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Transitional Approaches: SRC’s Global Research Collaboration Program (SRC - GRC)

A Presentation to the GUIRRJuly 17, 2008

Larry W. Sumney CEO/President

Semiconductor Research Corporation

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Leveraging Resources …

• Sustained economic development must be driven by innovation.

• Penetrating today’s global (or even national) markets requires a very substantial resource investment to fuel innovation:

– Financial– Intellectual– Entrepreneurial

• The challenge is even greater if the organization (or the industry) is in a “catch-up” mode.

One proven approach is to leverage resources through a cooperative association of organizations with shared visions and objectives.

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Three Sectors for Collaboration …

For greatest leverage, it is desirable to pool the expertise and resources of all THREE sectors of society …

Government Universities Industry

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Our Four Major Research Programs

Revolutionary discoveries

Beyond CMOS

> 20 yrs

NanoelectronicsResearchInitiative

GovernmentParticipation

Industry Participation

Topic SpecificNew options

Narrowing optionsPurpose

Selected TopicsLimit of

Traditional CMOS

Traditional CMOSTechnology

Variable14 - 20 yrs7 - 14 yrsTime Frame

Topical Research

Collaboration

Focus CenterResearchProgram

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GlobalResearch

Collaboration

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The National Medal of Technology …

Presidential Citation to the SRC• “For building the world’s largest and most

successful university research force to support the … semiconductor industry;

• For proving the concept of collaborative research as the first high-tech research consortium;

• And for creating the concept and methodology that evolved into the International Technology Roadmap for Semiconductors.”

27 July 2007

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SRC Numbers

* Inception through 2007

All for the benefit of SRC members

• $1B+ total funding• 2,768 contracts• 6,976 students• 1,598 faculty • 237 universities

Research Programs*

• 2,563 industry Mentors• 1,543 on advisory boards• 2,436 total events• 1,351 technical meetings• 63,498 event attendees• 1,085 planning meetings

Member Participation*

Deliverables*• 39,536 technical documents • 302 patents in SRC portfolio• 717 patent applications• 597 inventor awards• 555 software programs• 2,127 tasks in research catalog

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The GRC Process …

Sought for programs with shared interestsGovernment Partners

Value metrics maintained for each company memberMember Satisfaction

Rapid electronic distribution of results & student informationResearch Output

Annual reviews by industry, gov’t & academia. Industry mentors throughout project.

Progress Monitoring

Solicitation, white papers, advisory board reviewsProject Initiation

Iterative process by advisory boards & SRC staffStrategic Planning

This process has been exercised by the SRC community thousands of times over the past 25 years.

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Global Expansion …

USA

Canada

Sweden

Japan

UK

Netherlands

India

Poland

China

Singapore

Italy Qatar

TaiwanIsraelSwitzerland

Colombia

Finland

Russia

Austria

Spain

Australia

Brazil

64 Projects in 23 different (not USA) countries since 2000.

Scotland

Germany

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125 Participating GRC Universities

23 Universities located outside the U.S.01/16/2008

Arizona State University Michigan State University The Ohio State University Univ. of MinnesotaAuburn University National Chiao Tung University Tufts University Univ. of Nebraska/LincolnBinghamton University - SUNY National Taiwan University Univ. at Albany - SUNY Univ. of New OrleansBoston College National University of Singapore Univ. at Buffalo - SUNY Univ. of North Carolina/CharlotteBoston University Naval Post-Graduate School Univ. of Arizona Univ. of North TexasBrooklyn College, City Univ. of New York New Jersey Institute of Technology Univ. of Bayreuth Univ. of Notre DameBrown University New York University Univ. of British Columbia Univ. of OklahomaCalifornia Institute of Technology North Carolina State University Univ. of California/Berkeley Univ. of PennsylvaniaCarnegie Mellon University Northwestern University Univ. of California/Davis Univ. of PittsburghChalmers Univ. of Technology Oregon State University Univ. of California/Irvine Univ. of RochesterCity College of New York Pennsylvania State University Univ. of California/Los Angeles Univ. of South FloridaClarkson University Portland State University Univ. of California/Riverside Univ. of Southern CaliforniaColorado School of Mines Poznan University of Technology Univ. of California/San Diego Univ. of Tennessee/KnoxvilleColumbia University Prairie View A&M University Univ. of California/Santa Barbara Univ. of Texas/ArlingtonCornell University Princeton University Univ. of California/Santa Cruz Univ. of Texas/AustinDelft University of Technology Purdue University Univ. of Central Florida Univ. of Texas/DallasDuke University Qatar University Univ. of Colorado/Boulder Univ. of Texas/Pan AmericanEmory & Henry College Queen's University Univ. of Connecticut Univ. of TokyoFudan University Rensselaer Polytechnic Institute Univ. of Delaware Univ. of TorontoGeorge Mason University Rice University Univ. of Florida Univ. of UtahGeorgia Institute of Technology Rochester Institute of Technology Univ. of Georgia Univ. of VirginiaIllinois Institute of Technology Royal Institute of Technology (KTH) Univ. of Glasgow Univ. of WashingtonIndian Institute of Science Rutgers University Univ. of Houston Univ. of Wisconsin/MadisonIndian Institute of Technology/Bombay Southern Illinois University Univ. of Illinois/Urbana-Champaign Universita Di BolognaIndian Institute of Technology/Delhi Southern Methodist University Univ. of Iowa Utah State UniversityIowa State University Stanford University Univ. of Kentucky Vanderbilt UniversityKansas State University Stony Brook University - SUNY Univ. of Louisiana/Lafayette Virginia TechLehigh University Swiss Federal Inst. of Technology Univ. of Louisville Waseda UniversityMacalester College Tel Aviv University Univ. of Maryland Washington State UniversityMass. Institute of Technology Texas A&M University Univ. of Massachusetts Yale UniversityMcGill University Texas Tech University Univ. of Michigan Youngstown State University

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Research Selection/Management

• Selection of Research– Member-driven creation of needs document– Request and submission of white papers– Member review and selection of white papers– Request for proposals– Member review and selection of proposals

• Research Management– Internal SRC Research Management Committee review– Three-year contract start (Typical) of core projects and

research customization projects (RCP)* selected by individual companies

– Annual member reviews of progress– Submission of reports and “deliverables” by researchers

*SRC Non-US member companies may direct 40% of their dues to support “custom” projects of their choosing to enhance regional development. U.S. members can use 20%.

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Engagement of Member Companies in Research Management–Key to GRC Success

Exec Tech Advisory BdETAB

Board of Directors• Executive Committee• Governance Committee• Research Committee

Executive Boards

Technical Advisory Boards

Science-Area Coordinating Committees

~ 400 peoplecurrently participate in these important groups

Cro

sscu

ts

Bill Joyner David Yeh Kwok Ng Scott List Dan Herr Victor Zhirnov SRC Staff

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Custom Projects

Individual company identifies projects, PIs, & proposals

Research Needs

White Paper Proposal Contract

• Research, monitoring, & review/feedback are identical• Only difference is selection of projects•Projects can be funded within 1 month of selection

Research, Monitor, Review

Consensus in ~ 10 months

Custom tasks

Core tasks

1 month

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Star

t re

sear

ch

Tech-TransferE-Workshop

Annual presentation + review/feedback

TECHCON(yearly)

Reports & publications(deliverables)

• All outputs are on web & searchable• 3-year commitment, but can be adjusted yearly

Summary of Research Outputs

Final Report

Company visit

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Selecting Research Winners

3 year typical cycle

of review, feedback

and results

~350 current projects selected

for support

by members

relevance changes

interest changes

~3000 white

papers ~350 projects completed

with company returns of IP, deliverables, students, etc.

~100 projects publicly cited

by members as compelling(more cited

privately)

~500 proposals

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SRC-GRC: A “Virtual” Global Laboratory

Agility by Structure• Research conducted at ~100+ universities throughout the

world– Employ best current experts anywhere in the world– Over 40% of research performers are new in 5-year time horizon– ~ 1/3 of projects turned over every year– No permanent research staff

• Programs can be started, adjusted and/or stopped quickly– Each project reviewed annually by member companies– Allows for rapidly changing needs of member companies

• No capital costs• Minimum overhead costs (best of any consortia in the

world)• Flexible, continuously enhanced Value Proposition

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193 nm Materials Damage Studies

• Demonstrated 193 nm radiation damage to fused-silica

• Yielded sensitive technique for measuring 10 ppB compaction

• Oldham, UCB, 1994 -1997

“The understanding of the mechanism and impact of 193 nm radiation on the densification of fused silica materials had a dramatic impact on the lens designs at all the major stepper suppliers. The timing of the research was ideal, as this work was presented just as the industry was developing their approaches to this new wavelength.”

193 nm optics damage studies saved members

~ $100M.

193 nm optics damage studies saved members

~ $100M.

One example of a Compelling Reason:

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New model was placed in public domain and chosen by the Compact Model Council as the industry’s new standard model.

New model was placed in public domain and chosen by the Compact Model Council as the industry’s new standard model.

Next generation surface-potential based Compact MOSFET model

• Gildenblat - U of Penn, 2000 -2006

“Surface Potential compact model research gave 3 year advance look at compact model changes. This was especially valuable for current VCO and mixer designs”

“Surface Potential compact model research gave 3 year advance look at compact model changes. This was especially valuable for current VCO and mixer designs”

Another Compelling Reason:

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Future Compelling Reason….

• Characterization of Metal Gate/High-k Dielectric for Logic and Flash Memory ApplicationsS. Mahapatra & A. Kottantharayil,Indian Inst. of Technology - Bombay

• Characterization of Metal Gate/High-k Dielectric for Logic and Flash Memory ApplicationsS. Mahapatra & A. Kottantharayil,Indian Inst. of Technology - Bombay

• Paper presented May 1st 2008 at International Reliability conference in US

• Joint paper with IIT Bombay and Applied Materials researchers

• Paper presented May 1st 2008 at International Reliability conference in US

• Joint paper with IIT Bombay and Applied Materials researchers

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Strategic Priorities – 2009 - 2013Strategic directions for research resulting from Board of Directors retreat

and summer study:

• Continue scaling research in devices and technology• Memory• Functional Diversification - Applications

– Bio-compatibility– Nano-bio electronics– Integrated sensors – Integrated energy/power issues

• Homogeneous/Heterogeneous Multicore Architectures– Multicore architectures– Morphic architectures

• Analog and Mixed Signal Design & Technology– Integrated applications

• Coping with Variability/Reliability Issues• Design and Technology Solutions for Thermal/Power

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“Collaboration Summary”

• Cooperative research has become the widespread paradigm for commercial success– Semiconductor Industry set the first precedent– SRC model has proved to be successful

• Government participation in cooperative research with industry provides considerable benefits to both.– Basic research is a natural role for government– Industry can provide relevance for an appropriate portion of

government funded research

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Contractual Points for Consideration

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Contracting Issues (1/3)

• Some of the normal terms and conditions for the GRC Research Services Contract may not necessarily comport with legal requirements and expectations of international universities. The process of negotiating a research contract with a foreign entity requires a basic understanding of the laws of the jurisdiction in which the entity operates.

• Business practices in the United States do not necessarily correlate with those for foreign universities. Once the common objectives are understood by both sides, those objectives are more readily attained. Here are several issues that arose during research contract negotiations with foreign universities…

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Contracting Issues (2/3)

– Insurance concepts are often different. The level of coverage provided by a foreign university can be significantly less than the coverage desired by GRC.

– The requirement for resolution of contract disputes by arbitration is not always understood by foreign contract negotiators. If arbitration is to be a viable solution, it is essential to select an arbitrator well versed in the laws of both jurisdictions.

– Is injunctive relief even available or effective in the foreign jurisdiction? What are the procedures for obtaining and enforcing injunctive relief in the foreign jurisdiction?

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Contracting Issues (3/3)

– Invention disclosure requirements and publication limitations for domestic universities are based on United States patent laws. Most foreign countries require absolute novelty (non-disclosure of the invention) for patent eligibility. Additional attention to domestic and international patent requirements is necessary to preserve all worldwide patent rights.

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Export Controlled Countries (1/2)

• United States export controls always require careful attention and diligence, but the requirements are even greater for research conducted in export controlled countries…

– Sponsoring research in export-controlled countries is a labor-intensive process because of restrictions imposed by GRC on our web site access. Many automated processes that are ably handled by GRC’s web site must be performed manually. Offline versions of many online forms are separately provided to foreignresearchers. Researchers submit proposals to GRC by mail, fax, or email. GRC personnel manually input and process the proposals.

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Export Controlled Countries (2/2)

– The GRC Member Company that sponsors the research at a foreign university screens the University and all research participants against the United States government’s Denied Parties Lists. The sponsoring Member ensures that the research university and its researchers are screened against an appropriate DPL, the parties are screened against the most current DPL, any suspected matches are cleared or otherwise resolved, an audit trail is maintained, and an audit program is implemented and followed.

– While publication of research results is a primary objective of domestic universities, GRC research contracts with universities in export controlled countries require publication of research results no later than six months after submission to GRC for pre-publication review. This publication requirement provides added assurance that GRC-sponsored research is properly categorized as fundamental research and is, therefore, exempt from many export control requirements.

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Case in Point: Fudan University (1/3)

• A recently concluded contract negotiation with Fudan University in Shanghai illustrates some of the country specific requirements that are necessary for an enforceable agreement that meets the needs of the university and the GRC Members…

– If GRC delivers technology to a Chinese university, that information should be registered with MOFCOM as a “free-traded” technology, and a Technology Import Registration Certificate must be obtained.

– Transfer of patent application rights and patent ownership must be by written agreement that is registered with China’s State Intellectual Property Office (“SIPO”).

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Fudan University (2/3)

– Transfer of patent application rights and patent ownership by a Chinese university to a foreign entity is subject to approval ofMOFCOM and the Ministry of Science and Technology. Patent licensing agreements must be filed with SIPO within three months of the effective date of the agreement.

– Research and development collaboration with Chinese universities can be conducted with both financial and equipment donations, pursuant to a donation agreement. The donation agreements must be registered with the Chinese foreign exchange authorities. Cross-border donations require written agreements.

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Fudan University (3/3)

– Donated equipment and technologies are subject to Chinese government licensing. If donated technologies fall within the scope of the Free-Traded List of Importation, they must be registered with MOFCOM or its designated local counterparts.

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Recent Experiences (1/2)

• The expectations of the contract negotiators for foreign universities can be different from those of domestic universities…

– Some foreign universities have attempted to negotiate for pre-payment of research costs. GRC operates exclusively on a cost-reimbursement basis.

– Several universities have asked for full commitment of the research funds for the entire length of the contract. The term for GRC research contracts is generally one year renewable for each of two additional years.

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Recent Experiences (2/2)

– Contracts with non-English speaking universities have been translated for the benefit of the university. Both contracts contain a provision that if there is a conflict between the two versions of the contract, the English version controls.

– Some countries have enacted comprehensive privacy legislation that affects the ability of the university to disclose personal information on students who may be involved in the research project.

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Conclusion

• Sponsored research at non-United States universities has become an important value proposition for GRC Member companies. As the globalization of GRC progresses, additional challenges and opportunities will certainly appear. The ends justify the means: GRC will continue providing access to the top university researchers throughout the world.