Federal Funding for Agricultural Biotechnology R&D

1. Federal Funding for Agricultural Biotechnology R&D Dr. Catherine Chan-Halbrendt, Associate Dean for Research Dr. Charles Kinoshita, MBBE, Chair College of Tropical Agriculture and Human Resources University of Hawaii at Manoa July 2, 2002

2. Outline • Sources of funding • Specific Programs

3. Sources of Funding • Department of Agriculture • National Science Foundation • Department of Defense • Department of Commerce • Department of Energy • Department of Health and Human Services • Environmental Protection Agency • National Aeronautics and Space Administration

4. Department of Agriculture (USDA) • NRI (National Research Initiatives) • IFAFS (Initiative for Future Agriculture and Foods Systems) • BRARGP (Biotechnology Risk Assessment Research Grants program) • SBIR (Small Business Innovation Research)

5. USDA Inter-Agencies Programs • Interagency Microbial Genome Sequencing Project (NSF) • Biosystems Technology Program (BTP) (DOD)

6. National Research Initiatives (NRI) • Purpose: to support high priority fundamental and mission-linked research for importance in the biological, environmental, physical, and social sciences relevant to agricultural, food, and the environment. http://www.reeusda.gov/nri

7. NRI Cont’d • Funding Categories: • Plant Systems FY 02----$32.3M • Plant Genome, Plant Genetic Mechanisms • Animal Systems FY 02----$22.9M • Animal Genome and Genetic Mechanisms

8. NRI Cont’d • Eligibility & Restrictions: • Only U.S. organizations are eligible to apply. • Examples: • Antigen Presentation by Rfp-Y Class I Molecules in the Chicken ($220,000 for 3 years) • Novel Signaling Pathways and Elicitors in Whitefly-plant Interaction ($160,000 for 2 years)

9. IFAFS • Purpose: to support research, education and extension grant programs that addresses a number of critical emerging agricultural issues. These issues related to future food production, food safety, environmental quality, natural resources management, and farm income. Priority program areas were established to address these emerging issues included: agricultural genome, agricultural biotechnology. Priority for funding was for those proposals that were multi-State, multi-institutional, or multi-disciplinary, or integrated agricultural research, extension, and/or education. http://www.reeusda.gov/ifafs

10. IFAFS, Cont’d • Funding Categories: • Agricultural Genomics (Award in FY01 totaled $31 million) • Agricultural Biotechnology (Award in FY01 totaled $7.4 million) • Examples: • Developed an Animal Model to Predict Allergenicity of Genetically Modified Foods. • University of Arkansas for Medical Science and Arkansas Children’s Research Institute. ($784,000 for 3 years) • Development of a Functional Genomics Database for Peach: A Model Genome Species • NC State University, USDA-ARS, IRTA (Spain), UC-Davis ($750,000 for 2 years)

11. IFAFS, Cont’d • Eligibility: • Proposals may be submitted by a college or university or a research foundation maintained by a college or university. Eligible applicants may subcontract to organizations not eligible under these requirements. • Eligibility requirements precludes business from applying, but subcontracts to businesses are NOT precluded, so they could be involved in partnership with a university or a Federal lab. • Restrictions: • Funds for building and facilities. • Funds for human cloning.

12. BRARGP • Purpose: to assist Federal regulatory agencies in making science-based decisions about the safety of introducing into the environment genetically modified organisms, including plants, microorganisms, fungi, bacteria, viruses, arthropods, fish, birds, mammals, and other animals. The program accomplishes this purpose by supporting environmental assessment research. The program amount is estimated to be $1.5M. http://www.reeusda.gov/1700/funding/brargp.htm

13. BRARGP, Cont’d • Eligibility and Restrictions: Applications may be submitted by United States public or private research or education institution or organization. • Example: • Viral Transgene Recombination in Gene Silenced Virus Resistant Transgenic Plants. Michigan State Univ. ($170,000 for 3 years)

14. USDA/NSF/DOD (Interagency Proposals) • Interagency Microbial Genome Sequencing Project (NSF) • Biosystems Technology Program (DOD)

15. Interagency Microbial Genome Sequencing Project • Purpose: to conduct high-throughput sequencing of genome of microbes that are of fundamental biological interest, as well as those that are important to the productivity and sustainability of agriculture and farming, and to the safety and quality of the nation’s food supply. Priority will be given to projects that will provide whole genome sequence data and mapping information. www.reeusda.gov/1700/funding/rfamgsp.htm

16. Interagency Microbial Genome Sequencing Project, Cont’d • Program Support in FY2002 is at least $9 million. • Award Size: from $250,000 to $1,800,000 (FY2001)

17. Interagency Microbial Genome Sequencing Project, Cont’d • Eligibility: 1)USDA Criteria: Universities, research institutions and organization, Federal agencies, private organizations or corporations, and individual. Applications from scientists at non-US organizations will not be accepted. 2) NSF Criteria: US academic institutions, US non-profit research institutions, and consortia of such institutions.

18. Interagency Microbial Genome Sequencing Project, Cont’d • Funding Restrictions: 1) Funds for building and facilities. 2) Funds for human cloning. • Examples: • Specific examples of organisms of interest to USDA: Animal (Avian E. coli, etc); Plants (soybean mosaic virus, etc); and food-borne (Toxoplasma gondii, etc).

19. USDA/DOD/Biosystems Technology Program (BTP) • Purpose: to commercialize applied research, development, and demonstration of biologically-derived food, fiber, textile. Biomedical, industrial, environmentally compatible and other products and services to meet military and civilian needs within tropical and subtropical environments. Projects are funded up to two years and should be directed to Hawaii. BTP supports “closing the gap” between promising laboratory results and full-scale commercialization. ~10% of BTP funds are set-aside for more preliminary, high-risk R&D. http://www.hawaii-biosystems.com Contact: Susan Matsushima; (808) 255-5777; alluvio@aloha.net.

20. BTP Funding Parameters • Funding Categories: • Priority areas include antioxidants, anti-microbials/biocides, food and nutrition, industrial products, pest management and restoration of contaminated resources. • Average Grant Size: • Approximately $6 million was awarded to 13 projects in 2000 and 2001. Funding ranged from less than $100,000 to nearly $1,000,000, averaging around $440,000.

21. BTP Funding Parameters, Cont’d • Eligibility: • Collaborations led by applicants from private-sector business that partner with public sector entities from research organizations, federal and state agencies, and university researchers are encouraged. Public funds must be matched by private resources.

22. Projects Funded by BTP in 2000-2001 • Dengue fever ($853,000). • Phytoremediation of PCB contaminated soils ($804,000). • Antibiotics extracted from marine diatoms ($505,000). • Mobile on-site sewage treatment ($250,000). • Development of Taro/Poi into military/commercial functional foods ($723,000). • Value-added technologies for utilization of crop byproducts and residues ($560,000). • Selection and testing of fungi for bioremediation ($61,000). • Ultra-high pressure elimination of pathogens in tropical agriculture products ($112,000).

23. Projects Funded by BTP in 2000-2001, Cont’d • Immunosensor for detection of food pathogens ($518,000). • Selected fruits and antioxidents for military and commercial markets ($432,000). • Unique taro-based products processed using rheon encruster, moisture technologies ($480,000). • Commercial water reuse and econological plant-based water treatment technologies ($238,000). • Grass forage and biomass based animal feed production demonstration ($142,000).

24. NSF/Plant Genome Research Program (PGRP) • Purpose: to support research on plant genomics, and to accelerate the acquisition and utilization of new knowledge and innovative approaches to elucidate fundamental biological processes in plants. Emphasis is placed on plants of economic importance and plant processes of potential economic value. http://www.nsf.gov/pubs/2001/nsf01158/nsf01158.html

25. Plant Genome Research Program (PGRP), Cont’d • Program Support: approx. $20 million (FY2002) • Award Size: up to $1 million per year for up to 5 years.

26. Plant Genome Research Program (PGRP), Cont’d • Eligibility: US academic institutions, US non-profit research institutions, and consortia of institutions with appropriate research and educational facilities.

27. NSF/GOALI (Grant Opportunities for Academic Liaison with Industry) • Purpose: aims to synergize university-industry partnerships by making funds available to support an eclectic mix of industry-university linkages. The topics need not focus on fundamental issues only but should address long-term, genetics research within an intellectual envelope shared by the industrial partner. http://www.nsf.gov/pubs/1998/nsf98142/nsf98142.htm

28. NSF/GOALI, Cont’d • Eligibility and Restrictions: • U.S. institutions of higher education that confer degrees in research areas normally supported by NSF may submit proposals on behalf of faculty members with full-time appointment. • Only US citizens, Nationals, or permanent resident are eligible to apply for fellowships and assistantships. • Industry cost-share 50% when faculty visit more than one month. • Participation by women and under-represented minority engineers and scientists and those with disabilities is encouraged. • Industrial partners are not required to match NSF research awards performed in universities

29. NSF/GOALI, Cont’d • Program Size: • Past awards totaling approx. $30 million. (FY98) • Proposals with the GOALI initiative will compete with all other proposals within the respective research/education program. • Example: • Genetic Engineering Tools for Plant Breeders • Mendel Biotechnology, Inc. Hayward, CA ($4,190,000)

30. Department of Commerce/Advanced Technology Program • Purpose: to provide cost shared funding to industry to accelerate the development and broad dissemination of challenging, high-risk technologies that promise significant commercial payoffs and widespread benefits for the nation. http://www.atp.nist.gov

31. DOC/ATP, Cont’d • Eligibility & Restriction: • A single for-profit company and/or industry-led joint venture. • Universities, government labs, and/or independent research organizations may participate in an ATP project as 1) a subcontractors to a single company or to a joint venture, 2) as additional partners in a joint venture.

32. DOC/ATP, Cont’d • Program Funding: • A single company can receive up to $2 million for R&D activities for up to 3 years. (must cost share 60%) • A joint venture can receive funds for R&D activities for up to 5 years. (must cost share more than 50%) • Funding Restriction: • Cannot be used on construction of new buildings or extensive renovations of existing lab buildings. • Indirect costs for single company recipients are unallowable for reimbursement • Profit, management fees, interest on borrowed funds, or facilities capital cost of money.

33. USDA/SBIR • Purpose: a government-wide technology transfer program that supports applied R&D projects in order to commercialize technologies developed in university and government laboratories for use by government or by the private sector. There are 10 federal agencies that participate in the SBIR program. Awards can be grants, contracts or cooperative agreements. http://www.reeusda.gov/sbir

34. USDA SBIR Homepage • www.reeusda.gov/sbir • Program information • Solicitation • Technical abstracts • Find the expert (CRIS and ARS) • Link to SBA and other SBIR programs • Upcoming SBIR Conferences • Overhead Information

35. SBIR: 3-Phase Program • Phase I • Feasibility study • 6 months Award, currently up to $80,000 • Phase II • Full R&D Project • 2-Year Award, currently up to $300,000 • Phase III • Commercialization Stage • Use of non-SBIR Funds

36. Features of SBIR Program • There are 10 Federal agencies that participate in the SBIR program. (See NSF, etc.) • Awards can be grants, contracts or cooperative agreements.

37. SBIR, Cont’d • Funding Categories: • Plant biotechnology (molecular biology, genomics, cell and tissue biology) • Animal production and protection (animal genetics and breeding) • Aquaculture (genetics improvement)

38. SBIR, Cont’d • Eligibility: proposals must come from a for-profit small business that has fewer than 500 employees and is at least 51% owned by US citizens. All R&D must usually be done in the US.

39. SBIR, Cont’d • Patent rights on any invention developed with SBIR support will reside with the grantee, but the government retains a royalty-free license for government use.

40. University Involvement in USDA SBIR • Strongly encouraged. • University faculty may serve as principal investigator on the grant, by reducing university employment to 49% for duration of grant and if the SBIR research is performed someplace other than their research lab. • It is usually not acceptable for university faculty to serve as consultants and have all the research done in their lab.

41. History of USDA SBIR Funding

42. Geographical Distribution of USDA SBIR Winners FY83-FY01

43. Evaluation Criteria • Scientific/Technical Merit. • Degree to which Phase I Objectives were met and feasibility demonstrated. • Importance of problem to American agricultural or rural development. • Probability of commercial success. • Adequacy of research objectives.

44. Evaluation Criteria, Cont’d • Adequacy of research plan. • Qualifications of PI and other key personnel. • Adequacy of facilities. • Qualifications of consultants. • Letters from consultants. • Adequacy of bibliographies for PI and key personnel and consultants.

45. Elements Common to Successful Proposals • Well written, succinct and logical. • Thorough literature review. • Addresses important problem. • Innovative approach. • Well designed and detailed experimental plan. • If successful, would have good commercial potential.

46. Common Proposal Criticisms • Poorly written and presented. • PI lacks necessary technical expertise. • Insufficient literature review. • Insufficient technical information. • Can not be complete in 6 months. • Inadequate bibliographical information. • Lacks letters from consultants. • Research already done by others.

47. Common Proposal Criticisms (Cont’d) • Too vague and unfocused. • Failure to indicate where project will go in Phase II. • Poor commercialization potential. • Doubtful economic prospects. • Inadequate detail in experimental plan. • Too much research done at university. • Need to engage consultants to add expertise.

48. Contact Information • CTAHR Website: http://www.ctahr.hawaii.edu/ctahr2001 Catherine Chan-Halbrendt chanhalb@hawaii.edu 808-956-8131 Charles Kinoshita charleskinoshita@ctahr.hawaii.edu 808-956-8864

49. Summary • Microbial Genome Sequencing (USDA/NSF) • Plant Genome Research (NSF) • Fundamental/Mission-linked Research (NRI) • Issues related to the future of agriculture and food systems with multi-state or multi-disciplinary, or integrated (USDA/IFAFS) • Environmental assessment research on the safety of introducing GMO (BRARGP) • Commercialization of applied research, development and demonstration of biologically-derived food, fiber and textile (BTP) • Opportunities for academic liaison with industry (NSF) • Technology transfer program (SBIR)

50. Continuum of Research Basic Strategic Applied Commercialization 4 7 1 2 3 5 6 8