Research Administration Office

University of California

Memo Operating Requirement

No. 85-2

February 4, 1985

Subject: Microelectronics Innovation and Computer Research Opportunities (MICRO)

Enclosed are the "Request for Proposal (RFP)" and the "Guidelines for MICRO Projects" for the University of California Microelectronics Innovation and Computer Research Opportunities (MICRO) Program for FY 1985-86.

CONTRACTS AND GRANTS OFFICES

As has been the case for the previous two MICRO funding cycles, campus Contracts and Grants Offices are to be involved in proposal submission, award acceptance, receipt of binding letters from cooperating companies for matching funds, and general post-award administration.

MICRO awards should be reported to the Office of the President EDP system as extramural awards using the UCLA sponsor code, 6764.

DEADLINE

Ten copies of MICRO proposals should reach the Chair of the Executive Committee no later than 5:00 p.m., March 25, 1985 (see page 5 of the enclosed RFP).

Refer: Joe Acanfora

ATSS 8-582-1638

(415) 642-1638

Subject Index: 02,22

Organization Index: U-115

Cancel: C& G Memo No. 83-25

Willie Archie

Acting University Contracts and Grants Coordinator

Enclosures

cc: Laboratory Contracts and Grants Officers


Enclosure to Contract and Grant Memo No. 85-2

UNIVERSITY OF CALIFORNIA MICROELECTRONICS INNOVATION AND COMPUTER RESEARCH OPPORTUNITIES (MICRO)

Guideline For MICRO Projects

(1) Background

The 1984-85 University budget Included $4 million for research and graduate student education in microelectronics, computer sciences and engineering, their antecedents in the physical sciences and their applications under the MICRO Program.

It is expected that the 1985-86 budget will contain at least $4 million for MICRO. As was the case in the past two years. University funds for MICRO research projects are to be matched by industrial contributions on a project-by-project basis. The MICRO research itself is to be performed by University researchers who maintain a close liaison with the industrial donors.

The MICRO Policy Board, consisting of three representatives each from the University, Industry and the State Government, has interpreted the intent of the Legislature by specifying .that cooperating companies have relevant manufacturing and/or research facilities in California industry or that the sponsorship by those companies benefits California industry. The Policy Board has also specified as one of the purposes of the program, the stimulation of, and cooperation with, small businesses in the fields covered by MICRO.

Another part of the MICRO program involves direct support of graduate students in the form of Fellowships. It is expected that $400,000 of University funding will be awarded for Fellowships in the fields covered by MICRO in 1985-86.

The following guidelines, drawn up by the University Executive Committee appointed to administer MICRO, establish policies whose purpose is to encourage the type of research satisfying the Legislature's intent

(2) Areas of Research

The following are examples of areas of research for which proposals will be entertained by the Executive Committee:

(A) Microelectronics: (1) physical electronics; electronic materials technology and associated processing technology; (2) the physics, design and technology of electronic devices; (3) microelectronic analog and digital circuit design, simulation and analysis; (4) integration techniques for large scale microelectronic systems.

(B) Computer Sciences: (1) architecture; (2) software (operating systems, programming languages, database systems, etc.,); (3) distributed processing and networking; (4) computer graphics; (5) computer theory; (6) artificial intelligence.

(c) Applications: (1) signal and information processing; (2) computer-aided design; (3) computer-aided manufacturing technique for microelectronics.

The list above is meant to be Interpreted broadly. Proposals for research in related areas, but still within the general fields of microelectronics and computer sciences and their applications, are encouraged. Proposals which emphasize research equipment, which may be shared by more than one Principal Investigator, will also be considered.

(3) Nature of the Research

The purpose of the MICRO Program is to support research at the University that may lead to products in the mid- to long-term, so as to allow the California microelectronics and computer industries to maintain and Improve-their competitive positions in future years, The research is to be at the cutting edge of technology. The Program is NOT meant to support product development, It is expected that an active liaison will exist between the University researchers and their industrial counterparts.

An important objective of the Program is to train graduate students in microelectronics and computer science who, by being involved in the research, will upon graduation help to transfer the research results to California industry, become leaders in established companies, and become the entrepreneurs who form new companies that stimulate the State economy.

(4) Mechanisms for University/Industry Cooperation

In consonance with the objectives of MICRO, the following rules have been established by the Committee:

A cooperating industrial company must have a relevant research or manufacturing facility in California, or the sponsorship by the cooperating company must benefit California industry.

It is expected that a cooperating company will designate a technical representative to act as a liaison between the company and the University researchers,

An industrial contribution to MICRO project will normally be in cash, at least matching the University contribution to the project, The Committee will also consider industrial contributions in the form of state-of-the-art NEW equipment, which is an integral part of the proposed research. The matching fund for equipment contribution will be evaluated according to the following ceilings:

Market Value: .......$50,000.00...................$50,000-$150,000...................Above $150,000

Matching Fund: ..........50%.............$25K + 15%*amt over $50K.....$40K + 5%*amt over $150K

Other types of Industrial contributions (e.g., facilities usage, etc.) will not be counted as matching contributions except in the case of small businesses, and will be considered only-upon a dear showing that such a contribution is essential to the project, uniquely available from the cooperating company, and properly valued.

Proposals for research to be supported by MICRO must be Originated by the University faculty at the rank of Assistant, Associate and Full Professor. It is the responsibility of the faculty members to arrange for industrial matching support IN ADVANCE. The faculty members are also responsible for Informing the industrial company of MICRO policies concerning the binding letter, deliverables, termination, and patent matters as set forth below. Each proposal shall contain a letter from the cooperating company (or companies), signed by an authorized representative of the company, which declares the intent of the company to provide matching support if the project is approved. The letter of Intent should be in the format provided in the sample letter attached to the RFP. Upon notification of approval by the MICRO Executive Committee, the company will be required to submit a binding letter signed by an authorized individual who can commit company funds. The binding letter must acknowledge receipt and acceptance of the Guidelines for MICRO projects for the matching support, and must indicate when the matching funds will be provided. if a purchase order or contractual agreement will be issued by the company to make its contribution, then such award documents shall accompany the binding letter for review and acceptance on behalf of the University. It is the responsibility of the faculty members to see that the binding letter and/or award documents are received in time. The Office of the President will allocate the full mount of the University's contribution for all approved MICRO Projects at each campus. The Chancellor's Office will then allocate 20% of the University's share of each approved MICRO Project upon receipt of the funds. The remaining 80% will be held until the campus Contract and Grant Office has received a binding letter or other appropriate award documents from the industrial sponsor.

An industrial donation may be in the form of a gift or grant. A gift implies no contractual obligations on the part of the University. A grant may be in the form of contract; but for a MICRO contract no deliverable shall be required by the donating company other than a brief final report. nor may the company terminate the contract prior to full expenditure of funds. Whether 8 donation is a gift or a grant, no University overhead charges will be applied to the donation (nor, of course, to the University contribution).

Any patentable results arising from a MICRO project shall be subject to the University patent policy. As currently interpreted for MICRO projects, this policy has been held to limit a cooperating company's interest in ensuing patents to non-exclusive, royalty-bearing rights.

It is not the Intent of the MICRO program to provide matching funds for industrial contributions that come to the University under-other programs.

(5) Multiple proposals

Multiple proposals by the same investigator will be considered if they-cover distinctly different research projects. However, multiple support from different companies for a single, research project should be included in a single proposal. In the case of contributions of research equipment for shared use, each proposal should indicate the fraction of the value pertinent to that specific project as determined in Section 4

(6) Expected Amounts of MICRO Grants

The amount granted by the University under the MICRO Program to a particular project will depend both on the merit of the project, of the proposed budget, and the total funding available. (It is not the Intent of the MICRO Program to support extensively clerical, and administrative costs and foreign travel). The MICRO funding cannot be used to supplement sabbatical leave salary or special leave salary unless it is very dearly demonstrated in the proposal that a leave from regular faculty duties will further the quality and scope of research and that the funds will be derived from the industrial part of the MICRO funding. State funds must be expended by June 30, 1986, or encumbered (in the case of purchases of supplies and equipment) by the 198586 fiscal year deadline established by the recipient campus.

(7) Distribution Among Campuses

In the light of the University-wide nature of the Program, an attempt will be made to provide an equitable distribution of University funding among the various campuses having activities in microelectronics and/or computer sciences. However, the committee intends that the quality of the proposals will dominate the funding decisions.

(8) Roles and Responsibilities.

(A) INVESTIGATORS

Investigators are responsible for originating the proposals, arranging for industrial matching support in advance, and for apprising the industrial companies of MICRO policies, particularly the policies concerning binding letters, deliverables, termination, and patent matters. Investigators are also responsible for furnishing the following to their respective campus Contract and Grant Office.

Ten (10) copies of the proposal, including letters of intent, plus the number of copies normally required by the Campus Contracts and Grants office for its internal use.

(B) CAMPUS CONTRACT AND GRANT OFFICE

The campus Contract and Grant Office is responsible for reviewing proposals in accordance with applicable University policies, and submitting the official copy (or copies) to the MICRO Executive Committee. The Contract and Grant Office will also assist in obtaining binding letters from the cooperating companies for the matching funds. The Office will also process the binding letters and/or award documents which are not gifts, and route copies to appropriate offices. When the matching support is a gift, the campus Contract and Grant Office will arrange for its acceptance by the campus Office of Gifts and Endowments.


Enclosure to Contract and Grant Memo No. 85-2

UNIVERSITY OF CALIFORNIA

MICROELECTRONICS INNOVATION AND COMPUTER RESEARCH OPPORTUNITIES (MICRO)

Request for Proposal (RFP) for Research in Microelectronics and Computer Sciences January 11, 1985

Executive Committee:

Professor Ralph Algazi, Davis

Professor William Chang, San Diego

Professor Richard Kemmerer, Santa Barbara

Professor Susan Graham, Berkeley

Professor Chand Viewanathan, Los Angeles (Chairman)

DUE DATE:

PROPOSALS ARE DUE ON OR BEFORE 5:00 P.M., March 25, 1985

I. INTRODUCTION

Assistant and Full Professors in all the campuses of the University of California are eligible and encouraged to submit proposals under the MICRO program for research in the fields of microelectronics, computer sciences, and their applications. The MICRO program has been established by the State to assist California industry in maintaining its competitive edge in these fields by. expanding pertinent research and graduate education at the University. Under this Program, research microelectronics and computer sciences by University of California faculty members is eligible for cost-sharing by the University, up to 50 percent of the overall cost, provided that at least 50 percent of the project cost is supported by an industrial company with relevant research or manufacturing facilities in California.

As indicated, the purpose of MICRO is to aid California industry's continuing innovation process in microelectronics and computer sciences. Successful California electronics and computer companies typically have well-established development programs, which lead to the next generation of commercial products. MICRO seeks to strengthen research programs that develop new concepts potentially applicable to products several years in the future. Research supported under MICRO should fall into this longer-term/higher risk category. Short-term product development does not qualify, nor does pure research that is judged not likely to lead to new-product applications.

For 1985-86, with MICRO's continuation virtually certain, the RFP is being issued during the prior Winter quarter or semester to allow time for preparation of proposals and their review, and to permit early announcement of awards. Faculty members are advised to read the attached Guidelines thoroughly before submitting a proposal. The proposed project should not extend beyond December 31, 1986.

II. FORMAT AND SPECIFIC CONTENT

Ten copies of the proposal are required. !n order to facilitate its evaluation, the proposal must conform to the following format, fully presenting the information in the order given below:

A. Cover Sheet - See attached format; use attached blank sheet.

B. Table of Contents

C. Use of Tables and Figures

D. A short Abstract, Comprehensible to a Non-Specialist - This abstract will be circulated to University, State and Industrial officials, should the proposal be accepted for funding.

E. Introduction - This Section shall include a brief general discussion of the technical problem(s) to be investigated.

F. Technical Discussion of Proposed Research - This is the major portion of the proposal. It should be presented concisely and at the same time be detailed enough-to indicate the significance of the proposed research. It should contain:

1. Detailed Statement of the Problem - The elements of the problem shall be described and those elements that are critical to the solution of the problem shall be clearly identified.

2. Progress- For continuing projects, the progress made and results achieved during the previous year of support should be clearly summarized. This summary should be detailed enough to allow a meaningful evaluation of the worthiness of continued support of the project.

3. Method of Attack - A complete description of the selected approach to the problem solution shall be given. Experiments, simulations, tests are required facilities shall be described, The relevant scientific principles end techniques on which the problem solution depends shall also be presented.

4. Relevance to MICRO - The proposal shall identify the elements of the research that support the general objectives of MICRO. The proposed cooperating company or companies shall be identified end addresses of its (their) relevant manufacturing facilities in California shall be given. The name(s) of the technical liaison person(s) from each cooperating company shall be listed, and anticipated technical interaction with company personnel shall be summarized.

The technical discussion shall also include justification for major items of non-salary expenditure (e.g. equipment) that are requested in Section H. Budget.

Section E and F together shall not exceed 15 pages of double-spaced, typewritten material, including figures end tables.

G. Qualifications of Personnel - This section shall summarize the qualifications of the principal investigator(s) end co-investigator(s) end of others who will be involved in the project, A description of applicable research experience on similar projects, other technical accomplishments, end educational background shall be given.

H. Budget- A detailed budget shall be given on a single page. The budget shall be separated into two major categories: salary costs end other direct costs. As previously noted, justification for major equipment end other non-salary items shall be given in Section F. Note that the University will not charge overhead on industrial gifts or grants to MICRO projects (nor, of course, on its own contributions), and therefore, no indirect-cost line is necessary in the budget. It is not the intent of the MICRO program to support extensively clerical, administrative cost and foreign travel. The MICRO funding cannot be used to supplement sabbatical leave salary or special leave salary unless it is very clearly demonstrated in the proposal that a leave from regular faculty duties will further the quality and scope of research and that the funds will be derived from the industrial part of the MICRO funding.

The amount of funding requested from the University (no more than one-half of the total budget) shall be clearly stated.* If the remainder of the budgeted amount (to be committed by the cooperating company or companies) contains non-cash contributions, an attachment to the budget page shall list such items and justify their valuation (see Section 4 of the Guidelines).

I. Other Support Received or Pending from Cooperating Company or Companies and their Supporting Agencies - It shall be clearly stated whether the proposed company funding of the MICRO project is in addition to previously committed support or part of it.

J. Letter of Intent - A letter of intent to support the industrial share of the budget shall be included in accordance with the requirements of Section 4 of the attached Guidelines. (See attached sample letter of intent).

K. List of Reviewers - A list of five reviewers with their addresses and phone numbers, who are knowledgeable in the area of the proposal should be given. (See attached form K).

III. CRITERIA FOR AWARD

The proposals will be reviewed by referees selected by the MICRO Executive Committee. Criteria for award will be:

A. Quality and originality of the proposed research. Emphasis in this assessment will be placed on innovation.

B. Qualifications of the principal investigator(s) and other investigators. Both the excellence of past record and the promise for future performance will be considered.

C. Adequacy of facilities for the proposed research.

This University funding is for the fiscal year 1985-86 and MUST be expended (or encumbered in the case of equipment or supplies) by June 30, 1986. Matching industrial funding should be timed to allow uninterrupted continuance of the project work after the University' fiscal year closing.

D. Potential of the project for the fulfillment of the objectives of MICRO.

E. Contribution of the project to the training of graduate students at the forefront of technical innovation.

F. Reasonableness of the budget: adequacy of justification for major items of equipment to be procured; relevance and justification of the valuation of industrial non-cash matching contributions; consonance of the budget with the technical work proposed.

IV. PROPOSAL DELIVERY

Ten copies of the proposal should reach the Chair of the Executive Committee no later than 5:00 p.m., March 25, 1985, No extension of the deadline will be allowed. Ten copies of the proposal should be sent, via the Contract and Grant Office on the proposer's campus to:

Professor C.R. Viswanathan

MICRO Executive Committee

7732 Boelter Hall

University of California

Los Angeles, CA 90024

If necessary to meet the deadline, faculty members may mail or hand-carry ten (1Q) copies of the proposal directly to the. above address, with a note that the proposal is being processed by the campus Contract and Grant Office. One copy must then be submitted to the campus Contract and Grant Office, The MICRO Executive Committee will send to each P. I. an acknowledgment that the proposal has been received. If the P, I, does not receive an acknowledgment within 1O working days of the due date for the proposal, he/she should contact the MICRO Executive Committee Office.

V. NOTIFICATION AND PROCESSING OF AWARDS

Awards will be announced on or before August' 1, 1985. Faculty members, cooperating companies and campus Contract and Grant Offices will be notified of projects-approved and the steps required to have the MICRO funds released.

MICRO funds will be treated as intramural funding, and will be transferred to the proposer's department or ORU via the campus Accounting Office. The matching support from the cooperating companies will constitute extramural funding, and will .be processed as awards by the campus Contract and Grant Office. When the matching support is given as a gift, its acceptance will be handled by the campus Of-rice of Gifts and Endowments.