 299 $ 11,063 $ 11,063
Mar-94 $ 1,354 $ 34,660 $ 764 $ 0 $ 261 $ 37,039 $ 48,103
Apr-94 $ 1,354 $ 50,013 $ 764 $ 517 $ 522 $ 53,170 $101,273
May-94 $ 11,175 $ 13,970 $ 2,293 $ 0 $ 522 $ 27,960 $129,234
Jun-94 $ 9,821 $ 18,172 $ 2,293 $ 517 $ 522 $ 31,325 $160,559
Jul-94 $ 22,905 $ 19,690 $ 2,293 $ 0 $ 522 $ 45,411 $205,969
Aug-94 $ 22,905 $ 3,850 $ 2,293 $ 517 $ 522 $ 30,088 $236,057
Sep-94 $ 20,963 $ 3,300 $ 2,293 $ 0 $ 522 $ 27,079 $263,136
Oct-94 $ 9,821 $ 3,300 $ 2,293 $ 517 $ 522 $ 16,453 $279,589
Nov-94 $ 9,821 $ 2,750 $ 2,293 $ 0 $ 522 $ 15,386 $294,975
Dec-94 $ 9,821 $ 0 $ 2,293 $ 2,141 $ 522 $ 14,777 $309,752
Jan-95 $ 9,821 $ 0 $ 2,293 $ 0 $ 522 $ 12,636 $322,388
Feb-95 $ 9,821 $ 0 $ 2,293 $ 0 $ 522 $ 12,636 $335,024
Mar-95 $ 9,821 $ 0 $ 2,293 $ 0 $ 522 $ 12,636 $347,660
Apr-95 $ 9,821 $ 0 $ 2,293 $ 514 $ 261 $ 12,889 $360,549
Subtotals $159,221 $159,705 $ 29,815 $ 4,723 $ 7,085 $360,549
Total for Phase I $360,549
AMTECH SYSTEMS, INC.
March 1, 1994
Xx. Xxxx X. Xxxxxx
Contracts and Grants Office
University of California, Santa Xxxx
399C Applied Sciences Building
Xxxxx Xxxx, Xxxxxxxxxx 00000
Dear Xx. Xxxxxx:
I have signed the Research Agreement previously executed by you. However, in
reviewing it one final time I wanted to be sure of your understanding in
Paragraph 4.3 that the phrase "during the period of access by Sponsor" commences
upon termination of the fourteen month term of this agreement. In Paragraph 8.2,
the phrase "that sponsor pays full cost", means that sponsor's full cost of the
research project under this agreement is $360,549.00. And in Paragraph 14.1.1,
Amtech's address is 000 Xxxxx Xxxxx Xxxxx. Please execute this letter in the
space provided confirming your understanding.
I look forward to a mutually beneficial and enjoyable relationship with the
University of California.
Sincerely,
/s/X.X. Xxxxx
X.X. Xxxxx
President
JSW:cb
As discussed with you on March 2, 1994 the points above, except for the fourth
sentence referencing "Research Inventions," are confirmed as our understanding.
APPROVED AND EXECUTED BY:
/s/Xxxx X. Xxxxxx 3-2-94
---------------------------------------------
Xxxx X. Xxxxxx
AMTECH SYSTEMS, INC.
March 30, 1994
Xx. Xxxx X. Xxxxxx
University of California, Santa Xxxx
Contracts and Grants Xxxxxx
000X Xxxxxxx Xxxxxxxx Xxxxxxxx
Xxxxx Xxxx, Xxxxxxxxxx 00000
Dear Xx. Xxxxxx:
The purpose of this letter is to confirm and to reduce to writing the agreement
of Amtech Systems, Inc. ("Sponsor") and The Regents Of The University of
California ("University") to modify the Research Agreement between them dated
March 2, 1994, as provided below.
Section 4.1 shall be modified as follows:
The total cost to the Sponsor shall not exceed $355,405 payment of
which shall be made in full prior to March 31, 1994.
Section 9.1 shall be amended to read as follows:
Sponsor may terminate this Agreement upon thirty (30) days prior
written notice to the University.
Nothing in this letter in any way affects any of the other provisions of the
Research Agreement or any of the obligations of either of the parties
thereunder.
If the foregoing accurately reflects your understanding and you agree as set
forth above, please have a copy of this letter signed by a duly authorized
person and return it to us, whereupon it will become a binding amendment to the
Research Agreement.
Very truly yours,
/s/X.X. Xxxxx
X.X. Xxxxx, President
JSW:cb
ACCEPTED AND AGREED TO:
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
By: /s/ Xxxx Xxxxxx
--------------------------------
Xxxx X. Xxxxxx
Their: Contracts and Grants Manager
--------------------------------
FAX
Contracts and Grants Office
399C Applied Sciences Building
University of Xxxxxxxxxx, Xxxxx Xxxx
Xxxxx Xxxx, XX 00000
tel; (000) 000-0000
fax; (000) 000-0000
email: xxxxxxx@xxxxx.xxxx.xxx
To: X.X. Xxxxx
---------------------
Organization: Amtech Systems, Inc.
---------------------
FAX No: (000) 000-0000
---------------------
Date: March 30, 1994
---------------------
From: Xxxx Xxxxxx
---------------------
Number of pages (including this cover page): 2
Message: J.S., please send back a copy
with your signature for our
records. Thanks.
Please notify us if this document was not properly received.
AMTECH SYSTEMS, INC.
March 7 1995
Xx. Xxxx X. Xxxxxx
University of California, Santa Xxxx
Contracts and Grants Xxxxxx
000X Xxxxxxx Xxxxxxxx Xxxxxxxx
Xxxxx Xxxx, Xxxxxxxxxx 00000
Dear Xx. Xxxxxx:
The purpose of this letter is to confirm and to reduce to writing the agreement
of Amtech Systems, Inc. ("Sponsor") and The Regents Of The University of
California ("University") to modify the Research Agreement ("Agreement") between
them dated March 2, 1994, as provided in Section 1.1 and below.
WHEREAS, the Work Plan included as a part of Exhibit A to the Agreement reflects
a planned start date of February 15, 1994 and the actual start date for the
Research was April 15, 1994; and
WHEREAS, the same Work Plan reflects that two (2) post doctoral positions were
to be filled on April 25,1994 and the actual dates that the post doctorates
arrived at the University were June 20 and June 27, 1994.
NOW, THEREFORE, the first sentence of Section 2.1 is hereby modified to read,
"The period of performance of this Agreement is April 15, 1994 through June 30,
1995."
Nothing in this letter in any way modifies any of the other provisions of the
Research Agreement.
If the foregoing accurately reflects your understanding and you agree as set
forth above, please have a copy of this letter signed by a duly authorized
person and return it to us, whereupon it will become a binding amendment to the
Research Agreement.
Very truly yours,
/s/X.X. Xxxxx
X.X. Xxxxx, President
JSW:rh
ACCEPTED AND AGREED TO:
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
By: /s/Xxxx Xxxxxx
--------------------------------
Their: Contracts and Grants Manager
-----------------------------
AMTECH SYSTEMS, INC.
June 26, 1995
Xx. Xxxx X. Xxxxxx
University of California, Santa Xxxx
Contracts and Grants Xxxxxx
000X Xxxxxxx Xxxxxxxx Xxxxxxxx
Xxxxx Xxxx, Xxxxxxxxxx 00000
Dear Xx. Xxxxxx:
The purpose of this letter is to confirm and to reduce to writing the agreement
of Amtech Systems, Inc. ("Sponsor") and The Regents Of The University of
California ("University") to modify the Research Agreement ("Agreement") between
them dated March 2, 1994, as provided in Section 1.1 and below.
Because of the resignation of Ji Ding and the fact that it is not feasible to
hire another talented postdoc for this project for the remaining months of Ji's
position, we hereby agree to an extension of our agreement through October 15,
1995.
NOW, THEREFORE, the first sentence of Section 2.1 is hereby modified to read,
"The period of performance of this Agreement is March 1, 1994 through October
15, 1995."
It is understood that this extension involves no additional cost to Amtech
Systems, Inc., the Sponsor.
Nothing in this letter in any way modifies any of the other provisions of the
Research Agreement.
If the foregoing accurately reflects your understanding and you agree as set
forth above, please have a copy of this letter signed by a duly authorized
person and return it to us, whereupon it will become a binding amendment to the
Research Agreement.
Very truly yours,
/s/X.X. Xxxxx
X.X. Xxxxx, President
JSW:rh
ACCEPTED AND AGREED TO:
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
By: /s/Xxxxx Xxx Xxxxxxx
-------------------------------
Their: Contracts and Grants Manager
----------------------------
AMTECH SYSTEMS, INC.
October 16, 1995
Xx. Xxxx X. Xxxxxx
University of California, Santa Xxxx
Contracts and Grants Xxxxxx
000X Xxxxxxx Xxxxxxxx Xxxxxxxx
Xxxxx Xxxx, Xxxxxxxxxx 00000
Dear Xx. Xxxxxx:
The purpose of this letter is to confirm and to reduce to writing the agreement
of Amtech Systems, Inc. ("Sponsor") and The Regents Of The University of
California ("University") to modify the Research Agreement ("Agreement") between
them dated March 2, 1994, as provided in Section 1.1 and below.
Because of delays in the performance of this project, we hereby agree to an
extension of our agreement through November 15, 1995.
NOW, THEREFORE, the first sentence of Section 2.1 is hereby modified to read,
"The period of performance of this Agreement is April 15, 1994 through November
15, 1995."
It is understood that this extension involves no additional cost to Amtech
Systems, Inc., the Sponsor.
Nothing in this letter in any way modifies any of the other provisions of the
Research Agreement.
If the foregoing accurately reflects your understanding and you agree as set
forth above, please have a copy of this letter signed by a duly authorized
person and return it to us, whereupon it will become a binding amendment to the
Research Agreement.
Very truly yours,
/s/X.X. Xxxxx
X.X Xxxxx, President
JSW:rh
ACCEPTED AND AGREED TO:
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
By:
-----------------------------------
Their:
---------------------------------
AMTECH SYSTEMS, INC.
November 29, 1995
Xx. Xxxx X. Xxxxxx
University of California, Santa Xxxx
Contracts and Grants Xxxxxx
000X Xxxxxxx Xxxxxxxx Xxxxxxxx
Xxxxx Xxxx, Xxxxxxxxxx 00000
Dear Xx. Xxxxxx:
The purpose of this letter is to confirm and to reduce to writing the agreement
of Amtech Systems, Inc. ("Sponsor") and The Regents Of The University of
California ("University") to modify the Research Agreement ("Agreement") between
them dated March 2, 1994, as provided in Section 1.1 and below.
Because of delays in the performance of this project, and to allow time to
complete the NIQ work to demonstrate the potential of these lamps for Photo-CVD
processes by January 31, 1996, and to possibly facilitate augmentation of the
budget beyond the NIQ phase, we hereby agreed to an extension of our agreement
from November 15, 1995 to October 31, 1996.
Section 4.1 shall be modified as follows:
The total cost to the Sponsor shall not exceed $441,620, an increase of
$86,215 over the initial contract amount, to demonstrate the effectiveness of
the NIQ lamps. It is expressly understood that this increase includes salaries
of support staff through February 28, 1996 and 1.5 months of salary for Xxxxx
Xxxxxxxx, Phd. for the summer months of calendar year 1996.
NOW, THEREFORE, the first sentence of Section 2.1 is hereby modified to read,
"The period of performance of this Agreement is April 15, 1994 through October
31, 1996."
It is understood that this extension involves no additional cost to Amtech
Systems, Inc., the Sponsor beyond the increase stated above.
Nothing in this letter in any way modifies any of the other provisions of the
Research Agreement.
Continued on next page...
Xx. Xxxx X. Xxxxxx
University of California, Santa Xxxx
November 29, 1995
Page 2
If the foregoing accurately reflects your understanding and you agree as set
forth above, please have a copy of this letter signed by a duly authorized
person and return it to us, whereupon it will become a binding amendment to the
Research Agreement.
Very truly yours,
/s/X.X. Xxxxx
X.X. Xxxxx, President
JSW:rh
ACCEPTED AND AGREED TO:
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
By:
--------------------------------------
Their:
--------------------------------------
AMTECH SYSTEMS, INC.
December 4, 1995
Xx. Xxxx X. Xxxxxx
University of California, Santa Xxxx
Contracts and Grants Xxxxxx
000X Xxxxxxx Xxxxxxxx Xxxxxxxx
Xxxxx Xxxx, Xxxxxxxxxx 00000
Re: Payment Procedures
Dear Xx. Xxxxxx:
The purpose of this letter is to confirm our desire that the $86,215 increase in
funding, pursuant to the November 29, 1995 Amendment to the Research Agreement,
be billed by the University on a pay as you go basis (i.e. progress xxxxxxxx
only for work performed and approved expenses incurred). The billing procedure
is subject to change by the mutual agreement between the Sponsor and the
University. It is expressly understood that the sum of any such xxxxxxxx will
not exceed the agreed upon increase of $86,215.
If the foregoing accurately reflects your understanding and you agree as set
forth above, please have a copy of this letter signed by a duly authorized
person and return it to us, whereupon it will become a binding amendment to the
Research Agreement.
Very truly yours,
/s/Xxxxxx X. Xxxx
Xxxxxx X. Xxxx, CPA
Vice President-Finance
and Secretary
RTH:rh
ACCEPTED AND AGREED TO:
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
By:
--------------------------------------
Their:
--------------------------------------
