Applying for Research Funding

Applying for Research Funding Thomas J. Pasko, Jr. 1 and Dr. Fazil T. Najafi 2 Abstract This paper was prepared primarily for civil engineering students and faculty who are interested in doing research in Portland cement concrete technology and related construction technologies. The subject of funding research and development is approached from the author s experience in the highway field, rather than the scientific viewpoint of the National Science Foundation, or from the marine users of concrete as practiced by the United States Army Corps of Engineers. This biased approach has the advantage that it emphasizes the programs of the Federal Highway Administration (FHWA) because FHWA funds the most research and development at the national level, as discussed later in the paper. Introduction In the private sector, the American Concrete Institute International (ACI) is striving to take a leadership role in promoting research and development (R&D) on concrete technology. ACI s funding for R&D is still very limited and, hence, is being used primarily as seed money to show ACI s technical endorsement of the proposed study such that the funds can be leveraged to attract additional funding. Although this paper is written to address concrete technology, the outlined procedure can be followed for R&D on any highway or construction material. The people who deal with concrete in the various government offices (national or state) and universities are not far removed from those who deal with asphaltic concrete, steel construction, wood construction, composites, etc. The primary differences are the technical and trade associations with whom one will work. Aggregate suppliers are the same for concrete and asphalt mixtures, but for asphalt concrete one deals with The Asphalt Institute (TAI), the National Asphalt Paving Association (NAPA) and the emerging coordinator for R&D, the National Center for Asphalt Technology (NCAT) at Auburn University. Information on the leaders for other materials is available from the American Society of Civil Engineers/Civil Engineering Research Foundation/Construction Materials (ASCE/CERF/CONMAT) Council. Sources Within ACI Funding for research studies is available from the ACI if the proposals meet the selection criteria. However, in most cases, ACI funding must be matched with other funds. It is the purpose of this article to aid the researcher, who might be inexperienced at fundraising, to seek out the sources of other funds that are available in the concrete community. Funding sources are primarily cited for researchers in concrete and construction. The ACI International has formed a non-profit organization, the Concrete Research and Education Foundation 1 Professional Engineer, 3901 Arnheim Street, Annandale, VA 22003. 2 Associate Professor, Univ. of Florida, Dept. of Civil and Coastal Engrg., P.O. Box 116580, Gainesville, FL, 32611-6580, phone: (352) 392-1033, e-mail: fnaja@ce.ufl.edu. 1

(CONREF) to receive, administer and expend funds for educational research and scientific purposes. Three of the seven councils under CONREF can provide research funding: 1) Concrete Research Council (CRC) Identifies research needs and provides support to researchers. 2) Reinforced Concrete Research Council (RCRC) Advances the knowledge and practice in structural concrete. 3) International Joints and Research Council (IJBRC) Advances the knowledge on joints and bearing systems by identifying needs and encouraging research. There is another council which will be addressed later and which is important to researchers. The Scholarship Council (SC) administers twenty-eight graduate/undergraduate scholarships. The CRC will accept proposals for all aspects of research and development (R&D) on concrete, while the RCRC limits their field of activity to "Reinforced Concrete." Both CRC and RCRC give preference to addressing R&D proposals that emanate in ACI Committees, and RCRC especially favors proposals addressing aspects of the ACI 318 Code. The IJBRC has not been active in funding research to this time, but the potential is there. In passing, it must be mentioned that all of the councils of CONREF encourage contributions to support their activities. Contributions are tax deductible in accordance with U.S. laws. Details are available from ACI. CRC and RCRC have detailed procedures for governing the submission of proposals and to protect the confidentiality of the proprietary information contained within the proposal. In general, the procedures are guided by the principles that will make something happen. That is, ways will be found to formulate a successful marriage between the proposer and the council, if the subject study is deemed to be in the best interest of the concrete community, as judged by the team of technical experts on the review panel. The councils will accept a full proposal if it has already been written (for submission elsewhere). Or, alternatively, if the research is in the thinking stage, the council will accept a "pre-proposal" to possibly alleviate the time and cost of preparing a full proposal (on a subject which may not be acceptable). Because the councils' funding is finite, larger projects (over about $10,000) will require some funding from other sources. CRC believes that funding from the councils means that the technical experts from ACI lend their credence to supporting the proposed research and this should make it easier for the researcher to go to the National Science Foundation (NSF), industry, other technical associations, such as ASCE or the American Society for Testing and Materials (ASTM), or others to secure additional funding. On past studies where RCRC gave its endorsement and a few thousand dollars, it was not unusual for the researcher to secure $100,000 or more to complete a study. Interested readers are encouraged to contact the chairmen of the councils for a copy of their procedures. Contact information is listed in Table 1 and all members are listed in the ACI Technical Committee Membership Directory, available from ACI. RCRC and CRC can also supply examples of past research efforts. 2

TABLE 1. Funding Source Contact Information Acronmyn Source Name Contact, Phone # and/or Fax # E-mail or Website AASHTO- Publications ACAA Education Foundation ACI APWA ARTBA- Directory American Association of State Highway Transportation Officials- (800) 231-3475 Publications American Coal Ash Association Samuel S. Tyson Education Foundation (703) 317-2400 American Concrete Institute International (248) 848-3700 American Public Works Association (816) 472-6000 American Road and Transportation Builders Association-Directory (888) 821-9653 ASCE-CERF American Society of Civil Engineers/ Peter Kissinger (202) 842-0555 Civil Engineering Research Foundation -- Chi Epsilon / Tau Beta Pi Robert L. Henry (817) 272-2752 CRC Concrete Research Council Dr. Paul Tikalsky (of ACI) (814) 863-5844 David W. Fowler (512) 471-4498 CRSI Concrete Reinforcing Steel David P. Gustafson Institute (847) 517-1200 (Ext. 13) -- United States Army Corps of Tony C. Liu Engineers (202) 761-0222 FHWA Federal Highway Administration Steve W. Forster (202) 493-3070 FHWA-NHI Federal Highway Administration- National Highway Institute (703) 235-0500 IBTTA International Bridge, Tunnel & Turnpike Association (202) 659-4620 IPRF Innovative Pavement Research Robert J. Betsold Foundation (202) 842-3703 IAFD International Association of Susan King Foundation Drilling Scholarships (214) 343-2091 http://www.aashto.org ACAA-USA@msn.com http://www.acaa-usa.org http://www.aci-int.org http://www.pubworks.org http://www.artba -hq.org http://www.cerf.org rhenry@utarig.uta.edu TIKALSKY@PSU.EDU dwf@mail.utexas.edu david@crsi.org tony.c.liu@usace.army.mil steve.forster@fhwa.dot.gov http://www.nhi.fhwa.dot.gov ibtta@ibtta.org rbelsold@pavement.com adsc@eaze.net 3

Acronmyn ICRI IJBRC NACE NCMA NHI Source Name International Concrete Repair Contact, Phone # and/or Fax # Institute (703) 450-0116 International Joints and Research Council (of ACI) National Association Corrosion Barrie Atkinson (508) 668-6600 Engineers (NACE International) (281) 228-6100 National Concrete Masonry Association USDOT/FHWA National Highway Institute NRMCA/NAA National Ready Mix Concrete Association/National Aggregate Association Mark B. Hogan (703) 713-1900 Dr. Moges Ayele (703) 235-0531 Gary M. Mullings (301) 345-6532 NSF National Science Foundation Ken P. Chong NSPE National Society of Professional Engineers Professional Engineers in Industry Scholarships (703) 306-1361 (703) 684-2800 PCA Portland Cement Association Anthony E. Fiorato (847) 966-6200 PCI Prestressed Concrete Institute Thomas B. Battles RCRC/NIST Reinforced Concrete Research SBIR Council (of ACI)/ National Institute for Science & Technology Small Business Innovative Research (for USDOT only) (312) 786-0300 H. S. Lew (301) 975-6061 Dr. George Kovatch (617) 494-2051 SC Scholarship Council (of ACI) Bertold E. Weinberg SDC Strategic Development Council (of ACI) TRB-NCHRP- Transportation Research Board- IDEA National Cooperative Highway Research Program- Innovations Deserving Exploratory Analysis (518) 439-9469 William H. Plenge Fax (410) 255-0344 Neil F. Hawks (202) 334-1430 E-mail or Website http://www.icri.org http://www.nace.org masonryresearch.org http://www.nhi.fhwa.dot.gov http://www.nationalaggregate s.org kchong@nsf.gov http://www.nspe.org fiorato@portcement.org http://www.pci.org hsl@nist.gov http://www.volpe.dot.gov http://www.nas.edu/trb 4

Sources Outside ACI Finding sources of research funds is not easy, but then old-timers seem to have no trouble in finding sponsors. There are no handbooks with lists of people who stand on city corners handing out research funds. Researchers must go out and earn financial support. Most university researchers think immediately of NSF funding, but that is not the only source and it is also not the largest source for civil engineering R&D funds. The largest funding sources are: NSF, about $50 million; National Institute for Science and Technology (NIST), about $50 million; U.S. Army Corps of Engineers, about $50 million; and FHWA about $450 million per year. Other agencies also may fund some R&D related to the specific mission of the agency, such as: dam repair for the Bureau of Reclamation; runways for the Federal Aviation Administration; utilization of wastes (fly ash) for the Environmental Protection Agency; blast resistance for the General Services Administration; irrigation/farms for the Department of Agriculture; storm protection for the Federal Emergency Management; cement products for the Department of Energy, etc. In general, the Federal agencies listed above have most of their R&D funds committed to directed projects: that is, an agency writes a "Request for Proposals" on a specific technical subject and the proposer must address the defined problem (if he/she can). A small amount of funds may be available under various incentive programs and for "unsolicited proposals." Unfortunately, there is no "clearing house." Each agency has its own procedures that are probably available from the agency's Contracting and Procurements Office. Although an author may do everything "according to the book," the proposal may never reach the individual who would be most interested and favorable to the proposal. In general, this approach is difficult, time-consuming (minimum of 3 months) and usually not successful. One can get a better understanding of some federal programs from the 35-page booklet, "Highway Technology Research, Development and Test and Evaluation Programs: An Overview, Aug. 1996" available from the ASCE/CERF in Washington, D.C. (A contact is listed in Table 1.) It is a bit outdated because of changes in the laws, but it is all that is available. Another publication that has been published aperiodically by the U. S. Department of Transportation (USDOT) is A Guide to Technology and Innovation (Jan. 2000), 18 pages. It has a list of contacts in each of the agency s ten offices. It can be accessed on internet at http://scitech.dot.gov or http://t2.dot.gov. On a broader approach to federal R&D, a good reference is "The United States Government Manual (yearly) available from the U. S. Government Printing Office. With this as a start, one can work downward through the telephone numbers to locate someone actually involved in R&D who can provide meaningful information on the subject of "concrete." Be wary, because many offices have the word "Research" as part of their title, but many are not related to R&D projects. Another approach is to work the buddy network by scanning the ACI directory for members from government agencies (U.S. Army Corps of Engineers or from FHWA), such as some of those mentioned in Table 1. There is also an organization of government laboratories that can be consulted. Additionally, there are many branch offices scattered about the country, especially, in the state capital cities where one can get help in navigating the bureaucracy. More recently, most agencies now have a web page which can direct the potential researcher to the R&D office of that agency. Each federal agency has a SBIR (Small Business Innovative Research) program for funding research. In the Department of Transportation (DOT), two and a half percent of R&D funding is set aside to fund about ten new studies a year. Each agency has its own set of rules and solicitation schedule which are available from the Small Business Administration office listed in the local phone book. One other program is administered through the Transportation Research Board, that is the Innovations Deserving Exploratory Analysis (IDEA) Program. This program awards funding for about twenty projects each year for up to $100,000. Selections are made twice a year. Finally, many agencies are empowered to do 5

collaborative research with industry at a federal laboratory. The U. S. Army Corps of Engineers has conducted a number of studies under these "Cooperative R&D Agreements (CRADA)." Other projects have been conducted at NIST, Oak Ridge National Laboratory, Los Alamos, etc. The NSF has a broad program of assistance available to university personnel. There are project awards, equipment awards, young presidential researcher awards, travel awards, and they also establish research or science centers, such as the ACBM (Advanced Cement Based Materials) center at Northwestern, and the ATLSS (Advanced Technology for Large Structural Systems) at Lehigh. The researchers at centers like ACBM or ATLSS may consider doing cooperative research with someone submitting a proposal. Additionally, the other departments have their own "centers" situated at various universities: DOT has 33 University Transportation Centers (UTCs) (one is the Infrastructure Institute at Northwestern); the Department of Commerce (DOC) has manufacturing assistance centers; even the National Air and Space Administration (NASA) has Technology Transfer Centers to aid public works; etc. One last trick to obtaining federal funding is to solicit up to $5,000 from several R&D offices as a jointly-funded study that has meaning to the missions of each of the offices. For instance, the FHWA may join with NIST and the U.S. Army Corps of Engineers at $1,000 each to match funding from ASCE to publish the proceedings of a conference on the durability of concrete. Despite the availability of the federal funds just described, it is not the best path for most researchers. Often it takes more than a year to get approval and the paperwork can be overwhelming. Additionally, the downsizing of staff has escalated the size of the contracts so that the contracts sometimes become an unwieldy collection of different tasks. The Local Scene It is suggested that researchers first look at what assistance is available locally. First, is there "other department funding" in the university? Then, is there a possibility of funding from "other schools or institutes" within the university? Next, is the possibility of collaboration with other universities that may have funding as a technical center for DOT, NSF, etc., such as ACBM. One then looks toward local businesses: a local quarry operation; a ready mix plant; a precast plant; a power plant (fly ash); a chemical by-products or waste source (admixtures); slag; a paving contractor; an equipment supplier (cutting, grooving, blasting); a cement producer; a local or state agency with a problem (deicing). Examples could be cited of each of the above sources having been used. It takes some tact and forwardness to convince potential sponsors that a particular R&D project will benefit them. Widening the Search Everyone loves a winner and if a researcher has some local sponsorship and technical endorsements, such as through ACI, people will come flocking to his/her assistance. Not quite, but agencies like to show how their money was leveraged. For instance, CERF shows their contributors that every dollar they raised resulted in $8 being spent on their co-funded projects. It is wise to approach the technical and trade associations for support. Some related to concrete and construction are, Portland Cement Association (PCA); Prestressed Concrete Institute (PCI); ASTM (if standards are related); Concrete Reinforcing Steel Institute (CRSI); Wire Reinforcing Institute (WRI); National Ready Mix Concrete Association/National Aggregate Association (NRMCA); International Concrete Repair Institute (ICRI); American Coal Ash Association (ACAA); National Stone Association (NSA); American Concrete Pavement Association (ACPavementA); American Concrete Pipe Association (ACPipeA); National Concrete Masonry Association (NCMA); shotcreters, cutters, grinders, ASCE, etc., whichever group might apply to, or have an interest in, the researcher s proposed technology. 6

At the same time, a researcher needs to explore state support. Some states have agencies that fund scientific studies, small businesses, or educational outreach programs. Pennsylvania has Ben Franklin funds which have been used for concrete studies, while Illinois funded educational work on concrete. New York has Sea Grants which were used to study zebra mussel attachments on concrete, and California Sea Grants funded work on tremie placed fly ash concrete. The State DOT's are the greatest source of R&D funds. They administer almost $100 million of State Planning and Research (SPR) funds that are returned from the FHWA. This is also augmented with the State s own funding. Contact with the local DOT for details on their program is advised. Texas spends about $15 million per year on about 100 studies which, by law, must go to Texas A&M or the University of Texas. Perhaps it is possible to get a staff member from a Texas university to submit a proposal to explore a proposed problem. Both American Road and Transportation Builders Association (ARTBA) and American Association of State Highway & Transportation Officials (AASHTO) publish yearly directories that list people down to the level of R&D, Bridge, and Materials Engineers. Information on the various state SPR programs (and they vary greatly because some states have divested their R&D outfits to State Universities) are available from the FHWA Division office's located in each state capital. If a proposed project involves a full-scale construction project (prestressed pavement, HPC bridge, etc.), a researcher might seek political endorsement by the State or the governor who might act to help a resident business. For instance, one governor said his state will build experimental aluminum bridge decks (to help develop a nationwide market for a local industry). Other experimental projects can be funded through various programs funded jointly by FHWA and the States. Additionally, some special highway products may be candidates for evaluation under such programs as CERF's Highway Innovative Technology Evaluation Center (HITEC) or AASHTO's comparative testing program NTPEP (National Transportation Product Evaluation Program). NIST, the U.S. Army Corps of Engineers, and other agencies also do some product testing and evaluation. Finally, if the R&D program is massive, such as several million dollars per year for five or more years, an organization may compete in very structured competitions conducted aperiodically by the NSF to establish "basic science" or "engineering centers" such as ACBM or ATLSS. Historically, civil engineering-related centers have not done well in these competitions. Presently, only about five of the NSF's fifty centers are related to infrastructure or construction. Hence, the last resort for many universities and specialty groups has been to lobby Congress for "line items" or "pork barrel" funding inserted into the national budget. A recent example is the formation of the Innovative Pavement Research Foundation that was encouraged by the American Concrete Pavement Association. One other large funding source should not be forgotten, that is, the pseudo-government and utilities. These bureaucracies are not as complex and often can write a check on the spot. The Chicago Transit Authority funded studies on corrosion. A railroad funded studies on bridge instrumentation to warn of imminent collapse. The Ohio Turnpike Authority built many of their bridge decks with expansive cement while the Ohio Department of Transportation (ODOT) did not. The EPRI (Electric Power Research Institute) had a research pool of several hundred million dollars, some of which has gone to study fly ash in concrete. The authors wish to take this opportunity to discuss one more endeavor, the Strategic Development Council (SDC) of ACI's CONREF. This group is working on bringing industry, government, and academia to focus on collaborative problem-solving and technology development. One of their efforts is to raise over $50 million to successfully match government funds in the DOC's Advanced Technology Program (ATP). To date, most of ATP's awards have gone to biotechnology, electronics, and other high science projects. Although many large construction-related corporations are participating in SDC or provide pooled funds through various trade associations, such as PCA, CRSI, etc., this does not mean that they are not interested in other research. Companies such as Grace, Holnam, LaFarge, Master Builders, Fibermesh, etc., can also be solicited to 7

participate in funding a study. A starting list is the list of seventeen sustaining members of the ACI listed in the ACI convention programs and other publications. Private Foundations According to Athletic Business, July 1999, in an article by Erin Peterson called Wishes Granted, there are more than 200,000 grants of $10,000 or more from 50,000 foundations. Each has its procedures and it is a daunting task to create a successful match. Aids include the Foundation Center web site (www.fdncenter.org); the Catalog of Federal Domestic Assistance, available at libraries or for purchase from the government or accessible at www.gsa.gov/fdac; and a trade group, the American Association of Fund-Raising Counsel, accessible at www.aafre.org. How About Labor? It would be remiss to discuss R&D funding without mentioning the funding of students. ACI administers about 28 scholarships through the SC of CONREF. Although the scholarships are about $2,000 each, some have gone unclaimed, most likely because of ineffective communications with the universities. Additionally, there are other scholarships specifically designated for civil engineering projects. Space does not allow a full treatment of the subject, but a few of these are listed below. * Honorary societies such as Chi Epsilon and Tau Beta Pi * American Coal Ash Association Education Foundation (ACAA) * FHWA National Highway Institute Eisenhower Fellowships of various types (about 40 awards) * American Society for Civil Engineers (ASCE) * National Society of Professional Engineers (NSPE) Professional Engineers in Industry. Many scholarships are not widely known. For instance, the International Association of Foundation Drilling (IAFD) has awarded more than 100 fellowships in the past ten years. In 1997, they awarded 13 scholarships each for $2,500. One must search out these items in the engineering literature. One additional source of information on various aspects of recent developments (particularly in transportation/construction technologies) is the system of about 55 Local Technology Assistance Program (LTAP) centers funded by the states and FHWA. Each state has an office, usually at one of the universities, to act as a clearing-house. The American Public Works Association (APWA) is FHWA's agent for managing the LTAP clearing-house. They can be used to develop numerous contacts in industry, academia, government and trade organizations. Closure Raising R&D funds may seem like an insurmountable obstacle to the novice researcher. But many sources are available, although it can be a daunting task. The authors have attempted to offer some guidance about how to proceed without being too specific, because each research study is different. In general, it is better to start at the local level and work up to the Federal level (or international, which has not been addressed in this paper). It is also better "to divide and conquer," by soliciting several sponsors to share the costs, act as an advisory panel, and get technically interested in the study. And, if the researcher develops a marketable product, the sponsors are there to help bring it to fruition. A final reference is made, once again, to the list of contacts in Table 1, who 8

might be able to give the researcher information on their programs or start the researcher on his/her entry into the "concrete community network." Good Luck! 9

Thomas J. Pasko, Jr., PE Mr. Pasko received his BSCE and MSCE from Penn State University and has two years toward a Ph.D. from Cornell University. He recently retired as the Director of Advanced Research in the U. S. Federal Highway Administration where he led national research on high performance materials for highways and bridges. He is a registered professional engineer in Pennsylvania and is a member of about 15 technical/professional associations. He has been particularly active in the American Concrete Institute. Dr. Fazil T. Najafi Dr. Najafi is a tenured associate professor of civil engineering and Head of the Public Works Program at the University of Florida, Department of Civil and Coastal Engineering. He earned his BSCE from the American College of Engineering, Kabul, Afghanistan, and his BSAE, MS, and PhD degrees in Civil Engineering from Virginia Polytechnic Institute and State University. He has worked for 35 years in government, industry, and education. Besides teaching during the last 14 years, Dr. Najafi has conducted research, has been a participating member of several professional societies including ASEE, has published numerous refereed and nonrefereed articles, and has presented many technical papers to international, national and local organizations. 10