SPURRING A REVIEW OF THE USDA AGRICULTURE AND |
Committee on a Review of the USDA
Agriculture and Food Research Initiative
Board on Agriculture and Natural Resources
Division on Earth and Life Studies
NATIONAL RESEARCH COUNCIL
OF THE NATIONAL ACADEMIES
THE NATIONAL ACADEMIES PRESS
Washington, D.C.
THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001
NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance.
This study was supported by Contract USDA-NIFA-COOP-003601 between the National Academy of Sciences and the U.S. Department of Agriculture National Institute of Food and Agriculture. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the organizations or agencies that provided support for the project.
International Standard Book Number-13: 978-0-309-29956-5
International Standard Book Number-10: 0-309-29956-X
Additional copies of this report are available for sale from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu.
Copyright 2014 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
THE NATIONAL ACADEMIES
Advisers to the Nation on Science, Engineering, and Medicine
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau is president of the Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council.
COMMITTEE ON A REVIEW OF THE USDA AGRICULTURE AND FOOD RESEARCH INITIATIVE
VICTOR L. LECHTENBERG (Chair), Purdue University, Lafeyette, IN
STEVEN S. BALLING, Del Monte Foods, Walnut Creek, CA
KEITH L. BELLI, University of Tennesee, Knoxville, TN
PETER J. BRUNS, Howard Hughes Medical Institute (Retired), Chevy Chase, MD
STEVEN T. BUCCOLA, Oregon State University, Corvallis, OR
JAMES C. CARRINGTON, Danforth Plant Science Center, St. Louis, MO
MACHI F. DILWORTH, National Science Foundation (retired), Arlington, VA
CUTBERTO GARZA, Boston College, Chestnut Hill, MA
RONNIE D. GREEN, University of Nebraska–Lincoln, Lincoln, NE
ROSEMARY R. HAGGETT, University of North Texas System, Dallas, TX
GENE HUGOSON, University of Minnesota, St. Paul, MN
BENNIE I. OSBURN, University of California, Davis, CA
PHILIP G. PARDEY, University of Minnesota, St. Paul, MN
SALLY J. ROCKEY, National Institutes of Health, Bethesda, MD
JULIANA M. RUZANTE, Pew Charitable Trusts, Washington, DC
JAMES J. ZUICHES, North Carolina State University (Retired), Chapel Hill, NC
Staff
PEGGY TSAI YIH, Study Director
EVONNE P.Y. TANG, Study Codirector (through October 2013)
JANET M. MULLIGAN, Senior Program Associate for Research
KATHLEEN REIMER, Senior Program Assistant (through January 2014)
JENNA BRISCOE, Program Assistant
ROBIN A. SCHOEN, Director, Board on Agriculture and Natural Resources
NORMAN GROSSBLATT, Senior Editor
BOARD ON AGRICULTURE AND NATURAL RESOURCES
NORMAN R. SCOTT (Chair), Cornell University, Ithaca, NY (Emeritus)
PEGGY F. BARLETT, Emory University, Atlanta, GA
HAROLD L. BERGMAN, University of Wyoming, Laramie, WY
SUSAN CAPALBO, Oregon State University, Corvallis, OR
GAIL CZARNECKI-MAULDEN, Nestle Purina PetCare, St. Louis, MO
RICHARD A. DIXON, University of North Texas, Denton, TX
GEBISA EJETA, Purdue University, West Lafayette, IN
ROBERT B. GOLDBERG, University of California, Los Angeles, CA
FRED GOULD, North Carolina State University, Raleigh, NC
GARY F. HARTNELL, Monsanto Company, St. Louis, MO
GENE HUGOSON, University of Minnesota, St. Paul, MN
MOLLY M. JAHN, University of Wisconsin–Madison, WI
ROBBIN S. JOHNSON, Cargill Foundation, Wayzata, MN
JAMES W. JONES, University of Florida, Gainesville, FL
A.G. KAWAMURA, Solutions from the Land, Washington, DC
STEPHEN S. KELLEY, North Carolina State University, Raleigh, NC
JULIA L. KORNEGAY, North Carolina State University, Raleigh, NC
PHILIP E. NELSON, Purdue University, West Lafayette, IN (Emeritus)
CHARLES W. RICE, Kansas State University, Manhattan, KS
JIM E. RIVIERE, Kansas State University, Manhattan, KS
ROGER A. SEDJO, Resources for the Future, Washington, DC
KATHLEEN SEGERSON, University of Connecticut, Storrs, CN
MERCEDES VAZQUEZ-AÑON, Novus International, Inc., St. Charles, MO
Staff
ROBIN A. SCHOEN, Director
CAMILLA YANDOC ABLES, Program Officer
JENNA BRISCOE, Program Assistant
KARA N. LANEY, Program Officer
JANET M. MULLIGAN, Senior Program Associate for Research
PEGGY TSAI YIH, Senior Program Officer
Preface
The United States embarked on bold polices to enhance its food and agricultural system during the last half of the 19th century, investing first in the education of people and soon thereafter in research and discovery programs aimed at acquiring new knowledge needed to address the complex challenges of feeding a growing and hungry nation. Those policies, sustained over 125 years, have produced the most productive and efficient agricultural and food system in history. The policies and investments spurred ever-increasing productivity in all sectors of the food and agriculture system—productivity increases tied to technological advances and innovations in all forms.
The future poses new challenges. Agricultural productivity gains in the United States have trended downward over the last 20 years. Public investment in agricultural research has declined relative to other sectors of U.S. science and technology and relative to agricultural research investments of other nations. The United Nations forecasts that world demand for food will need to grow by at least 70% by 2050 to meet the needs of a global population of 9.6 billion people. Competition for funds to support fundamental research and translational endeavors are greater than ever, and the need to achieve and sustain increased productivity has never been greater.
The U.S. food and agricultural research system has become multifaceted, with investment by federal and state governments, private companies, and various philanthropic and nongovernment entities. Funds from at least four federal agencies support food and agricultural research; the U.S. Department of Agriculture (USDA) is the primary agency responsible for supporting innovations and advances in food and agriculture. USDA funds
are allocated to support research through several mechanisms, including the Agriculture and Food Research Institute (AFRI). In 2008, Congress replaced USDA’s National Research Initiative with AFRI, creating USDA’s flagship competitive research grants program, and the 2008 Food, Conservation, and Energy Act, known as the Farm Bill, outlined the structure of the new program. The purpose of this present review was to assess the effectiveness of AFRI in meeting the goals laid out by Congress and its success in advancing innovations and competitiveness in the U.S. food and agriculture system. While this review was completed before the passage of the Agricultural Act of 2014 (known as the 2014 Farm Bill), the committee commends Congress for reaffirming the importance of the AFRI program, as evidenced in both the 2014 Farm Bill as well as in FY 2014 appropriations, which provided much needed funding increase to AFRI.
The committee expresses appreciation to USDA for cooperation and assistance in providing access to the information needed for it to do its work. Without USDA cooperation, this task could not have been accomplished. It also thanks the many resource people with whom it met, as their perspectives and input helped to inform this report. National Research Council staff have been incredibly skilled and efficient in supporting the committee members. On behalf of the committee, I want to thank them for their outstanding effort, pleasant demeanor, and overall competence in supporting the committee.
Victor L. Lechtenberg, Chair
Committee on a Review of the USDA
Agriculture and Food Research Initiative
Acknowledgments
This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report:
May R. Berenbaum, University of Illinois at Urbana-Champaign
Deborah P. Delmer, Rockefeller Foundation (Retired)
Michael P. Doyle, University of Georgia
R. Corby Hovis, National Science Foundation
Michael R. Ladisch, Purdue University
James McFerson, Washington Tree Fruit Research Commission
Anna Palmisano, U.S. Department of Energy (Retired)
Lawrence B. Schook, University of Illinois at Urbana-Champaign
Norman R. Scott, Cornell University (Emeritus)
Spiro E. Stefanou, Pennsylvania State University
Laurian J. Unnevehr, International Food Policy Research Institute
Wendy Wintersteen, Iowa State University
Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations nor did they see the final draft of the report before its release. The review of this report was overseen by Richard R. Harwood at Michigan State University (Emeritus) and John Erdman, University of Illinois at Urbana-Champaign. Appointed by the National Research Council, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.
Contents
SELECT ACRONYMS AND ABBREVIATIONS
Addressing U.S. Priorities in Agriculture and Food
Training, Education, and Extension
2 THE GLOBAL LANDSCAPE OF AGRICULTURAL RESEARCH AND DEVELOPMENT
The Role of Food and Agricultural Research and Development in Economics and Competitiveness
Brief History of the U.S. Department of Agriculture’s Competitive Grant Programs
Vision for a Competitive Grants Program in Agriculture
Overview of the Agriculture and Food Research Initiative
Role of Competitive U.S. Department of Agriculture Grants for Research, Education, and Extension
Other Agencies’ Competitive Grants Programs Related to Agriculture
Considerations for an Analysis of Program Productivity
Productivity Assessment of Project Data
Program Effectiveness and Efficiency
Management Structure and Staff Workload
6 CONCLUSIONS AND RECOMMENDATIONS
Need for Food and Agriculture Research
Realignment of Program Structure to Match Mission, Mandate, and Budget
A BIOGRAPHICAL SKETCHES OF COMMITTEE MEMBERS
B PRESENTATIONS TO THE COMMITTEE
D SUMMARY OF RESPONSES TO WEB-BASED QUESTIONNAIRE
E EXCERPT FROM THE FOOD, CONSERVATION, AND ENERGY ACT OF 2008
Tables, Figures, and Boxes
TABLES
2-1 Marginal Benefit-Cost Ratios for Public Research and Extension in the United States
2-2 Agricultural Multifactor Productivity Growth in the United States and Selected Regions
3-1 Authorized and Appropriated Funds for USDA Research Programs
3-2 Characteristics of Competitive Grants Programs in USDA
3-3 Federal Agencies That Support Extramural Research Programs Relevant to Agriculture
4-1 Profile of NRI (2008) and AFRI (2009–2012) Projects Showing Means of Selected Attributes
4-2 Research Marginal Productivity: Pairwise Effects of Selected Factors, AFRI, 2009–2010
4-3 Research Productivity: Pairwise Effects of Selected Factors, AFRI, 2011–2012
5-1 Programs in Each Priority Area of AFRI Foundational Program
5-2 Priorities for Proposals in the Plant Priority Area, by Program and Year
5-3 Summary of Research Priorities Identified by AFRI for Five Challenge Areas
5-4 Percentage of Funds for Fundamental vs. Applied Research
5-5 Percentage of Funds for Multidisciplinary vs. Single-Discipline Research
5-6 Percentage of Funds for Integrated vs. Single-Function Grants
5-7 Budget for New Programs, by Program Area Over Years of Program
5-8 Number of New Grants Awarded, by Year
5-9 AFRI Proposal-Review Activities
G-1 Sample Statistics of NRI Projects, 2008
G-2 Sample Statistics of AFRI Projects, 2009–2010
G-3 Sample Statistics of AFRI Projects, 2011–2012
G-4 Budget Regression on Outputs and Inputs, AFRI 2009–2010 and 2011–2012
FIGURES
2-1 Agricultural and food R&D spending worldwide, 1980 and 2009
2-2 Public and private investments in food and agricultural R&D
2-3 Roles of the federal government, including USDA, in funding SAES research, 1975–2009
3-1 Timeline of establishment and repeal of USDA competitive grant programs
3-3 Numbers of proposals submitted to and awards made by the NRI and AFRI
3-4 Competitive funding for U.S. agricultural research, 1979–2007
4-1 Share of program expenditures by award type
4-2 Share of program expenditures by type of research
4-3 Stylized relationship between setup cost, per-unit output, and marginal cost
5-1 Setting AFRI’s challenge-area program
5-2 AFRI proposal and award process
5-3 Time allocation for AFRI by NIFA NPL
G-1 Frequency distributions of project budgets and performance ratios, 2008
G-2 Frequency distributions of project budgets and performance ratios, 2009–2010
G-3 Frequency distributions of project budgets and performance ratios, 2011–2012
BOXES
5-1 Diversity Programs in the National Science Foundation
5-2 Diversity Programs in the National Institutes of Health
6-1 A Scientific Advisory Council for the Agriculture and Food Research Initiative
Select Acronyms and Abbreviations
AAAS |
American Association for the Advancement of Science |
AFRI |
Agriculture and Food Research Initiative |
APLU |
Association of Public Land-Grant Universities |
ARS |
Agricultural Research Service |
ASPB |
American Society of Plant Biologists |
BBSRC |
Biotechnology and Biological Sciences Research Council |
BIC |
Brazil, India, and China |
BRDi |
Biomass Research and Development Initiative |
BREAD |
Basic Research to Enable Agricultural Development |
CAP |
Coordinated Agricultural Project |
CAST |
Council for Agricutural Science and Technology |
COI |
Conflict-of-Interest |
Co-PI |
Co-Principal Investigator |
CRADA |
Cooperative Research and Development Agreement |
CRGO |
Competitive Research Grants Office |
CRIS |
Current Research Information System |
CSREES |
U.S. Department of Agriculture, Cooperative State Research, Education, and Extension Service |
DHHS |
U.S. Department of Human Health Services |
DOE |
Department of Energy |
DOI |
Department of the Interior |
EPA |
U.S. Environmental Protection Agency |
EPSCoR |
Experimental Program for Stimulating Competitive Research |
ERS |
Economic Research Service |
FAO |
Food and Agriculture Organization |
FASE |
Food and Agricultural Science Enhancement |
FY |
Fiscal Year |
GAO |
Government Accountability Office |
IFAFS |
Initiative for Future Agricultural Food Systems |
IOM |
Institute of Medicine |
LGU |
Land-Grant University |
NAE |
National Academy of Engineering |
NAREEAB |
National Agricultural Research, Extension, Education, and Economics Advisory Board |
NAS |
National Academy of Sciences |
NASA |
National Aeronautics and Space Administration |
NASS |
National Agricultural Statistics Service |
NIFA |
National Institute of Food and Agriculture |
NIGMS |
National Institute of General Medical Sciences |
NIH |
National Institutes of Health |
NOAA |
National Oceanic and Atmospheric Administration |
NPL |
National Program Leader |
NRC |
National Research Council |
NRI |
National Research Initiative |
NSF |
National Science Foundation |
OTA |
Office of Technology Assessment |
PCAST |
President’s Council of Advisors on Science and Technology |
PI |
Principal Investigator |
PPP |
Purchasing-Power Parity |
R&D |
Research and Development |
REE |
Research, Education, and Economics |
RFA |
Request for Application |
ROW |
Rest of World |
S&T |
Science and Technology |
SAES |
State Agricultural Experiment Stations |
SOP |
Standard Operating Procedure |
STAR METRICS |
Science and Technology for America’s Reinvestment: Measuring the Effect of Research on Innovation, Competitiveness and Science |
STEC |
Shiga toxin producing Escherichia coli |
STEM |
Science, Technology, Engineering, and Mathematics |
USAID |
U.S. Agency for International Development |
USDA |
U.S. Department of Agriculture |
USFS |
U.S. Forest Service |
WG |
Working Group |
WHO |
World Health Organization |